Académique Documents
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SOL-615-13-000012
RFP
Issuance
Date:
May
16,
2013
Pre-Proposal
Registration
May
24,
2013
Questions
due
date
and
time:
May
28,
2013,
08:00
AM,
Local
Time
(Nairobi,
Kenya)
Pre-Proposal
Conference:
May
30,
2013
RFP
Amendment
Issuance
Date:
June
8,
2013
RFP
Closing
date
and
time:
July
3,
2013,
05:00
PM,
Local
Time
(Nairobi,
Kenya)
SUBJECT:
Request
for
Proposal
(RFP)
No.
SOL-615-13-000012
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project)
Project
Dear
Potential
Offerors:
The
United
States
Government,
represented
by
U.S.
Agency
for
International
Development
(USAID),
East
Africa
Regional
Mission,
is
soliciting
proposals
from
qualified
organizations
for
the
performance
of
services
detailed
in
the
attached
RFP
to
support
a
contract
that
will
be
administered
by
USAIDs
Kenya
Democracy,
Rights
and
Governance
Office
in
Nairobi,
Kenya.
This
procurement
is
being
conducted
through
full
and
open
competition,
for
which
the
procedures
for
contracting
by
negotiation,
trade-off
process
method
of
procurement,
as
described
in
Part
15
of
the
Federal
Acquisition
Regulation
(FAR),
and
AIDAR,
will
apply.
Proposals
will
be
accepted
from
Kenya
and
international,
U.S.
business
and
U.S.
small
business,
for-profit
and
non- profit
organizations,
nongovernmental
organizations
(NGOs)
including
universities,
research
organizations,
professional
associations,
and
other
relevant
special
interest
associations.
Faith-Based
and
community
organizations
are
also
eligible
to
participate.
In
support
of
USAIDs
interest
in
expanding
the
number
and
sustainability
of
development
partners,
USAID
encourages
proposals
from
potential
new
local
partners.
Subject
to
availability
of
funds,
USAID
contemplates
award
of
a
Cost-Plus-Fixed-Fee
(CPFF)
completion
type
contract.
The
maximum
estimated
cost
of
the
contract
(costs
and
fee)
is
US$
45-50
million
covering
a
performance
period
of
five
years.
Offerors
should
not
necessarily
strive
to
meet
the
maximum
amount.
However,
Offerors
must
propose
costs
that
they
believe
are
appropriate,
realistic
and
reasonable
for
the
work.
Cost
proposals
will
be
evaluated
as
part
of
the
Best-Value
procedure
in
determining
contract
award,
including
cost
effectiveness
of
approaches
to
achieve
the
desired
results.
A
minimum
of
60%
of
project
funding
shall
be
allocated
over
the
five-year
program
for
local
organizations
(with
even
higher
percentages
encouraged).
30%
of
project
funding
shall
be
used
for
the
Grants
under
Contracts
program.
30%
shall
be
used
as
subcontracts
and
purchase
orders
for
management
responsibilities
and
to
implement
activities
as
required.
The
Grants
under
Contract
portion
of
the
funding
shall
consist
of
a
minimum
of
$15,000,000
(with
greater
amounts
encouraged,
if
feasible). USAID
discourages
the
use
of
exclusive
agreements
with
international
or
regional
organizations
as
this
limits
USAIDs
ability
to
receive
the
best
services.
Exclusivity
contracts
or
teaming
agreements
with
local
organizations
in
Kenya
are
prohibited
given
the
limited
pool
of
partner
organizations
fitting
the
criteria
for
a
locally-controlled
organization.
It
is
the
responsibility
of
the
recipient
of
this
solicitation
document
to
ensure
that
it
has
been
received
in
its
entirety,
including
subsequent
solicitation
amendments,
if
any.
USAID
bears
no
responsibility
for
data
errors
resulting
from
transmission
or
conversion
processes.
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
1
of
159
Solicitation# SOL-615-13-000012
In addition to regularly checking the Federal Business Opportunity (FBO) website for important new information, potential Offerors are encouraged to register to receive email notifications by going to the FBO page for Agile and Harmonized Assistance for Devolved Institutions (AHADI) project in Kenya, click on the "Watch This Opportunity" link, registering for an account to login, and following the instructions. Questions, comments and requests for clarifications must be sent to csigner@usaid.gov and copy to jkibabu@usaid.gov no later than the date and time mentioned above. USAID will hold a Pre-Proposal Conference to discuss the USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project)RFP. The purpose of the Pre-Proposal Conference is to ensure an understanding of the RFPs technical objectives and to review the application process. The Conference agenda will include a short presentation of the RFP and a question/answer session based on participants review of the RFP. All interested potential Offerors are welcome to attend, but it will be limited to 2 representatives per Offeror and all attendees must register. Registration instructions: If you are interested in attending the Pre-Proposal Conference on May 30, 2013 in Nairobi, Kenya, please send an email to Charles Signer, Contracting Officer, via e-mail at csigner@usaid.gov with a copy to Justine Kibabu, Acquisition and Assistance Specialist, at jkibabu@usaid.gov by close of business May 24, 2013. Include the name of your organization and the name(s) of the person(s) who will attend. USAID will respond with an email confirming registration, details of the location of the meeting, and a confirmation of the date and time. You must have a registration confirmation in order to be guaranteed entrance. Thank you for your interest in working with USAID. Sincerely, /s/ Sunil Xavier Supervisory Contracting Officer
The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 2 of 159
Solicitation#
SOL-615-13-000012
SOLICITATION, OFFER AND AWARD
2. CONTRACT NUMBER 3. SOLICITATION NUMBER
1. THIS CONTRACT IS A RATED ORDER UNDER DPAS (15 CFR 700) 4. TYPE OF SOLICITATION RATING 5. DATE ISSUED PAGE OF PAGES
N/A
161
SOL-615-13-000012
SEALED BID (IFB) 05/15/2013 REQ-615-13-000089 X NEGOTIATED (RFP)
7. ISSUED BY
CODE 8. ADDRESS OFFER TO (If other than Item 7) USAID/East Africa
Regional Acquisition and Assistance Office
Nairobi Place 8900 Washington D.C., 20521-8900
NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".
SOLICITATION
in original and ___________________ copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if handcarried, in the depository located in 9. Sealed offers See
Section L 1700 hours 05-XX-2013 until local time _______________________ (Hour) (Date)
CAUTION - LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All Offers are subject to all terms and conditions contained in this solicitation. 10. FOR INFORMATION CALL: A. NAME B. TELEPHONE (NO COLLECT CALLS) C. E-MAIL ADDRESS
AREA CODE NUMBER EXT.
Sunil Xavier +254-20-862-2297 sxavier@usaid.gov
See Attached Table of Contents 11. TABLE OF CONTENTS
(X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION
PART I - THE SCHEDULE PART II - CONTRACT CLAUSES
SOLICITATION/CONTRACT FORM X X A I CONTRACT CLAUSES X B
SUPPLIES OR SERVICES AND PRICES/COSTS PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH. X X C
DESCRIPTION/SPECS./WORK STATEMENT J LIST OF ATTACHMENTS X D
PACKAGING AND MARKING PART IV - REPRESENTATIONS AND INSTRUCTIONS X E
INSPECTION AND ACCEPTANCE REPRESENTATIONS, CERTIFICATIONS AND OTHER K
X X X
F G H DELIVERIES OR PERFORMANCE CONTRACT ADMINISTRATION DATA SPECIAL CONTRACT REQUIREMENTS
6. REQUISITION/PURCHASE NUMBER
PAGE(S)
X X X
STATEMENTS OF OFFERORS
L M
15B. TELEPHONE NUMBER AREA CODE NUMBER EXT. 15C. CHECK IF REMITTANCE ADDRESS IS DIFFERENT FROM ABOVE - ENTER SUCH ADDRESS IN SCHEDULE
17. SIGNATURE
The
Controller,
Regional
Financial
Management
Services
USAID/East
Africa
8900
Nairobi
Place
Washington
D.C,
20521-8900
27. UNITED STATES OF AMERICA 28. AWARD DATE
CODE
Sunil
Xavier
IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.
STANDARD FORM 33
(REV. 9-97)
Solicitation#
SOL-615-13-000012
Solicitation
#
SOL-615-13-000012
TABLE
OF
CONTENTS
COVER
LETTER
..........................................................................................................................................................................
1
PART
I
THE
SCHEDULE
............................................................................................................................................................
3
SECTION
A
SF
33
SOLICITATION,
OFFER
AND
AWARD
FORM
.....................................................................................................
3
SECTION
B
SUPPLIES
OR
SERVICES
AND
PRICE/COSTS
....................................................................................................................
8
B.1
PURPOSE
................................................................................................................................................................................
8
B.2
CONTRACT
TYPE
....................................................................................................................................................................
8
B.3
ESTIMATED
COST,
FIXED
FEE
AND
OBLIGATED
AMOUNT
.....................................................................................................
8
B.4
CONTRACT
LINE
ITEMS
..........................................................................................................................................................
8
B.5
CONTRACT
BUDGET
AND
CEILINGS
.......................................................................................................................................
9
B.6
COST
REIMBURSABLE
............................................................................................................................................................
9
B.7
INDIRECT
COST
......................................................................................................................................................................
9
B.8
CEILING
ON
INDIRECT
COST
RATES
AND
FINAL
REIMBURSEMENT
FOR
INDIRECT
COSTS
...................................................
10
B.9
SUBCONTRACTORS
..............................................................................................................................................................
10
SECTION
C
DESCRIPTION/SPECIFICATIONS/STATEMENT
OF
WORK
..............................................................................................
12
C.1
PURPOSE
AND
SCOPE
.........................................................................................................................................................
12
C.2
PROJECT
CONTEXT/BACKGROUND
......................................................................................................................................
13
C.3
PROJECT
MANAGEMENT
APPROACH
..................................................................................................................................
16
C.3.1
USAID/KENYAS
INVOLVEMENT
IN
DECISION-MAKING
.......................................................................................................
16
C.3.2
AGILE,
ADAPTIVE
PROGRAMMING
......................................................................................................................................
16
C.3.3
USAID
FORWARD
AND
LOCAL
CAPACITY
.............................................................................................................................
17
C.3.4
GEOGRAPHIC
FOCUS
...........................................................................................................................................................
18
C.4
PROGRAMMATIC
LINKAGES
................................................................................................................................................
19
C.4.1.
CROSS-SECTOR
FUNDING
....................................................................................................................................................
19
C.4.2
LINKAGES
TO
OTHER
USAID/KENYA
PROJECTS
...................................................................................................................
20
C.4.3
LINKAGES
TO
OTHER
USAID/KENYA
DRG
PROJECTS
...........................................................................................................
22
C.4.4
LINKAGES
TO
THE
WORK
OF
OTHER
DONORS
.....................................................................................................................
23
C.5
TECHNICAL
APPROACH
........................................................................................................................................................
25
C.5.1
OBJECTIVE
#1:
TARGETED
COUNTIES
PROVIDE
HIGHER
QUALITY
SERVICES
THROUGH
IMPROVED
GOVERNANCE
..........
25
C.5.2
OBJECTIVE
#2:
IMPROVED
REPRESENTATION
OF
CITIZEN
INTERESTS
AND
OVERSIGHT
OF
TARGETED
COUNTY
GOVERNMENT
PERFORMANCE
...........................................................................................................................................
35
C.5.3
OBJECTIVE
#3:
FUNCTIONALITY
AND
EFFECTIVENESS
OF
THE
DEVOLVED
SYSTEM
INCREASED
THROUGH
IMPROVED
INTRA-GOVERNMENT
ENGAGEMENT
AND
COOPERATION.
...............................................................................................
40
C.5.4
PROGRAM
MODIFIER/RAPID
RESPONSE
MECHANISM
(USD$
5,000,000)
..........................................................................
44
C.6
RISKS/ASSUMPTIONS/CONSTRAINTS
..................................................................................................................................
44
C.7
MONITORING,
EVALUATION,
REPORTING,
LEARNING
AND
ADAPTING
..............................................................................
45
C.7.1
IMPACT
EVALUATION
..........................................................................................................................................................
46
C.8
GRANTS
UNDER
CONTRACT
................................................................................................................................................
48
SECTION
D
PACKAGING
AND
MARKING
........................................................................................................................................
49
D.1
AIDAR
752.7009
MARKING
(JAN
1993)
...............................................................................................................................
49
D.2
BRANDING
POLICY
AND
STRATEGY
.....................................................................................................................................
49
D.3
APPROVAL
OF
CONTRACTOR
BRANDING
IMPLEMENTATION
AND
MARKING
PLAN
...........................................................
50
SECTION
E
INSPECTION
AND
ACCEPTANCE
...................................................................................................................................
51
E.1
NOTICE
LISTING
CONTRACT
CLAUSES
INCORPORATED
BY
REFERENCE
..............................................................................
51
E.2
INSPECTION
AND
ACCEPTANCE
...........................................................................................................................................
51
E.3
MONITORING
AND
EVALUATION
PLAN
...............................................................................................................................
51
SECTION
F
DELIVERIES
OR
PERFORMANCE
....................................................................................................................................
52
F.1
NOTICE
LISTING
CONTRACT
CLAUSES
INCORPORATED
BY
REFERENCE
..............................................................................
52
F.2
PERIOD
OF
PERFORMANCE
.................................................................................................................................................
52
F.3
PLACE
OF
PERFORMANCE
...................................................................................................................................................
52
F.3
PERFORMANCE
STANDARDS
...............................................................................................................................................
52
F.5
KEY
PERSONNEL
...................................................................................................................................................................
53
F.6
MANAGEMENT
OF
CONTRACT
............................................................................................................................................
55
F.7
REPORTS
AND
OTHER
DELIVERABLES
..................................................................................................................................
55
Solicitation
#
SOL-615-13-000012
F.8
REPORTING
FORMAT
...........................................................................................................................................................
61
F.9
LANGUAGE
OF
REPORTS
AND
OTHER
OUTPUTS
.................................................................................................................
62
F.10
EVALUATIONS
......................................................................................................................................................................
62
F.11
QUARTERLY
AND
ANNUAL
PERFORMANCE
REPORTING
.....................................................................................................
62
SECTION
G
CONTRACT
ADMINISTRATION
DATA
...........................................................................................................................
63
G.1
ADMINISTRATIVE
CONTRACTING
OFFICE
............................................................................................................................
63
G.2
CONTRACTING
OFFICER
AND
TECHNICAL
DIRECTION
AND
DESIGNATION
OF
RESPONSIBLE
USAID
OFFICIALS
.................
63
G.3
CONTRACTING
OFFICERS
REPRESENTATIVE
.......................................................................................................................
63
G.4
TECHNICAL
DIRECTIONS/RELATIONSHIP
WITH
USAID
........................................................................................................
63
G.5
ACCEPTANCE
AND
APPROVAL
.............................................................................................................................................
65
G.6
PAYING
OFFICE
....................................................................................................................................................................
65
G.7
CONTRACTOR
PAYMENT
ADDRESS
......................................................................................................................................
65
G.8
AIDAR
752.7003
DOCUMENTATION
FOR
PAYMENT
(NOV
1998)
........................................................................................
65
G.9
ACCOUNTING
AND
APPROPRIATION
DATA
.........................................................................................................................
67
G.10
CONTRACTORS
PRIMARY
POINT
OF
CONTACT
...................................................................................................................
67
SECTION
H
SPECIAL
CONTRACT
REQUIREMENTS
..........................................................................................................................
68
H.1
NOTICE
LISTING
CONTRACT
CLAUSES
INCORPORATED
BY
REFERENCE
..............................................................................
68
H.2
AIDAR
752.225-70
SOURCE
AND
NATIONALITY
REQUIREMENTS
(FEB
2012)(CLASS
DEVIATION
NO.
OAA-DEV-12-01C)
...
68
H.3
GOVERNMENT
OF
KENYA
LABOR
MARKET
POLICY
.............................................................................................................
69
H.4
PERSONNEL
REQUIREMENTS
...............................................................................................................................................
69
H.5
AIDAR
752.7007
PERSONNEL
COMPENSATION
(JULY
2007)
...............................................................................................
70
H.6
ADDITIONAL
REQUIREMENTS
FOR
PERSONNEL
COMPENSATION
......................................................................................
70
H.7
752.231-71
SALARY
SUPPLEMENTS
FOR
HG
EMPLOYEES
(OCT
1998)
................................................................................
72
H.8
PERSONAL
IDENTITY
VERIFICATION
OF
CONTRACTOR
PERSONNEL
(JULY
2007)
................................................................
72
H.9
HOMELAND
SECURITY
PRESIDENTIAL
DIRECTIVE
-12
..........................................................................................................
72
H.10
AIDAR
722.170
EMPLOYMENT
OF
THIRD
COUNTRY
NATIONALS
(TCNS)
AND
COOPERATING
COUNTRY
NATIONALS
(CCNS)
.................................................................................................................................................................................
73
H.11
AIDAR
752.7004
EMERGENCY
LOCATOR
INFORMATION
(JUL
1997)
...................................................................................
74
H.12.
AIDAR
752.7005
SUBMISSION
REQUIREMENTS
FOR
DEVELOPMENT
EXPERIENCE
DOCUMENTS
(JAN
2004)
....................
75
H.13
INSURANCE
AND
SERVICES
..................................................................................................................................................
76
H.14
AIDAR
752.228-70
MEDICAL
EVACUATION
(MEDEVAC)
SERVICES
(JULY
2007)
..................................................................
77
H.15
AUTHORIZED
GEOGRAPHIC
CODE
.......................................................................................................................................
78
H.16
LANGUAGE
REQUIREMENTS
................................................................................................................................................
78
H.17
CONTRACTORS
STAFF
SUPPORT
AND
ADMINISTRATIVE
AND
LOGISTICAL
ARRANGEMENTS
............................................
78
H.18
AUTHORIZED
WORK
DAY/WEEK
..........................................................................................................................................
78
H.19
AIDAR
752.7025
APPROVALS
(APR
1984)
............................................................................................................................
78
H.20
AIDAR
752.7032
INTERNATIONAL
TRAVEL
APPROVAL
AND
NOTIFICATION
REQUIREMENTS
(JAN
1990)
..........................
79
H.21
BUSINESS
CLASS
TRAVEL
.....................................................................................................................................................
79
H.22
CONTRACTORS
USE
OF
PROJECT
VEHICLES
AND
LIABILITY
INSURANCE
REQUIREMENTS
FOR
PRIVATELY
OWNED
VEHICLES
..............................................................................................................................................................................
79
H.23
GOVERNMENT
FURNISHED
FACILITIES
OR
PROPERTY
.........................................................................................................
79
H.24
AIDAR
752.245-71
TITLE
TO
AND
CARE
OF
PROPERTY
(APR
1984)
.....................................................................................
80
H.25
APPROVALS
FOR
NONEXPENDABLE
PROPERTY
PURCHASES
...............................................................................................
80
H.26
FOREIGN
GOVERNMENT
DELEGATIONS
TO
INTERNATIONAL
CONFERENCES
(JAN
2002)
..................................................
80
H.27
VALUE
ADDED
TAX
(VAT)
AND
CUSTOM
DUTIES
.................................................................................................................
81
H.28
REPORTING
ON
FOREIGN
TAXES
(JULY
2007)
......................................................................................................................
81
H.29
CONFLICTS
OF
INTEREST
......................................................................................................................................................
82
H.30
AIDAR
752.7034
ACKNOWLEDGMENT
AND
DISCLAIMER
(DEC
1991)
.................................................................................
83
H.31
EXECUTIVE
ORDER
ON
TERRORISM
FINANCING
..................................................................................................................
83
H.32
SECURITY
CONDITIONS
........................................................................................................................................................
84
H.33
SECURITY
REPORTING
..........................................................................................................................................................
84
H.34
LIFE
SUPPORT
AND
SECURITY
SERVICES
..............................................................................................................................
84
H.35
USAID
DISABILITY
POLICY
-
ACQUISITION
(DECEMBER
2004)
..............................................................................................
84
H.36
AIDAR
752.7101
VOLUNTARY
POPULATION
PLANNING
ACTIVITIES
(JUNE
2008)
...............................................................
85
Solicitation
#
SOL-615-13-000012
H.37
H.38
H.39
H.40
H.41
H.42
H.43
H.44
ORGANIZATIONAL
CONFLICT
OF
INTEREST
.........................................................................................................................
85
ENVIRONMENTAL
COMPLIANCE
.........................................................................................................................................
85
NONDISCRIMINATION
(JUN
2012)
.......................................................................................................................................
86
DISCLOSURE
OF
INFORMATION
...........................................................................................................................................
86
REQUESTS
FOR
CONSENT
TO
SUBCONTRACT
......................................................................................................................
87
AIDAR
752.227-14
RIGHTS
IN
DATA
GENERAL
(OCT
2007)
...............................................................................................
87
TRANSITION
OF
KNOWLEDGE,
SKILLS
AND
ABILITIES
.........................................................................................................
87
USAID
IMPLEMENTATION
OF
SECTION
508
OF
THE
REHABILITATION
ACT
OF
1973
AND
FEDERAL
ACQUISITION
CIRCULAR
(FAC)
97-27
"ELECTRONIC
AND
INFORMATION
TECHNOLOGY
ACCESSIBILITY
....................................................................
88
H.45
NONEXPENDABLE
PROPERTY
PURCHASES
AND
INFORMATION
TECHNOLOGY
RESOURCES
.............................................
88
H.46
SUBCONTRACTING
PLAN
AND
THE
SF
294
SUBCONTRACTING
REPORT
FOR
INDIVIDUAL
CONTRACTS
AND
SF
295
SUMMARY
CONTRACTING
REPORT
.....................................................................................................................................
89
H.47
PUBLICATIONS
AND
MEDIA
RELEASES
(JAN
2004)
..............................................................................................................
89
H.48
PROHIBITION
OF
ASSISTANCE
TO
DRUG
TRAFFICKERS
.......................................................................................................
90
H.49
PROHIBITION
ON
THE
USE
OF
FEDERAL
FUNDS
TO
PROMOTE,
SUPPORT,
OR
ADVOCATE
THE
LEGALIZATION
OR
PRACTICE
OF
PROSTITUTION
TIP
ACQUISITION
(MAY
2007)
............................................................................................................
90
H.50
GENDER
CONSIDERATION
...................................................................................................................................................
91
H.51
STANDARDS
OF
CONDUCT
--
IMPROPER
BUSINESS
PRACTICES
..........................................................................................
91
H.52
SUBMISSION
OF
TRANSPORTATION
DOCUMENTS
FOR
AUDIT
(FEB
2006)
.........................................................................
91
H.53
752.219-70
USAID
MENTOR-
PROTG
PROGRAM
(JUL
2007)
...........................................................................................
92
H.54
PRESS
RELATIONS
................................................................................................................................................................
92
PART
II
-
CONTRACT
CLAUSES
...........................................................................................................................................................
93
SECTION
I
CONTRACT
CLAUSES
.....................................................................................................................................................
93
I.1
NOTICE
LISTING
CONTRACT
CLAUSES
INCORPORATED
BY
REFERENCE
..............................................................................
93
I.2
52.252-2
CLAUSES
INCORPORATED
BY
REFERENCE
(FEB
1998)
..........................................................................................
95
I.3
52.227-23
RIGHTS
TO
PROPOSAL
DATA
(TECHNICAL)
(JUN
1987)
......................................................................................
96
I.4
52.204-1
APPROVAL
OF
CONTRACT
(DEC
1989)
..................................................................................................................
96
I.5
52.203-13
CONTRACTOR
CODE
OF
BUSINESS
ETHICS
AND
CONDUCT
(APR
2010)
.............................................................
96
I.6
52.209-9
UPDATES
OF
PUBLICLY
AVAILABLE
INFORMATION
REGARDING
RESPONSIBILITY
MATTERS
(FEB
2012)
.............
99
I.7
52.232-99
PROVIDING
ACCELARATED
PAYMENT
TO
SMALL
BUSINESS
-
SUBCONTRACTORS
(DEVIATION)
(AUG
2012)
.
100
I.8
52.232-22
LIMITATION
OF
FUNDS
.....................................................................................................................................
100
PART
III
LIST
OF
DOCUMENTS,
EXHIBITS,
AND
OTHER
ATTACHMENTS
.......................................................................................
103
SECTION
J
LIST
OF
DOCUMENTS
EXHIBITS
AND
OTHER
ATTACHMENTS
.....................................................................................
103
PART
III
REPRESENTATIONS
AND
INSTRUCTIONS
........................................................................................................................
104
SECTION
K
REPRESENTATIONS,
CERTIFICATIONS
AND
OTHER
STATEMENTS
OF
OFFERORS
OR
RESPONDENTS
........................
104
SECTION
L
INSTRUCTIONS,
CONDITIONS,
AND
NOTICES
TO
OFFERORS
......................................................................................
109
L.1
NOTICE
LISTING
SOLICITATION
PROVISIONS
INCORPORATED
BY
REFERENCE
..................................................................
109
L.2
52.215-1
INSTRUCTIONS
TO
OFFERORS-COMPETITIVE
ACQUISITION
(JAN
2004)
............................................................
109
L.3
52.233-2
SERVICE
OF
PROTEST
(SEP
2006)
........................................................................................................................
113
L.4
GOVERNMENT
OBLIGATION
..............................................................................................................................................
113
L.5
INSTRUCTIONS
TO
OFFERORS
...........................................................................................................................................
113
L.6
INSTRUCTIONS
FOR
THE
PREPARATION
OF
THE
TECHNICAL
PROPOSAL
..........................................................................
115
L.7
COST
PROPOSALS
..............................................................................................................................................................
120
L.9
OFFER
VALIDITY
.................................................................................................................................................................
124
L.10
INSTRUCTIONS
FOR
THE
PREPARATION
OF
BRANDING
IMPLEMENTATION
AND
MARKING
PLANS
.................................
124
SECTION
M
EVALUATION
FACTORS
FOR
AWARD
........................................................................................................................
127
M.1
GENERAL
INFORMATION
...................................................................................................................................................
127
M.2
EVALUATION
FACTORS
......................................................................................................................................................
127
M.3
TECHNICAL
PROPOSAL
EVALUATION
CRITERIA
.................................................................................................................
128
M.4
COST
PROPOSAL
EVALUATION
..........................................................................................................................................
130
M.5
SOURCE
SELECTION
...........................................................................................................................................................
130
M.6
DETERMINATION
OF
THE
COMPETITIVE
RANGE
...............................................................................................................
131
M.7
AWARD
..............................................................................................................................................................................
131
ATTACHMENTS
...............................................................................................................................................................................
132
Solicitation # SOL-615-13-000012
PART I THE SCHEDULE SECTION B SUPPLIES OR SERVICES AND PRICE/COSTS B.1 PURPOSE
The proposed AHADI (Agile and Harmonized Assistance for Devolved Institutions) project will help make it possible for Kenyas devolution process to uphold its promise, instead of further inflaming longstanding issues within the country. AHADI, which means promise in Kiswahili, will strengthen the governance systems of Counties making them more competent, transparent, accountable and inclusive in their governance and service delivery. It will also build the capacity of civil society to more effectively represent citizen interests and aspirations to County governments. Finally, the project will support the development of institutions and structures that will help Counties cooperate and advance their interests with the National government. B.2 CONTRACT TYPE
The U.S. Government contemplates award of a Cost-Plus-Fixed-Fee (CPFF) completion type contract resulting from this solicitation. The Statement of Work (SOW) for this contract is laid out in Section C of this document. Offerors are expected to design and propose a program that will meet the requirements therein. The period of performance for this CPFF contract is five years. For the consideration set forth below, the Contractor shall achieve the performance objectives and deliverables or outputs described in Sections, C, D and F and otherwise comply with all contract requirements. B.3 ESTIMATED COST, FIXED FEE AND OBLIGATED AMOUNT
(a) The Total Estimated Cost for a period of five year is $______________. The Fixed Fee (if any) is $____________. The Total Estimated Cost plus Fixed Fee (if any) is $____________. (b) Within the estimated cost plus fixed fee (if any) specified in paragraph (a) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the Contractor (and payment of fee, if any) for performance of the contract period hereunder is $_________________. The Contractor shall not exceed the aforesaid obligated amount unless authorized by the Contracting Officer pursuant to the clause of this contract entitled Limitation of Funds (FAR 52.232-22). See Section I of this contract. (c) Funds obligated hereunder are anticipated to be sufficient through ________________. (d). Because the clauses entitled "Allowable Cost and Payment" (FAR 52.216-7) and "Fixed Fee" (FAR 52.216-8)are incorporated into this contract, the terms and conditions of these clauses apply after total payments of fixed fee reach eighty-five percent (85%) of the total fixed fee. B.4 CONTRACT LINE ITEMS Totals TBD $5,000,000 TBD
Contract Line Item Numbers (CLINs) CLIN 0001 CLIN 0002 CLIN 0003
The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 8 of 159
Solicitation # SOL-615-13-000012
CLIN 0004
TBD
NOTES: Contract Line item Number CLIN 0001, CLIN 0002, CLIN 0003, and CLIN 0004 are the prime Contractors estimated direct and indirect cost for project management performance plus fees. Grants under Contract CLIN 0004 will not include fees. Payment for these CLINs shall be handled on an actual cost reimbursement, plus fees payment basis. The Ceiling Price is the total of all CLINs and represents the total maximum value of the contract. This contract does not cover (and will not reimburse) host country taxes, customs liens and other fees pursuant to the USAID/Kenya agreement. B.5 CONTRACT BUDGET AND CEILINGS
(a) The contract budget found in the Section B.4 contract line items is based on the contractors original proposal and/or final proposal revision, which was accepted by USAID through award of this contract. (b) Without the prior written approval of the Contracting Officer, the contractor may not exceed the total estimated cost set forth in the budget or the obligated amount. B.6 COST REIMBURSABLE
The U.S. dollar costs allowable shall be limited to necessary reasonable, allowable and allocable costs determined in accordance with FAR 31 (Contract Cost Principles), OMB A-21 (Cost Principles for Educational Institutions), 2 CFR 230 (Cost Principles for Non-Profit Organizations), FAR 52.216-7 (Allowable Cost and Payment), Allowable Cost and Payment (DEC 2002),FAR 52.216-8 (Fixed Fee), if applicable, and AIDAR 752.7003 (Documentation for Payment), in order to be reimbursable under this contract. B.7 INDIRECT COST
The contract clause entitled FAR 52.216-7, Allowable Cost and Payment (JUN 2011), specifies that the indirect cost rates shall be established for each of the contractors accounting periods that apply to this contract. Pending establishment of revised provisional or final indirect cost rates, allowable indirect costs shall be reimbursed on the basis of the following negotiated provisional or predetermined rates and the appropriate bases: Description Rate Base Type Period TBD TBD 1/ 1/ 1/ TBD TBD 2/ 2/ 2/ 1/Base of Application: Type of Rate: Period: Source: 2/Base of Application: Type of Rate: Period: Source: [To be determined] Note: The Contractor is allowed to recover applicable indirect costs (i.e., overhead, G&A, etc.) on other direct costs (ODCs), if it is part of the Contractors usual accounting procedures, consistent with FAR Part 31, and Negotiated
The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 9 of 159
Solicitation # SOL-615-13-000012
Indirect Cost Rate Agreement (NICRA). Indirect costs shall not be allowed for local organizations. All costs for local organizations shall be budgeted and billed as direct costs. B.8 CEILING ON INDIRECT COST RATES AND FINAL REIMBURSEMENT FOR INDIRECT COSTS
(a) Reimbursement for allowable indirect costs shall be at final negotiated rates but not in excess of the following ceiling rates: Description Rate Base Type Period TBD TBD 1/ 1/ 1/ TBD TBD 2/ 2/ 2/ [To be completed by the Offeror] (b) The contractor shall make no changes in its established method of classifying or allocating indirect costs without the prior written approval of the Contracting Officer. (c) USAID is not obligated to pay any additional amount on account of indirect costs above the ceiling rates established in the contract. (d) This understanding will not change any monetary ceiling, obligation or cost limitation established in the contract. B.9 SUBCONTRACTORS
Pursuant
to
FAR
Clause
52.244-4,
the
following
subcontractors
were
identified
and
agreed
to
during
negotiations
to
provide
the
services
covered
by
this
contract.
TBD
B.
10
MULTI-YEAR
CONTRACT
CLIN
001,
002,
and
003
are
considered
non-severable,
and
is
therefore
a
multi-year
contract
as
defined
in
FAR
17.103.
Therefore,
this
contract
is
subject
to
the
requirements
of
FAR
17.106.
Cancellation
Dates:
Contract
Year
2:
September
1,
2014
Contract
Year
3:
September
1,
2015
Contract
Year
4:
September
1,
2016
Contract
Year
5:
September
1,
2017
Cancellation
Ceiling:
This
is
a
CPFF
type
contract
where
the
contractor
is
authorized
to
be
reimbursed
for
all
costs
which
are
allowable
in
accordance
with
FAR
52.216-7,
Allowable
Costs
and
Payment.
Therefore,
the
contractor
will
not
incur
any
costs
which
would
have
been
amortized
over
the
life
of
the
contract
should
the
contract
be
cancelled
in
accordance
with
FAR
52.217-2.
Therefore,
the
cancellation
ceiling
for
each
cancellation
date
is
[negotiated
amount].
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
10
of
159
Solicitation # SOL-615-13-000012
B.11 PAYMENT OF FIXED FEE The Contractors fixed fee is tied to the accomplishment of the deliverables outlined in Section F. Upon successful achievement of the deliverable, the Contractor shall provide evidence of the achievement to the Contracting Officers Representative and the Contracting Officer. Upon acceptance by USAID and receipt of approval from the Contracting Officer, the Contractor shall submit an invoice for the amount of the fee associated with the deliverable. [To be completed at Award] END OF SECTION B
The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 11 of 159
Solicitation
#
SOL-615-13-000012
With the adoption of the 2010 Constitution, Kenya has set itself inexorably on a path towards devolution. While many questions remain as to the extent and quality of that process, devolution is expected to move forward following the March 2013 elections with 47 Counties formed, led by newly elected officials wielding new powers that will have to navigate an uncharted course in governance and service delivery. Yet there is great concern that the country has not adequately prepared for this transition. And, without the proper strategies, capacities, resources, and structures in place, devolution will not succeed as hoped. The lesson of decentralization from around the world is that it can be successful in creating more responsive, open, and pluralistic government. But it also runs the risk of systemic failure that further exacerbates the problems that it was intended to alleviate often leading to a frustrated populace and a re-centralization of power. This is nowhere more true than in the Kenyan context. While devolution holds the promise of potentially alleviating conflict, delivering more responsive services, and empowering citizens, it could just as easily exacerbate ethnic tension, worsen service delivery, and reinforce corruption and unaccountable governance. In addition to completely remaking Kenyas governance structure, devolution will impact every facet of life in Kenya and every service delivered by the Government of Kenya (GOK). Consequently, it will affect every sector that USAID/Kenya engages in, including democracy and governance, health, agriculture and natural resources, economic growth, opportunities for youth engagement, and eventually education. It is arguably the single most significant governance process that Kenya faces over the next decade. Improving democracy and governance systems within a County contributes significantly to the legitimacy of local governments and their ability to provide improved services across multiple sectors, thus better meeting citizen needs, and forging a stronger link between citizens and their government. The purpose of the AHADI project is to help Kenya achieve the promise of devolution: a governance system that is more transparent, accountable, effective in service delivery, and responsive to empowered citizens. While at the same time, the project seeks to help Kenya minimize the potential dangers of devolution: diffusion of corruption, increased marginalization, exacerbated conflict, and disruptions in service delivery. Activities to support successful devolution fall squarely within one of USAIDs Core Development Objectives: Expand and sustain the ranks of stable, prosperous, and democratic states: supporting the next generation of democratic transitions, as detailed in the USAID Policy Framework 2011-2015. There are three objectives under AHADI that are further elaborated below: Objective #1: Targeted Counties provide higher quality services through improved governance. Objective #2: Improved representation of citizen interests and oversight of targeted County government performance. Objective #3: Functionality and effectiveness of the devolved system increased through improved intra- government engagement and cooperation.
The
Contractor
shall
improve
targeted
County
governance
by
making
sure
that
it
is
more
informed,
capable,
transparent,
accountable
and
open
to
the
participation
of
its
citizens
especially
historically
marginalized
groups.
The
Contractor
shall
also
assist
Counties
to
work
more
effectively
with
each
other
and
the
National
government
to
ease
the
transition
process,
jointly
manage
services,
learn
from
each
others
efforts,
and
give
County
concerns
a
platform
at
the
National
level.
At
the
same
time,
the
Contractor
shall
support
civil
society
to
mobilize
citizens
to
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
12
of
159
Solicitation
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action, as well as to engage with County governments to effectively represent citizen interests and hold those governments to account. Thus, the Contractor shall work on both the supply side of good governance through support to targeted Counties, and the demand side through support to civil society. It is at this intersection of supply and demand where Counties have the tools and capacity to govern well and provide quality services, and citizens are able to incentivize good governance and quality service by effectively monitoring it and advocating for it that AHADI will achieve results that enhance citizens lives, address long-standing development challenges, and help fulfill the promise of devolution. This proposed 5 year activity is expected to commence in the fourth quarter of Fiscal Year 2013. The Contractor shall work both at the National level benefiting the governance of all Counties to an extent and at the County level, where it shall concentrate on improving governance in 15-20 targeted Counties. In line with USAID Forward objectives, it shall be implemented to strengthen the capacity of local organizations to incrementally take over project leadership. It shall also maximize cross-sector programming opportunities to enhance developmental impact and make use of a diversity of funding sources to affect both general governance and sector-specific issues including health, agriculture and natural resources, education and youth. Multi-sector programming is complex and shall require close interaction across USAID technical teams at the Mission and with the implementing partner(s). This type of activity shall also require the Contractor to have strong financial management tracking systems and strong monitoring and evaluation systems so that each dollar invested can be traced to its impact in the respective sector at county level (i.e. health, agriculture and natural resources, education and youth, and democracy, rights and governance). C.2 PROJECT CONTEXT/BACKGROUND
Kenyan
governance
has
historically
been
plagued
by
the
twin
challenges
of
a
lack
of
inclusion
and
accountability.
Most
elections
in
the
countrys
history
have
not
been
free
and
fair,
and
leaders
have
often
been
more
interested
in
perpetuating
their
own
rule
and
capturing
government
resources
than
in
serving
the
populace
and
being
responsive
to
its
needs.
When
elections
were
held,
they
were
seen
as
winner
take
all
affairs
an
outlook
that
dramatically
raised
the
stakes
(often
leading
to
violence)
and
led
to
the
winning
group
seeing
it
as
their
turn
to
eat
(as
the
Kenyan
phrase
goes;
or
in
other
words,
taking
advantage
of
the
victory
spoils
to
the
detriment
of
the
losing
group).
Devolution
was
intended
to
address
inclusion
by
creating
more
opportunities
for
different
groups
to
win
at
the
County
level
(even
if
they
lose
at
the
National
level).
It
was
intended
to
address
issues
of
accountability
by
giving
people
electoral
power
over
local
politicians
the
decision-makers
theoretically
closest
to
the
grassroots
and
most
responsible
for
meeting
citizen
needs.
However,
while
there
are
indeed
opportunities
for
devolution
to
address
these
historic
challenges,
there
are
many
potential
pitfalls
along
the
way
that
can
undermine
the
intentions
of
reform.
Those
concerns
are
described
below,
and
the
Contractor
shall
ensure
the
AHADI
project
addresses
those
concerns,
and
therefore
increases
the
likelihood
that
devolution
will
fulfill
its
promise.
RESPONSIBILITY
FOR
SERVICES
Though
the
Constitution
gives
a
broad
framework
dividing
responsibility
between
the
National
government
and
the
Counties,
there
are
still
many
questions
regarding
the
details
of
who
does
what,
how
that
is
decided,
when
the
transfer
takes
place,
and
how
effectively
services
will
be
delivered
when
the
transfer
is
complete.
Ministries
will
have
to
work
closely
with
the
Transition
Authority
(TA)
to
divide
responsibilities
clearly
and
to
transfer
them
to
the
Counties
at
a
reasonable
pace.
Kenyas
devolution
process
could
fail
if
it
precedes
either
too
slowly
or
too
rapidly.
For
example,
the
former
could
mean
the
central
government
dragging
its
feet
on
the
transfer
of
power,
while
the
latter
could
occur
through
delegation
of
responsibility
before
capacity
is
in
place.
In
addition,
hopes
amongst
the
Kenyan
populace
for
devolution
are
extremely
high
and
rapid
improvements
are
expected.
However,
given
the
very
real
possibility
that
service
delivery
will
decline
for
a
period
as
Counties
learn
how
to
manage
their
new
responsibilities,
those
expectations
will
have
to
be
managed
carefully
as
concurrent
efforts
are
made
to
rapidly
ramp
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
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Solicitation
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SOL-615-13-000012
up
service
delivery.
A
final
challenge
is
the
possibility
of
the
National
Government
seeking
to
keep
intact
the
Provincial
Administration
to
maintain
executive
power
at
the
local
level.
These
efforts
could
result
in
a
parallel
system
to
County
government
that
would
require
Counties
to
coordinate
closely
with
the
perpetuated
Provincial
Administration
to
avoid
duplication
and
conflict
over
responsibility.
COUNTY
CAPACITY
It
will
be
important
for
Counties
to
develop
capacity
of
both
high-level
decision-makers
and
on-the-ground
staff
so
that
they
will
be
prepared
to
take
on
their
new
responsibilities.
However,
there
are
many
questions
left
unanswered
as
to
which
civil
servants
will
be
transferred
to
Counties
and
how
long
they
will
be
retained
there.
Additional
concerns
are
that
the
hiring
process
will
be
based
on
cronyism
instead
of
merit,
and
that
remote
Counties
will
not
be
able
to
attract
sufficient
talent.
Though
the
TA
is
tasked
with
building
up
the
capacity
of
Counties,
it
is
unclear
if
it
will
have
sufficient
resources
to
do
so
in
a
timely
manner.
Moreover,
at
the
highest
levels
of
the
Counties,
there
will
be
numerous
elected
and
appointed
leaders
who
have
never
held
office
and
will
not
arrive
with
the
knowledge
they
need
to
effectively
lead
the
County.
Given
the
requirement
that
no
more
than
2/3
of
all
elected
and
appointed
bodies
be
represented
by
a
single
gender,
many
of
the
new
leaders
that
need
additional
capacity
will
be
women
who
may
not
have
had
the
opportunities
their
male
colleagues
have
had
to
develop
their
leadership
capacity.
FUNDING
One
of
the
biggest
potential
pitfalls
with
devolution
is
the
possibility
that
there
wont
be
sufficient
funding
provided/created
at
the
County
level
to
pay
for
all
of
the
services
devolved.
County
financial
requirements
will
likely
not
be
fully
met
by
the
planned
National
revenue
transfers
to
the
Counties
(a
minimum
of
15%
of
National
revenues,
according
to
the
Constitution).
Many
of
the
poorest
Counties
will
be
challenged
to
raise
their
own
revenues
through
taxes
and
fees
that
do
not
put
an
undue
burden
on
their
constituents
(e.g.,
through
high
health
service
fees,
property
taxes,
etc.)
This
potential
gap
between
County
revenues
and
responsibilities
could
have
a
dramatic
negative
impact
on
service
delivery
across
sectors,
and
create
a
further
disincentive
against
Counties
taking
ownership
of
services
(especially
health
services)
that
are
heavily
supported
by
outside
donors.
It
is
also
not
clear
if
the
entire
process
is
affordable
for
the
country
as
a
whole
without
taking
on
untenable
levels
of
debt
at
the
National
and
County
levels.
CORRUPTION
AND
ACCOUNTABILITY
While
devolution
is
intended
to
bring
government
closer
to
citizens,
and
hence
make
it
more
transparent
and
accountable,
it
also
provides
new
entry
points
and
opportunities
for
corruption,
and
could
easily
replicate
old
National
patterns
of
obfuscation,
unresponsiveness
and
unaccountability
at
the
local
level.
The
recent
discovery
of
large
oil
resources
in
Kenya
could
potentially
result
in
even
greater
corruption
issues
with
regards
to
land
and
extractive
industries
transparency.
Ensuring
that
County
governments
are
open
and
engaged
with
citizenry
will
be
an
enormous
challenge
going
forward.
While
the
new
Constitution
and
legislation
include
principles
of
transparency
and
inclusive
governance,
there
are
few
if
any
specific
mechanisms
described
therein
to
guarantee
it.
And
while
the
Public
Financial
Management
(PFM)
Law
largely
seems
to
balance
National
policy
with
local
control
while
creating
a
degree
of
accountability,
it
will
still
require
diligent
application
by
the
Counties.
Much
will
need
to
be
done
to
assist
Counties
to
set
up
the
structures
and
opportunities
that
give
life
to
these
overall
principles,
and
that
will
allow
for
an
engaged
citizenry
that
can
participate
in
governance
and
hold
representatives
to
account.
Without
this
transparency
and
accountability,
the
entire
purpose
of
devolution
will
be
undermined,
and
funding
for
needed
services
will
be
lost
to
corruption.
MARGINALIZED
ETHNIC
GROUPS
Devolution
will
help
to
address
the
National-level
winner
take
all
problem
by
creating
more
opportunities
for
different
ethnic
groups
to
achieve
power
at
the
County
level.
However,
in
so
doing,
it
will
also
create
new
minorities
The
USAID/Kenya
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within
County
borders
that
could
potentially
fall
victim
to
a
replication
of
the
National
our
turn
to
eat
mentality.
More
than
half
of
Kenyas
47
Counties
will
have
a
sizeable
ethnic
minority
who
are
likely
to
be
under-represented
at
the
County
level.
It
is
easy
to
imagine
a
scenario
where
a
minority
is
shut
out
of
equitable
services
either
through
capture
by
the
majority
or
simple
neglect.
Though
the
new
Constitution
and
subsequent
legislation
enshrines
protections
for
marginalized
groups
and
supports
their
inclusion,
these
documents
are
short
on
details
for
how
this
will
happen,
which
could
lead
to
County
governments
either
ignoring
those
principles
or
falling
back
on
tokenism
without
actually
addressing
minority
concerns.
Two
examples
in
the
legislation
help
to
illustrate
this.
First,
though
County
officials
are
elected,
all
officials
below
that
level
are
appointed.
These
appointed
positions
could
quite
easily
be
abused
by
those
in
power
appointing
managers
that
are
not
responsive
to
the
needs
of
minorities
in
the
areas
they
oversee,
and
thus
further
marginalizing
those
who
are
already
disenfranchised.
Another
example
lies
in
the
fact
that
six
representatives
of
marginalized
groups
will
be
appointed
to
the
County
assembly,
but
the
legislation
is
silent
on
how
those
seats
will
be
equitably
divided,
or
how
the
appointees
will
be
chosen.
A
single
group
could
be
rewarded
for
supporting
the
majority
while
another
is
shut
out
completely,
or
the
majority
could
appoint
safe
minority
representatives
that
they
know
will
not
actively
stand
up
for
the
groups
they
are
meant
to
represent.
GOVERNMENT
COMMITMENT
National
administrative
commitment
to
devolution
could
change
dramatically
over
time
based
on
elections
and/or
the
changing
priorities
of
those
in
power.
Moreover,
it
is
likely
that
commitment
to
devolution
will
vary
within
an
administration
depending
on
the
Ministry
or
other
body
in
question.
In
addition
to
elected
and
appointed
officials
in
the
executive,
legislators
will
also
have
considerable
say
over
the
extent,
pace,
and
implementation
of
decentralization.
At
the
County
level,
newly
elected
local
politicians
may
be
willing
to
engage
with
their
constituents,
civil
society,
and
donor-funded
projects
in
a
way
that
enhances
their
Countys
transparency
and
accountability.
However,
some
County
leaders
may
turn
aside
such
efforts.
This
variability
among
Counties
will
provide
both
a
challenge
and
opportunity
for
meaningful
engagement.
It
also
provides
a
brand-new
prospect
for
demonstrating
differing
outcomes
between
Counties
that
embrace
participatory
governance
and
those
that
reject
it.
CIVIL
SOCIETY
In
many
Counties,
especially
those
further
from
major
population
centers,
civil
society
is
disjointed,
underdeveloped
and
lacks
sustainability,
institutional
capacity
and
the
skills
required
to
carry
out
its
advocacy
and
watchdog
roles.
In
many
cases,
Civil
Society
Organizations
(CSOs)
lack
a
true
constituency
of
supporters
that
would
give
weight
and
grassroots
validity
to
their
advocacy,
and
they
often
do
not
work
effectively
with
citizens
to
help
them
engage
in
the
governance
process.
This
can
lead
to
a
passive
and
apathetic
citizenry
that
has
high
hopes
for
the
success
of
devolution,
but
that
does
not
fully
realize
that
success
is
predicated
on
greater
citizen
involvement.
LAND
AND
BOUNDARIES
Land
issues
are
among
the
most
contentious
faced
by
Kenya,
and
although
the
new
Constitution,
the
subsequent
laws
that
have
been
passed,
and
the
coming
County
structure
offer
some
opportunities
for
grappling
with
these
long
standing
land
issues,
there
are
also
numerous
challenges
ahead.
First
there
is
the
possibility
that
without
proper
oversight,
elites
will
continue
the
historic
practice
of
capture
of
public
lands
at
the
County
level;
or
put
in
place
policies
that
allow
their
constituents
to
benefit
from
resources
to
the
exclusion
of
marginalized
groups
further
exacerbating
existing
tensions.
The
legal
framework
on
land
is
also
less
than
clear
on
National
versus
County
responsibility.
Recent
legislation
has
called
for
the
establishment
of
a
National
Registrar,
County
Registrars,
a
National
Land
Commission,
County-level
offices
of
the
National
Land
Commission,
County
Land
Boards,
and
Community
Land
Boards
while
failing
to
clearly
delineate
who
has
responsibility
for
what.
Confusion
over
these
structures
can
lead
to
mismanagement
and
conflict.
There
is
also
potential
for
conflict
as
sub-County
boundaries
are
drawn.
Groups
may
find
themselves
marginalized
within
wards
or
constituencies
that
are
dominated
by
other
ethnicities,
and
may
protest
vociferously.
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and
Harmonized
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for
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Institutions
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C.3
C.3.1 USAID/KENYAS INVOLVEMENT IN DECISION-MAKING This USAID/Kenya project is an integral element of the US Governments assistance in Kenya. USAID/Kenya and the AHADI Contractor shall work in close consultation throughout the implementation of the project. USAID/Kenya and the Contractor shall function as an integrated, operational team with shared program vision and equal commitment to success of the program. Generally, the Contractor is responsible for implementation of the program strategy (and recommending changes in that strategy) as approved by USAID/Kenya to achieve the desired impact. The Contractor shall bring to bear its best corporate capacities and strengths, through its field and headquarters staff (as well as that of its partners), to effectively design and implement program activities towards achieving the programs objectives as well as contribute to the on-going development of responsive, informed program direction. Based upon continuing context analysis, USAID/Kenya, through the assigned Contracting Officers Representative (COR), is responsible for identifying changes in overall program strategy and programmatic focus. The COR will consult with the Contractor and Contractor staff on a day-to-day basis, share analysis and communicate program strategy to the program team. Under the direction of the CO, the COR will provide technical direction for any changes in the types and/or range of organizations and grantees to be supported or funded, as well as any proposed changes to the geographic or issue-specific focus areas of assistance. If necessary, the COR will be responsible for invoking CLIN 0002 with the approval of the Contracting Officer. While the COR has primary responsibility for on- going strategic, political context analysis, this strategic analysis is also directly informed by the local analysis of Contractor staff and the evaluation of recent activities. This operational approach affords maximum flexibility a definitive asset in such a fluid environment, but also requires very close communication, cooperation and coordination between USAID/Kenya and the Contractor. Such an integrated, collaborative approach is essential for managing the stress of rapid implementation of a complex and politically delicate program in a fluid environment while maintaining programmatic adaptability. C.3.2 AGILE, ADAPTIVE PROGRAMMING The Contractor shall respond quickly to changing realities and priorities. As elaborated throughout this solicitation, this shall require the Contractor to adapt to changes in the project and operating environment that include: The relative strengths and expressed preferences of NGO partners, The relative strengths and demonstrated commitment of County governments, Complimentary projects (whether they are USG or funded by other donors), Shifts in USG priorities for project activities and geographic focus based on funding sources or other requirements, and Shifts in the operating environment that affects the identified risks/assumptions of the project. The tasks and activities described below in section C.5 are extensive, but not exhaustive. With the approval of USAID/Kenya, the Contractor will have the flexibility to focus on different activities for differing Counties within the parameters of the SOW. No matter which activities are chosen for a particular context, Objectives 1 and 2 shall be met for each County. A flexible approach that allows the Contractor to adapt and respond to the work of other donors, USG entities, CSOs and County governments shall be required. The Contractor shall work with USAID to put mechanisms in place to gauge which activities are relevant in which context, and how they should be sequenced. (For example, work with the TA and the baseline study will obviously come early in the project, while assisting Counties to raise revenues may come later.)
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Solicitation
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In
responding
to
the
Statement
of
Work,
the
Contractor
shall
propose
the
full
palate
of
activities
and
achievable
results
that
it
feels
will
be
necessary
to
meet
the
objectives
described,
and
budget
accordingly
for
each
activity.
After
completion
of
the
baseline
study
and
MOUs
described
in
Task
#1.1,
the
Contractor
shall
then
refine
this
workplan
to
match
the
new
understanding
of
what
results
can
be
achieved,
as
well
as
further
detail
interventions
proposed
at
the
National
level
and
for
each
County.
This
revised
plan
shall
be
presented
to
USAID
for
discussion
and
approval.
Then,
throughout
the
implementation
of
AHADI,
the
Contractor
shall
periodically
participate
in
and/or
facilitate
in- country
Strategy
Review
Sessions.
The
purpose
of
these
sessions
is
to
provide
a
collective
platform
for
sharing
information
on
overall
progress
with
regards
to
devolution,
updating
the
projects
situation
or
problem
analysis,
and
determining
how
best
to
adapt
to
evolving
local
dynamics
and
new
knowledge
gained
from
real-time
monitoring
and
evaluation.
The
participants,
nature,
structure,
location
and
frequency
of
these
periodic
sessions
will
depend
on
the
context,
the
needs
of
the
project
and
the
staff
at
the
time
(to
be
established
by
mutual
agreement
between
the
AHADI
COR
and
the
Contractor).
The
appropriate
emphasis
among
learning,
coordinating,
planning
and
adapting
will
be
determined
in
advance
in
consultation
with
the
COR.
In
general,
these
shall
be
no
more
than
quarterly
and
no
less
than
annual
events,
and
shall
take
place
at
both
the
National-level
and,
periodically,
at
the
County-level
as
well.
A
likely
schedule
would
include
County
sessions
in
the
first
half
of
the
year
to
evaluate
County-level
strategies,
and
a
National
session
in
the
second
half
of
the
year
to
evaluate
the
overall
project
strategy.
As
feasible
and
relevant,
these
sessions
shall
include
representatives
from
partner
CSOs
and
Counties
that
can
provide
local
perspectives,
as
well
as
representatives
from
projects
funded
by
other
USAID/Kenya
offices
and
donors
to
enhance
cross-sector
learning
and
coordination.
Contractor
field
staff
shall
be
available
to
participate
in
all
sessions,
which
may
include
presentations
and
facilitation
based
on
a
collaborative
agenda
design
process.
The
Contractor
may
also
be
asked
to
provide
logistical
support
as
necessary.
This
may
include:
finding
and
booking
location;
paying
for
travel,
lodging,
meals,
and
transportation
of
non-USG
staff;
note- taking;
and
equipment
provision.
During
relevant
sessions,
the
Contractor
shall
recommend
changes
in
project
emphasis
for
discussion
(as
identified
through
research,
analysis,
ongoing
monitoring
and
evaluation,
and
project
implementation).
The
COR
will
consider
these
recommendations,
identify
other
changes
for
discussion,
and
provide
guidance
on
program
emphasis
going
forward.
Outcomes
of
these
sessions
shall
be
documented
by
the
Contractor
through
a
brief
summary
report
outlining
proceedings/agenda,
proposed
adaptations,
conclusions
or
outcomes
and
future
action
items.
Any
adaptations
and
refinements
proposed
through
these
ongoing
interactions
with
the
COR
must
be
within
the
approved
SOW
and
budget,
or
approved
via
the
invocation
of
the
CLIN
0002
Program
Modifier/Rapid
Response
Mechanism.
In
cases
where
changes
cannot
be
covered
by
the
existing
scope
or
through
the
program
modifier,
prior
CO
approval
will
be
necessary
to
approve
those
changes.
C.3.3
USAID
FORWARD
AND
LOCAL
CAPACITY
This
effort
shall
capitalize
on
strategies
articulated
in
the
USAID
Forward
reform
effort
seeking
to
encourage
and
catalyze
innovative
approaches
while
building
the
capacity
of
local
organizations.
The
prime
Contractor
for
AHADI
shall
develop
the
capacity
of
the
Sub-Contractors
and
Grantees
so
that
the
Sub-Recipients
shall
be
eligible
to
receive
a
direct
award
from
USAID
or
other
donors
in
the
future.
While
most
local
organizations
shall
have
a
traditionally
Sub-Contractor
or
Grantee
relationship
with
the
prime
Contractor,
the
Contractor
shall
identify
a
minimum
of
one
local
organization
that
shall
be
able
to
take
on
additional
project
management
responsibilities
in
essence
to
become
a
local
prime.
The
Contractor
may
wish
to
identify
its
potential
local
partner(s)
in
its
proposal;
however
that
is
not
a
requirement.
And
the
Contractor
shall
ensure
that
it
is
not
picking
winners
in
advance
of
project
implementation
that
will
demonstrate
actual
capacity
and
commitment
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USAID/Kenya
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Institutions
(AHADI)
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Solicitation
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of
its
local
partner(s).
The
Contractor
shall
provide
opportunities
and
incentive
structures
that
place
the
onus
on
the
local
partner(s)
to
truly
commit
to
changes
that
shall
allow
them
to
grow
into
their
leadership
role.
It
is
understood
that
partners
may
be
identified
and
added
over
the
life
of
the
project,
and
that
some
who
were
identified
early
on
may
drop
out
if
they
have
not
demonstrated
sufficient
commitment
or
progress.
However,
it
is
expected
that
the
prime
Contractor
shall
ensure
that
at
least
one
local
partner
emerges
in
a
primary
leadership/management
role
during
the
life
of
the
project.
The
local
partner(s)
shall
increasingly
have
authority
over
functions
such
as
Grants
under
Contract
management,
financial
management,
capacity
building
of
other
recipients,
project
planning,
donor
coordination
and
communication,
etc.
While
the
prime
Contractor
shall
take
the
lead
on
the
project
at
the
start,
it
shall
build
the
capacity
of
local
partners
that
self-identify
as
wanting
to
take
on
more
funding
and
management
responsibility.
The
prime
shall
put
in
place
a
capacity
building
plan
and
incentive
structure
that
shall
guide
these
organizations
to
increase
their
capacity
in
the
necessary
areas.
As
the
project
progresses
and
as
the
local
organizations
meet
benchmarks
demonstrating
their
readiness,
the
balance
of
funding
and
activity
shall
shift
from
the
prime
to
the
local
partner(s).
By
the
midpoint
of
the
project,
the
responsibilities
and
budgets
for
the
prime
and
local
partner(s)
shall
be
shared
equally.
In
the
latter
stages
of
the
project,
the
local
partner(s)
shall
take
over
the
lead
role
with
the
prime
Contractor
simply
passing-through
the
bulk
of
funding
and
providing
a
reduced
amount
of
technical
support.
Budgets
shall
closely
track
the
changes
in
relative
responsibility
between
the
partners.
It
is
estimated
that
the
prime
Contractor
shall
be
funded
at
a
higher
level
in
the
first
year,
declining
in
the
final
years
of
the
project,
while
the
budget
passed
through
the
prime
Contractor
to
the
co-managing
local
organization(s)
shall
increase
over
time.
Given
this
arrangement,
the
Contractor
shall
ensure
that
a
minimum
of
60%
of
funding
is
provided
to
local
organizations
(either
through
management
sub-contracts
or
Grants
under
Contract).
Further
details
on
USAID/Kenya
expectations
for
partnering
with
local
organizations
is
described
below
in
section
L.7.
C.3.4
GEOGRAPHIC
FOCUS
There
shall
be
instances
where
the
Contractor
shall
provide
opportunities
for
participation
in
the
project
to
all
Counties
(e.g.
a
National-level
training
for
head
County
auditors,
support
to
associations
of
County
sector
experts,
providing
technical
input
into
national
standards
and
policies,
etc.).
However,
given
its
limited
resources,
the
Contractor
shall
be
selective,
and
focus
the
majority
of
its
efforts
on
strengthening
key
targeted
Counties.
The
initial
baseline
study
described
under
Task
#1.1
below
may
help
inform
the
choice
of
Counties
for
project
focus,
which
shall
include
but
not
be
limited
to
the
following
considerations
in
approximate
order
of
descending
importance:
The
potential
to
maximize
synergy
(while
minimizing
redundancy)
with
other
existing
efforts
funded
by
the
USG
and
other
donors.
(E.g.,
Feed
the
Future
is
targeting
areas
with
dense
populations,
areas
with
high
poverty
and
malnourishment,
as
well
as
semi-arid
areas.
USAID/Kenyas
Education
and
Youth
Office
(EDY)
is
targeting
conflict-challenged
areas
such
as
the
Coast
Province,
Northeastern
Province
and
the
poverty
stricken
areas
in
Nairobi.
USAID/Kenyas
Democracy
Rights
and
Governance
office
(DRG)
has
a
strong
historical
presence
on
the
Coast,
in
the
Rift
and
in
Nairobis
informal
settlements.
The
European
Union
is
targeting
Kilifi,
Makueni,
Kisumu,
Uasin
Gishu
and
Isiolo.);
The
demonstrated
commitment
of
County
officials
to
the
goals
of
the
AHADI
project.
The
advantages
of
working
in
urban
areas
and
reaching
large
populations
for
greater
impact,
as
well
as
the
possibility
of
early
success
to
create
momentum
(balanced
with
the
following
bullet);
The
need
of
a
County
for
assistance
relative
to
others;
The
ability
to
concentrate
resources
and
achieve
economies
of
scale
in
particular
regions,
(balanced
with
the
following
bullet);
The
desire
to
work
in
several
different
areas
throughout
Kenya
to
ensure
a
diversity
of
geographies,
ethnicities
and
political
constituencies.
(This
consideration
would
rise
in
importance
if
the
other
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considerations lead the project to be insufficiently diverse. E.g., if the vast majority of targeted counties voted primarily for only one of the two main political factions in the March 2013 elections); The risk for conflict in target Counties and the potential for mitigation; and The overall strategic relevance of the County. The second bullet (County commitment) is important, as AHADI requires political will. The Contractor shall put in place conditions, incentives and opportunities for Counties to opt-in, in order to encourage robust commitment (e.g., matching funds for positive initiatives, awards for innovative practices, etc.) If commitment is clear, capacity is sufficiently built, and if the right programming opportunities arise, Government-to-Government support from USAID/Kenya to champion Counties may even be possible. In total, the project shall target 15 to 20 Counties over the life of the project, utilizing a structure of up to 3 main offices (with the possibility of smaller, satellite offices in counties if deemed necessary and financially reasonable). Five of the target counties shall be the Arid Counties targeted by the REGAL project: Turkana, Marsabit, Wajir, Isiolo and Garissa, but beyond those 5, the targets are not set in stone. Should the Contractor wish to propose alternate target Counties beyond those listed above, either at the proposal stage, after the initial baseline study has been completed, or throughout the life of project, these suggestions would be considered. Given the differing and evolving capacities of Counties, the cross-sector nature of the funding for this project, the rapidly changing context in Kenya, and the demands of a rigorous impact study, the Contractor may have to periodically adjust its geographic focus in consultation with USAID/Kenya. C.4 PROGRAMMATIC LINKAGES
C.4.1.
CROSS-SECTOR
FUNDING
Though
AHADI
is
primarily
a
DRG
project
focused
on
improving
the
governance
of
Kenyas
new
decentralized
system,
it
also
designed
to
have
substantial
impact
on
other
sectors,
as
well.
The
devolution
process
will
have
a
dramatic
effect
on
every
sector
in
which
USAID/Kenya
works,
whether
it
be
the
Population
and
Health
sector
(OPH);
the
Agriculture,
Environment
and
Business
sector
(ABEO)
or
EDY.
Under
the
new
Constitution,
County
governments
will
be
responsible
for
the
majority
of
Health
service
delivery.
And
while
much
of
the
education
responsibilities
reside
with
the
National
government
(excepting
a
few
areas
such
as
pre-primary
education),
Counties
have
responsibility
over
many
services
that
affect
youth:
cultural
activities,
public
entertainment
and
public
amenities
(including
sports
and
recreation
facilities);
County
development;
cooperatives;
housing;
village
polytechnics;
and
drug
control.
Counties
will
especially
have
a
wide
range
of
responsibilities
directly
or
indirectly
related
to
addressing
Climate
Change/Food
Security
issues:
agriculture
(including
crop
and
animal
husbandry,
livestock
sale
yards
and
disease
control);
veterinary
services;
County
transport
and
roads;
trade
development
and
regulation
(including
markets);
County
planning
and
development
(including
land
survey
and
mapping,
boundaries
and
fencing,
and
electricity
and
gas);
implementation
of
National
policies
on
natural
resources
and
environmental
conservation
(including
soil,
water
and
forestry)
and
County
public
works
and
services
(including
water
and
sanitation
services).
Although
open
questions
remain,
such
as
the
speed
at
which
these
functions
will
be
transferred
and
whether
or
not
the
National
government
will
be
able
to
find
a
way
to
retain
parts
of
these
functions,
all
of
these
areas
are
very
specifically
delineated
for
County
responsibility
in
the
Fourth
Schedule
of
the
new
Kenya
Constitution.1
All
of
which
means
that
each
USAID
office
has
a
tremendous
opportunity
to
greatly
impact
Agriculture,
Business,
the
Environment,
Population
and
Health,
Education
and
Youth
as
it
assists
Kenya
to
completely
remake
its
governance
1
http://kenyaembassy.com/pdfs/The%20Constitution%20of%20Kenya.pdf#page=176
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structure from the ground up. By supporting and enhancing these new devolved structures, USAID can enhance accountable governance and improve service delivery. Because it will have impact both within the DRG sector, as well as beyond, the AHADI project has been specifically designed to accommodate all three of USAID/Kenyas other target sectors (OPH, ABEO and EDY) and will include funding from several different sources at its inception. Additional sources (including, potentially, even other donors) may provide funding as the project grows and demonstrates impact in target sectors. The Contractor shall be prepared to meet the requirements that accompany these funds (e.g., additional reporting requirements and indicators, coordination with multiple offices, complex accounting, etc.) as well as the programming needs of the offices that manage these resources (e.g., adding geographic targets, revising workplans, etc.) The Contractor shall adapt to the complex needs of working in multiple sectors with multiple funding sources. AHADIs greatest impact in the eyes of many Kenyans will be providing tangible enhancements in service delivery, since that is what most concerns citizens. Depending on funding provided by various offices, and specific direction provided to the contractor by the COR, sector-specific coordination efforts may shift over time (either in focus or intensity), requiring ongoing and robust coordination and planning with the relevant USAID offices. Depending on the sector and the requirements of a specific USAID/Kenya office, efforts may range from general coordination to more specific sector-related service delivery interventions. Additional guidance on collaboration with existing programs is described below, but general direction is as follows: AHADIs work with ABEO shall touch on a broad range of interconnected issues including food security, land management, low-emissions development and climate change adaptation. AHADIs efforts with regards to Education and Youth shall focus on supporting Counties to identify creative solutions for enhancing early grade reading within their borders, to support structures that allow youth to have more voice in how their government operates, and to advocate to the National government for improved service delivery. Youth empowerment shall be mainstreamed throughout the project, but there shall be a special focus on building the capacity of Youth Bunges (local youth groups) to formalize their operations and advocate on behalf of their constituents. The Contractor shall seek to strengthen local Parent Teacher Associations (PTAs and similar organizations) and to bring them together at the County and National levels so that their voice can have a greater impact. With regards to Health, the Contractor shall work closely with the OPH offices existing regional integrated health projects, which are supporting National and County-level health structures. The Contractor shall ensure complementarity and synergy (while avoiding duplication) between the overall County governance provided by this project, and the health services and health governance interventions supported by USAID/Kenyas OPH.
C.4.2
LINKAGES
TO
OTHER
USAID/KENYA
PROJECTS
The
Contractor
shall
ensure
that
AHADI
works
closely
with
other
existing
and
future
USAID/Kenya/DRG
projects,
as
well
as
the
relevant
DRG
projects
of
other
donors.
In
addition,
given
the
cross-sector
nature
of
the
project,
the
Contractor
shall
coordinate
closely
with
the
relevant
non-DRG
projects
of
USAID
and
other
donors.
Potentially,
this
collaboration
could
even
entail
funding
from
multiple
sources
and
donors.
Regardless,
the
Contractor
shall
compliment
and
coordinate
with
efforts
currently
funded
or
planned
by
the
USG
and
other
donors.
Moreover,
AHADI
must
be
able
to
adapt
over
time
to
match
with
the
changing
realities
of
other
projects.
Climate
Change
and
Food
Security
Given
how
closely
the
project
shall
coordinate
with
USAID/Kenyas
planned
Resilience
and
Economic
Growth
in
the
Arid
Lands
(REGAL)
effort,
a
few
key
aspects
of
complementarity
should
be
highlighted:
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With the potential danger of increased marginalization, exacerbated conflict and disruption of service delivery in arid and semi-arid areas, gains from the REGAL project could be lost. The Contractor shall ensure that the AHADI project helps to consolidate those gains and diffuse potential conflict between the communities. County-led linkages between communities shall help to scale up of technologies and methods developed by REGAL and/or other development projects. While REGAL will have a greater focus on local-level efforts, the Contractor shall ensure that AHADI works more at the County level increasing County abilities in budgeting, development planning, agricultural and natural resources management and disaster preparedness. (Though the Contractor shall ensure that AHADI has a strong grassroots focus, as well, especially outside of the arid lands). While REGAL will focus on strengthening businesses in the arid lands, the Contractor shall ensure that AHADI focuses more on helping government to be a better partner for business. And while REGAL will work more on the civil society demand side of the good governance equation, the Contractor shall ensure that AHADI focuses more on the supply side increasing County receptivity to civil society engagement and establishing mechanisms for cooperation and input. (Outside of the arid lands, the Contractor shall have greater responsibility for both the demand and supply sides of the equation).
Health
With
regards
to
health,
the
devolving
system
has
enormous
implications
on
leadership
and
governance,
health
workforce,
procurement
of
drugs
and
other
health
commodities,
financing,
information
systems,
and
service
provision.
These
concerns
continue
to
inform
and
guide
USAID/Kenya
strategic
investments
in
Health.
In
particular,
USAID/Kenya
is
currently
supporting
the
formulation
and
implementation
planning
of
essential
foundational
health
policies,
laws,
and
guidelines
stemming
from
the
2010
Constitution;
and
assisting
current
Ministries
of
Health
to
both
plan
for
the
transition
to
County
health
systems
and
ensure
sustained
coverage
and
impact
of
essential
health
services.
As
such,
it
is
not
anticipated
that
AHADI
will
directly
undertake
such
work
in
the
health
sector,
but
that
it
the
Contractor
shall
collaborate
with
USAID/Kenya
existing
health
partners
to
identify
areas
of
program
synergy
that
are
value-added
and
non-duplicative.
These
partners
shall
include
inter
alia:
Health
Policy
and
Planning
(HPP)
Which
is
assisting
with:
the
finalization
of
Foundational
Policies
(KNHSSP
III,
Health
Bill);
dissemination
of
National
policies
to
County
teams;
support
Ministry
of
Health
and
Transitional
Authority
to
finalize
outstanding
issues
on
devolution;
the
preparation
of
County
health
fact
sheets;
the
preparation
of
County
health
Investment
profiles;
estimation
of
county
health
expenditure
&
utilization;
the
reorganization
of
MoH
and
County
governments;
and
review
of
planning
guidelines.
Leadership,
Management
and
Sustainability
program
(LMS),
which
is
developing
an
induction
manual
with
other
partners
for
County
Health
Management
teams;
aligning
health
services
management
curriculum
to
county
systems;
developing
a
scheme
of
service
for
health
managers;
and
supporting
an
institutional
framework
for
autonomy
of
national
referral
hospitals.
FUNZO
and
Capacity
Kenya
projects,
which
are
providing
training
and
development
of
human
resources
for
health,
and
may
consider
locating
health
technical
advisors
in
high
need
counties.
AfyaInfo,
which
is
planning
to
support
county
level
health
information
systems
to
be
used
for
county
planning
and
monitoring.
APHIA+
programs,
which
support
integrated
service
delivery,
planning
processes,
and
health
systems
in
a
majority
of
Counties;
exact
plans
will
be
finalized
through
communications
with
interim
county
coordinators
for
health,
and
subsequent
County
Health
Officers.
While
Health
Sector
devolution
is
best
undertaken
by
health
experts
versed
in
the
technical
considerations
for
ensuring
a
functioning
health
system
in
all
its
complexities
and
at
all
levels
of
delivery,
the
Contractor
shall
help
uplink
Health
Sector
considerations
to
broader
planning
and
implementation
processes
at
the
National
and
County
levels
of
government.
In
essence,
AHADIs
role
vis--vis
the
Health
Sector
shall
be
to
help
existing
and
future
Health
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projects coordinate with the broader devolution reform process, and to ensure that that broader process and its cross-cutting actions benefit the Health sector (as they will all sectors). For example, while the APHIA+ project strengthens health policy and budgeting, the Contractor shall ensure that these efforts fit within the broader policy frameworks and budgeting processes of Counties. Furthermore, as AHADI helps to implement overall County budget policies (e.g., citizen participation mechanisms), the contractor shall work with OPH partners to ensure their priorities are included in the roll-out of these mechanisms. Another potential example of collaboration would be AHADI assisting Counties in establishing an overall merit-based hiring process that also includes Health-specific job descriptions and hiring processes that were designed by OPH partners. Education and Youth The Contractor shall coordinate closely with EDYs ongoing projects to ensure that AHADI leverages the existing technical expertise of those efforts as it seeks to support PTAs, as well as to advance cross-County learning and advocacy with regards to Education. Programs with which to coordinate include but are not limited to: Education for Marginalized Children of Kenya (EMACK II), which increases opportunities for quality education for primary and lower secondary school children historically marginalized by cultural practices and poverty (such as those living in informal settlement areas). Kenya Primary Math and Reading (PRIMR) Initiative, which is working to dramatically improve the language and mathematics skills of 3 million Kenyan children in 500 primary schools by 2015.
With
regards
to
Youth,
the
Contractor
shall
work
closely
with
and
(once
it
is
complete)
build
off
of
the
success
of
the
Yes
You
Can
(YYC)
effort.
Yes
Youth
Can
is
a
three-year,
$45
million
program
to
support
the
empowerment
of
Kenyan
youth
as
envisioned
in
the
2010
Constitution.
The
program
aims
to
develop
peaceful
leaders
among
18-35
year-olds,
with
the
complementary
objective
of
improving
their
socioeconomic
status.
Through
Yes
Youth
Can,
young
people
organize
themselves
in
youth-run
and
youth-led
bunges
(parliaments),
through
which
members
democratically
elect
their
own
leaders
at
the
village,
County,
and
National
level.
The
bunges
provide
a
structure
and
a
forum
for
young
women
and
men
to
mobilize
and
take
action
to
improve
their
own
lives
and
those
of
their
neighbors,
develop
new
leadership
skills,
promote
transparent
decision-making
about
their
priorities,
engage
their
collective
voice
on
decisions
that
affect
them
and
revive
the
true
spirit
of
harambee
(a
Kenyan
tradition
of
community
self-help
events)
as
they
serve
in
developing
their
communities.
The
Contractor
shall
work
to
build
the
capacity
of
Youth
Bunges
at
all
levels,
but
especially
in
their
efforts
to
further
professionalize
and
sustain
themselves,
as
well
as
to
engage
in
advocacy
at
the
County
level.
C.4.3
LINKAGES
TO
OTHER
USAID/KENYA
DRG
PROJECTS
The
Contractor
shall
ensure
that
AHADI
integrates
closely
with
other
existing
and
future
USAID/Kenya/DRG
projects,
and
to
adapt
over
time
to
match
with
the
changing
realities
of
these
projects.
Much
of
USAID/Kenyas
recent
support
for
the
devolution
process
has
been
through
the
Kenya
Civil
Society
Strengthening
Program
(KCSSP).
Given
the
mandate
of
the
program,
the
focus
has
been
on
supporting
the
demand
side
of
the
governance
equation
(civil
society)
to
advocate
for
effective
devolution
and
to
support
the
engagement
of
the
public
in
the
process.
Civil
society
efforts
that
have
been
and
continue
to
be
supported
include:
Educating
citizens
on
devolution,
how
it
will
affect
them,
and
the
importance
of
their
engagement
to
make
it
work;
Providing
forums
and
other
opportunities
for
citizens
to
make
input
on
the
legislative
process
and
implementation;
Helping
citizens
work
together
to
identify
development
priorities
for
the
new
Counties
once
they
come
on
line;
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Increasing the accountability of the decentralized Constituency Development Fund through better civil society oversight efforts; Building up the capacity of women to become leaders in the new County governments; Assisting in the drafting and revision of devolution legislation; Advocating for passage of key pieces of legislation with strong provisions for participation; and Monitoring and advocating for rapid implementation of the legislation (e.g. for sufficient budget and qualified appointees for the Transitional Authority). Developing county conflict profiles to assist with conflict mitigation efforts.
Although KCSSP is scheduled to conclude its activities in late 2013, this new devolution program shall collaborate with the project while it is ongoing, and then build off of its successes and lessons learned after it closes. In addition, any subsequent civil society activity funded by the mission shall also be closely coordinated with AHADI. The Parliamentary Strengthening Program (PSP), implemented by the State University of New York (SUNY) through March 2014, is improving the Kenyan Parliament's effectiveness in producing legislation, acting as an oversight institution, and carrying out its representation functions in a more democratic, transparent, and effective manner. In recent months, SUNY has also provided support to the TA to assist with its planning, monitoring and evaluation, communications, e-government strategy, and capacity-building plans. In addition to building off the support that has already been provided to the TA, the Contractor shall work with SUNY to stand-up the newly created Senate after the 2013 elections and ensure that it effectively engages with and represents County interests. The Contractor shall also work with PSP to ensure that Parliament effectively and equitably oversee the devolution process, as well as to create opportunities for civil society and County governments to engage with Parliament and advocate for their interests. Finally, the Contractor shall coordinate with PSP on SUNYs support to capacity building of County Assemblies. In addition to the activities described above, USAID/Kenya is currently designing a series of bridge activities for targeted counties to pave the way for AHADI and to fill gaps while the main devolution program comes online. These activities may include the initial County Baseline Study described in Task 1.1 (obviating the need for that study under this contract); initial engagement with key County leaders; small grants support to Counties and civil society; continued civic education; strengthening key entities such as the Transition Authority; and an international conference on devolution best practices. As with the other efforts described herein, the Contractor coordinate closely with the implementers of these bridge activities and ensure a seamless transition to the full AHADI project. C.4.4 LINKAGES TO THE WORK OF OTHER DONORS The Contractor shall coordinate extensively with any and all relevant efforts funded by other donors (both those specifically focused on devolution, and those that touch on it tangentially), and shall adapt AHADI over time to match with the changing realities of these projects. The depth of coordination shall depend on the relevancy of the project in question. However, the Contractor shall conduct a broad range of coordination efforts, from joining coordination bodies, to one-on-one engagement, to joint planning, up to and including being prepared to accept buy-in funding from other donors. There are a large number of projects funded by other donors to tackle the issue of devolution that are either operating or planned (with more likely to be developed). These complimentary efforts are likely to include, but are not limited to, the following: The European Union is currently supporting the Bridging the Divide through Accountable Governance program through 2014 to provide civic education to citizens and newly elected County officials. Sometime in 2014, it is expected to follow this effort with a new project called Instruments for Devolution Advice and Support that will fund local economic development projects in 5 Counties (Kilifi, Makueni, Kisumu, Uasin Gishu and Isiolo). This will be accompanied by capacity building to those target Countys to manage these
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projects in a participatory fashion; support to civil society to monitor these projects; and finally national- level support for improved public financial management. UNDP is supporting the Transition Authority and other key institutions involved in devolution through technical assistance and a basket funding instrument. It is currently finalizing the design of a new integrated service delivery program that will focus on public financial management, capacity development for new leaders, and enhancing public participation. UNOPS will seek to support the development of devolved procurement systems. UN-Habitat will focus on urban social accountability. The World Bank, Australia Agency for International Development (AusAID) and the United Kingdoms Department for International Development (DFID) have already started jointly funding the Accountable Governance program. Given its strong complementarities with AHADI, it is described in detail below.
Since 2010, with support from AusAID, the World Bank has provided thought leadership and assistance on devolution to a range of Kenyan stakeholders through the Fiscal Decentralization Knowledge Program (FDKP). Linked to this effort, the Bank's social development team has provided assistance on how decentralization reforms can incorporate mechanisms that encourage government responsiveness and accountability to citizens. The World Bank also supports Kenya's Open Data Initiative, including applications that support development and evidence-based policy making. With support from DFID and AusAID, the World Bank will now extend and scale up this assistance through a new $5 million Accountable Devolution initiative that integrates support for internal "supply-side" systems of devolved government with support for "citizen-facing" mechanisms that enable County governments to be responsive and accountable. This technical assistance will support policy and regulatory reforms, development of institutional systems and capacity, and inter-governmental coordination. Efforts will be focused on key devolution challenges: Managing key aspects of the transition to devolved government (e.g., costing of function assignments, inter- governmental coordination, human resources); Establishing effective, participatory and accountable County planning and PFM systems; and Establishing effective County performance monitoring system to benchmark County performance, including a public-facing open data component.
The three main components of the project are: 1. Devolution and service delivery; 2. Citizen engagement in devolved service delivery and open data; and 3. Public financial management and public sector reform. While there would initially appear to be considerable overlap with AHADI, there is in actuality a great deal of complementarity between the programs. The Accountable Devolution program will be more focused on National- level systems, mechanisms, standards and regulations. And while the Contractor shall work with the Accountable Devolution program to contribute to the development of these standards, overall the Contractor shall ensure that AHADI is more focused on implementation and rolling these out at the County level. For example, when the Accountable Devolution Program leads an effort to set National standards for citizen participation in the budgetary process, the Contractor shall help Counties buy into these standards, commit to them, and adapt them for their realities. The Contractor shall then provide daily advice and mentoring to Counties to help roll these systems out, ensure that they are implemented, help citizen groups to engage with them, and finally assist Counties actually use the citizen input they glean from these systems.
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Under
each
Task
identified
below,
the
Contractor
shall
be
held
to
the
minimum
requirements
stated
therein.
The
illustrative
tasks
and
performance
indicators
below
shall
guide
the
Contractor
to
meet
the
objectives
of
the
project.
C.5.1
OBJECTIVE
#1:
TARGETED
COUNTIES
PROVIDE
HIGHER
QUALITY
SERVICES
THROUGH
IMPROVED
GOVERNANCE
C.5.1.1
TASK
#1.1:
FACILITATE
COUNTY
PLANNING
AND
INFORMED
DECISION-MAKING
To
inform
decision-making
for
the
project,
for
County
governments,
and
for
other
decision-makers
involved
in
oversight
and
devolution
policy-setting,
the
Contractor
shall
support
research
into
the
challenges
and
opportunities
posed
by
each
unique
County
context.
The
Contractor
shall
then
assist
County
governments
to
make
effective
use
of
the
information
resources
generated.
All
research,
analysis,
evaluation,
studies,
polls,
etc.
shall
be
agreed
upon
with
the
AHADI
COR,
shall
be
widely
publicized
and
distributed,
and
shall
be
used
as
the
basis
for
briefings,
trainings,
planning
efforts,
and
technical
assistance
for
key
stakeholders
in
County
government,
civil
society
and
with
relevant
National
bodies.
The
first
activity
carried
out
under
this
project
may
be
a
County
Preparedness
Study
that
would
act
as
a
baseline
for
County
preparedness,
a
way
to
gather
baseline
indicator
data,
a
guide
for
targeting
the
project,
and
a
resource
for
County
decision-making.
Building
on
work
started
by
the
World
Bank,
the
TA,
USAID/Kenyas
implementing
partners,
and
others,
the
study
would
make
full
use
of
existing
research.
Either
through
information
provided
in
other
efforts,
or
through
AHADIs
direct
efforts,
the
baseline
study
could
include
a
more
detailed
County
asset
and
liability
audit
than
has
been
done
by
the
TA
(both
infrastructure
and
human
resources),
surveys
and
polling,
public
participation
(e.g.
focus
groups
and
town
hall
meetings),
targeted
sector-needs
assessments,
economic
baseline
and
investment
climate
analysis,
civil
society
mapping,
conflict
mapping,
and
an
assessment
of
County
capacity
and
commitment
to
good
governance.
This
initial
study
may
be
carried
out
through
other
mechanisms,
prior
to
the
awarding
of
AHADI.
If
so,
the
Contractor
shall
use
the
information
already
provided,
and
shall
redirect
the
research
funds
that
would
have
gone
to
this
task
to
other
information-gathering
efforts
as
approved
by
the
COR.
These
efforts
shall
inform,
support
and
lead
into
inclusive
planning
efforts
such
as
the
development
and/or
revision
of
budgets
and
Integrated
County
Development
Plans
that
seek
to
integrate
National
level
planning
processes
with
the
concerns
and
aspirations
of
civil
society
and
County
governments.
The
baseline
study
may
also
inform
the
creation
of
MOUs
and/or
County
Capacity
Strengthening
Plans
that
will
be
designed
and
agreed
to
with
County
officials,
AHADI
staff,
USAID/Kenya
and
other
relevant
stakeholders
such
as
bilateral
donors
and
USAID
implementing
partners
working
in
the
County
(which
shall
be
reviewed
and
updated
as
necessary
on
a
yearly
basis).
As
new
research
and
information
comes
to
light,
and
as
the
operating
environment
and
county
needs
change,
the
Contractor
shall
continue
to
facilitate
integrated,
transparent
and
strategic
planning
on
the
part
of
County
governments.
All
efforts
under
this
task
shall
both
make
use
of
local
expertise,
and
help
to
build
local
expertise
by
using
participatory
methods
and
mentoring
County
facilitators.
Further
details
on
inclusive
practices
(for
planning
efforts
or
otherwise)
are
described
in
Task
#1.4
below.
Sector
integration
Many
subsequent
studies
and
planning
efforts
shall
focus
on
and/or
integrate
key
sectoral
and
governance
issues
so
that
service
delivery
is
informed
and
improved
through
facts,
analysis
and
integrated
planning
that
involves
all
relevant
stakeholders.
See
below
for
specific
examples.
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Assistance
for
Devolved
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Sub-tasks may include: Baseline County study. Periodic studies into the following illustrative topics: Desktop review and synthesis of existing research and relevant National strategies/policies (e.g., National Climate Change Response Strategy, County Conflict Profiles, etc.) County effectiveness studies that capture demonstrable and replicable successes in County Governance. Climate change vulnerability assessments. Research into opportunities for low-emissions development and alternative energy production. Surveys of youth concerns. Comparative studies of education outcomes across Counties. Citizen satisfaction surveys that contrast the results of different levels of citizen input. Analysis of distribution of service delivery within the County (to gauge if marginalized groups such as women and ethnic minorities are receiving equitable levels of service). Wide distribution of research and studies, and incorporation into planning processes. Briefings and trainings to key stakeholders. Diagnostics of County administrative and decision-making structures and business processes. Support for strategic and development planning initiatives that are transparent and inclusive, such as Integrated County Development Planning Efforts. Yearly Cross-Sector planning and engagement design workshops that lead to MOUs between AHADI, other implementers, key stakeholders and County Governments. Illustrative Indicators Number of instances where policies were informed by knowledge produced with the support of the USG. Number of planning mechanisms created or enhanced to increase inclusivity of key knowledge and a diversity of viewpoints. Feed the Future Indicator Handbook Indicator 4.5.1-21: Number of climate vulnerability assessments conducted as a result of USG assistance. Feed the Future Indicator Handbook Indicator 4.5.2-32: Number of stakeholders using climate information in the decision making as a result of USG assistance. C.5.1.2 TASK #1.2: ENHANCE LEADERSHIP KNOWLEDGE AND SKILLS OF NEW TARGETED COUNTY OFFICIALS (ESPECIALLY OFFICIALS FROM MARGINALIZED GROUPS) With a large number of new positions created by the Constitution, and the requirement that no gender constitute more than 2/3 of all elected and appointed bodies, there will be an unparalleled opportunity for new female leadership to emerge at the County and sub-County levels. The Contractor shall seek to capitalize on the opportunity to change the face of leadership. It shall encourage Counties to meet or exceed their responsibilities to appoint qualified female candidates, along with other marginalized groups, at all levels of government. It shall also strengthen marginalized group caucuses and associations so they can lobby for the needs of those they represent. While women and other disadvantaged populations shall be of particular focus, all decision-makers elected to office will require capacity building around their new roles and responsibilities so that they can understand and fulfill those duties. In addition to elected leaders, the Contractor shall also seek to train and mentor important appointed County staff and civil servants in leadership positions this will have the dual benefit of expanding County capacity, and also increasing sustainability of this capacity within the governance structure, since many County staff will remain in position even after elected officials have served their terms and departed. Since the project will not be able to train every elected and appointed official in a County, the Contractor shall have to be selective based on responsibility,
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training provided by other efforts, need for empowerment, and demonstrated commitment of the targeted officials to the principles and activities of the AHADI effort. In concert with other projects doing similar work, the Contractor shall ensure that AHADI assists in the provision of a comprehensive series of capacity building interventions that shall cover the most important aspects of governance for these new officials. Though National-level trainings may sometimes be necessary, the projects capacity-building activities shall take place within a target County or County cluster whenever feasible. The Kenya School of Government (KSG) and the Centre for Parliamentary Studies and Training (CPST) have been identified by the Transition Authority for development of curricula and training of high-level County staff, with KSG focusing on County Administrations and CPST focusing on County Assemblies. The Contractor shall coordinate and build on the efforts of these organizations enhancing their sustainability and capacity wherever possible. However, these groups will likely have funding limitations, and so the Contractor shall expand and deepen the training these groups can do reaching out to a wider number of staff and officials, conducting more ongoing mentoring at the County level, ensuring implementation of learning, and filling gaps not covered in the curriculum. Illustrative topics for training and mentoring include principles of leadership, inclusive governance and minority rights, conflict prevention, transparency and accountability, financial planning and budgeting, procurement and budget execution, strategy development, drafting County policies/regulations, communication, and strengthening civil society outreach. Given the vast scope and depth of the tasks inherent in successful devolution, a key aspect of this capacity building shall be sensitizing leaders and stakeholders to the magnitude of the challenges ahead, so that they can be strategic and realistic in addressing them. The Contractor shall use innovative strategies for capacity building above and beyond traditional trainings and workshops. This could include embedding project staff in County governments, establishing mentoring relationships, facilitating sister-municipality arrangements, developing peer-learning networks, etc. Sector Integration The enhanced leadership and capacity skills described in this task shall be directed towards a broad array of officials and staff, including those that have some responsibility over sector-specific monitoring and/or implementation. Sub-tasks may include: A series of targeted capacity-building interventions for County officials. Facilitating the creation of mentoring relationships with more experienced leaders (potentially with retired and/or international officials via sister-County relationships). Distribution of a Toolkit or Reference Library for new officials. Establishment and facilitation of peer learning networks for sharing best practices.
Development of mutual support caucuses and associations (e.g., Public Officials with Disabilities Association, County Womens Caucus).Illustrative Indicators Standard Foreign Assistance Indicator (DRG) 2.2-2: Government Effectiveness Index Score. Standard Foreign Assistance Indicator (DRG) 2.2.2-6: Number of training days provided to executive branch personnel with USG assistance. Standard Foreign Assistance Indicator (DRG) 2.2.3-5: Number of sub-National entities receiving USG assistance that improve their performance. Number of officials successfully completing 75% of offered courses.
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C.5.1.3
TASK
#1.3:
ASSIST
IMPLEMENTATION
OF
TARGETED
COUNTY
MECHANISMS
TO
PROTECT
AND
EMPOWER
MARGINALIZED
GROUPS
The
Contractor
shall
work
to
educate
County
officials
on
their
Constitutional
responsibility
to
include
marginalized
groups
(such
as
women,
youth,
persons
with
disabilities
and
especially
ethnic
minorities),
as
well
as
the
positive
advantages
and
moral
basis
for
such
inclusion.
Technical
and
financial
support
shall
then
help
Counties
put
these
principles
into
practice
through
the
establishment
of
an
appointment
and
hiring
system
that
equitably
balances
the
needs
of
various
groups,
provides
new
opportunities
for
minorities,
and
assists
appointed
officials
(up
to
and
including
the
six
marginalized
appointees
to
the
County
assembly)
to
advocate
on
behalf
of
the
groups
they
represent.
Additional
activities
may
include
assistance
to
set-up
bodies
dedicated
to
addressing
the
needs
of
marginalized
groups,
and
support
for
forums
that
bring
together
government,
civil
society
and
the
private
sector
to
find
ways
to
reduce
conflict
and
empower
marginalized
groups.
CSOs
may
be
supported
to
reach
out
to
marginalized
groups
to
mobilize
and
educate
them
on
how
to
engage
in
the
new
County
system
using
legal
precedent
and
a
rights-based
approach
to
effectively
seek
equitable
representation.
Another
potential
avenue
of
early
intervention
is
through
the
TA.
Given
Constitution
protections
of
marginalized
groups,
the
Contractor
shall,
if
the
TA
is
open
to
the
idea,
work
with
the
TA
to
establish
inclusion
guidelines
and
criteria
that
must
be
met
before
transfer
of
responsibility
can
take
place.
Sector
Integration
An
important
aspect
of
sector-specific
integration
under
this
result
shall
be
monitoring
of
equitable
service
delivery
and
advocacy
to
encourage
inclusion
of
marginalized
groups
in
service
delivery
decision-making.
In
addition,
many
of
the
groups
targeted
by
sector-specific
services
are
themselves
marginalized
(PLHIV,
youth,
etc.)
and
will
benefit
by
governance
systems
that
allow
them
to
better
advocate
for
their
interests.
Sub-tasks
may
include:
Promote
CSO
advocacy
campaigns
that
pressure
the
government
to
respect
the
rights
of
marginalized
groups
and
to
include
them
at
all
levels
of
governance.
Institute
public/private
forums
and
dialogues
that
prominently
discuss
the
issues
faced
by
marginalized
groups
and
how
to
address
them
in
a
way
that
reduces
potential
conflict.
Assist
the
TA
to
define
specific
requirements,
strategies
and
M&E
systems
for
inclusion
of
marginalized
groups.
Build
government
officials
understanding
of
laws
protecting
minority
rights.
Assist
Counties
to
set-up
bodies
for
redress
of
issues
facing
marginalized
groups.
Assist
Counties
to
put
in
place
monitoring
and
evaluation
systems
to
track
inclusion
of
marginalized
groups
over
time.
Assist
Counties
to
institute
hiring
and
appointment
policies
that
empower
marginalized
groups.
Support
NGOs
seeking
to
defend
minority
rights
in
court.
Illustrative
Indicators
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and
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Assistance
for
Devolved
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(AHADI)
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159
Percentage of appointees representing marginalized groups. Number of complaints lodged by minority groups adequately addressed. Percentage deviation of service delivery expenditures in marginalized areas from County average. Standard Foreign Assistance Indicator (DRG) 2.4.1-11: Number of USG-funded organizations representing marginalized constituencies trying to affect government policy or conducting government oversight.
Solicitation
#
SOL-615-13-000012
C.5.1.4 TASK #1.4: ASSIST IMPLEMENTATION OF TARGETED COUNTY MECHANISMS TO ENHANCE TRANSPARENCY, ACCOUNTABILITY AND PARTICIPATION In order to protect against corruption and encourage responsive governance, Counties will have to put in place measures that provide citizens access to information on County actions, and the opportunities to use that information to affect what their government decides. It is hoped that the leadership training described in Task #1.2 will garner support for the implementation of these measures and identify champions that can be targeted by the project. In cases where raising awareness is not sufficient, the project shall engage through civil society, the TA and/or the justice system. Once there is sufficient buy-in, the Contractor shall build on any National standards (ideally developed with AHADI and County government input) to assist Counties and sub-County entities to develop and implement openness policies, as well as to develop participation and feedback mechanisms for beneficiaries (and/or to adapt these policies and mechanisms from National standards). Examples of relevant policies and mechanisms are listed under illustrative activities, below, and include efforts such as facilitating Integrated County Development Planning in a way that is transparent and participatory. Eventually, the project may even assist certain interested Counties to revise their entire sub-County and ward structure to make it more participatory and democratic helping them to design a governance structure that includes elected positions below the County that are allowed but not instituted under current legislation. In addition, the need for overall transparency and accountability is also mirrored and expanded in Task #1.5, which deals with financial matters. And along with the participatory creation of these mechanisms that will provide openings for engagement on the part of civil society, the project shall support CSOs to take advantage of these new opportunities as detailed in Objective #3. Sector integration These mechanisms will directly benefit sector-specific service delivery by reducing leakage from corruption and making those services more responsive to citizen needs. Sub-tasks may include: Promote civil society advocacy for increased transparency, accountability and participation. Assist the TA to define and implement specific County requirements and strategies for transparency, accountability and participation. Train County officials on accountability and anti-corruption (including sector-specific training such as issues regarding extractive industries transparency). Support creation of Freedom of Information policies and mechanisms to respond to citizen requests. Facilitate the use of e-government and innovative technological solutions for increased openness. Examples include assisting Counties to develop and populate web sites to publicize County activities and policies, create publically accessible digital records, and institute e-mail addresses for representatives, along with other on-line feedback and engagement mechanisms. Assist County assemblies and other bodies to broadcast proceedings. Support government to create participation mechanisms such as community planning forums, public hearings on legislation, town halls, and citizen advisory boards especially with regards to Integrated County Development Planning efforts. Assist County governments to enact transparent procurement policies that allow for civil society oversight. Assist County governments to revise their sub-County structure to allow for greater participation (e.g. via local elections at the sub-County and/or ward level).
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Illustrative Indicators Number of major local government decisions made with input from participation mechanisms. Percentage of legislation and proceedings made public. Percentage of service delivery data made public. Standard Foreign Assistance Indicator (DRG) 2.2.4-2: Number of government officials receiving USG- supported anti-corruption training. Standard Foreign Assistance Indicator (DRG) 2.2.4-8: Corruption Perception Index Score. Standard Foreign Assistance Indicator (DRG) 2.2.4-7: Number of USG-supported anti-corruption measures implemented.
C.5.1.5 TASK #1.5: ASSIST TARGETED COUNTIES TO RAISE AND EFFECTIVELY MANAGE SUFFICIENT RESOURCES With the multitude of new services for which Counties will be responsible, it will be important for them to garner enough resources to fund their new responsibilities. Indeed, it may be that the TA will require Counties to have a revenue plan in place to fund each service before it is devolved. This will require a combination of equitable National government transfers, reasonable local revenue collection, public-private partnerships, co-ordination with donors, loans, and effective public financial management to reduce leakages in the system. The Contractor shall assist targeted counties on all these fronts as needed, as well as to contribute to any National standards developed for roll out to the Counties. Counties must be able to effectively advocate to the central government for equitable funding that compensates them for transferred services. The Contractor shall ensure that AHADI assists them to advocate both for a fair determination of the level of funding, as well as for the actual transfer of money (which can often be less in reality then was budgeted). In order for Counties to maximize their own revenue in a way that is just and that doesnt place an undue burden on the poor, the project shall help County assemblies consult with civil society as it legislates fair revenue collection polices. Once those polices are in place, the project shall assist with instituting and building the capacity of the County body responsible for revenue collection. An important aspect of this capacity shall be the creation of systems that enhance transparent and accountable handling of funds (e.g., the ability of payees to make transfers directly to the bank, publicly available records, etc.) The project shall create a virtuous circle with regards to revenue in which communities and businesses are involved in determining reasonable levels of taxation and in the planning for how those revenues will be spent. Once projects funded by County taxes are complete, the project shall highlight these successes so that citizens see the benefits of their taxes, and therefore are more likely to fulfill their responsibilities increasing the ability of the Counties to deliver valuable services. Furthermore, the Contractor may help certain Counties analyze and improve their investment climate in the hopes of designing interventions that attract more business and hence more tax revenue. In addition to central transfers and local revenues, Counties will likely require assistance in setting up alternative means of securing funding for necessary services. Therefore, the Contractor shall assist in the facilitation of public/private partnerships, and ensuring that any debt burdens taken on by Counties are reasonable, repayable, and managed responsibly. To more effectively manage all finances, The Contractor shall coordinate with other efforts to fill the gaps and deepen PFM training and strengthening County PFM systems. It shall also work with Counties to institute audit and transparency systems that make data on budgets and expenditures readily available for civil society to carry out its watchdog role.
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Sector Integration This result will be essential to the delivery of sector-specific services. Unless they can raise the revenue they need, Counties will be forced to reduce service delivery in key sectors, or rely overly on donor support thus reducing local ownership. Conversely, by involving communities in deciding how to use revenues and by reducing leakages through anti-corruption measures the project can increase the level of ownership and the amount of funding that goes to these essential services. Moreover, given the increased USAID focus on Government-to-Government support, it will be useful for County financial systems to be sufficiently transparent and accountable to receive and manage USG and other donor funding. Sub-tasks may include: Support the Council of County Governors and other groups to advocate for equitable central government funding. Support Counties to advocate for and negotiate with regards to equitable distribution of revenues from shared resources (e.g., parks and extractive industries)Assist with the creation and/or capacity building of County revenue authorities. Create transparent systems for revenue collection to reduce the potential for abuses. Facilitate community and business forums to develop plans for the use of locally generated revenue. Help Counties highlight projects funded by County revenue. Conduct PFM training/mentoring for staff that has not been trained by other donors and/or refresher, follow-up training/mentoring to deepen understanding of those that have been trained. Assist Counties to establish robust, transparent expenditure reporting systems. Support for the development and capacity-building of an independent audit authority. Support for County audits with public presentation of findings in understandable and actionable formats. Support civil society to analyze and publicize budgets vs. expenditures. Catalyze public-private partnerships between Counties and businesses (e.g., in alternative energy production, water services delivery, etc.) Provide debt financing expertise so that Counties who feel that they need to resort to loans can do so in as responsible a way as possible. Illustrative Indicators Amount of revenue collected. Increase in transfers from central government to County governments. Number of targeted budgeted items brought to completion with full expenditure. Number of people passing PFM skills test.
C.5.1.6 TASK #1.6: ENHANCE TARGETED COUNTY MANAGEMENT OF SERVICE DELIVERY Given County governments new Constitutional responsibilities, they can and should create a positive enabling environment and offer a variety of sector specific services that can be extremely technical and complex. To do this, Counties will need to budget and plan for these services, enact policy, and successfully carry out their management and oversight responsibilities. Therefore, the Contractor shall first engage with decision-makers to help them appropriately value the importance of these issues (and balance that value against competing service needs). Once champions are identified and supported, and overall County commitment is strengthened, Counties will be better able to focus attention and resources on the problem.
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In
addition
to
creating
a
better
understanding
of
sector
specific
needs,
in-depth
capacity
building
of
targeted
office- holders
and
staff
and
the
County
level
(and
possibly
below)
shall
be
carried
in
order
to
achieve
a
sufficient
level
of
technical
knowledge
needed
for
decision-makers
to
carry
out
their
roles
effectively.
A
key
focus
of
the
initial
assessment
and
planning
described
in
Task
#1.1
will
be
to
determine
exactly
what
additional
knowledge,
capacity
and
structures
are
needed
to
address
these
issues,
beyond
what
already
exists
or
is
planned.
Once
needs
are
assessed,
the
Contractor
shall
work
to
strengthen
County
governments
to
better
fulfill
their
role
with
regards
to
these
issues.
The
Contractor
shall
work
with
sector-knowledgeable
partners
to
facilitate
training
and
mentoring
for
decision-makers
and
implementing
staff,
as
well
as
assisting
Counties
to
define
what
additional
technical
positions
they
need,
and
to
fill
those
positions
with
qualified
staff.
An
important
part
of
building
up
County
capacity
shall
be
citizen
and
expert
involvement
in
all
aspects
of
the
process,
so
that
AHADI
ensures
that
those
most
knowledgeable
and/or
most
affected
are
involved
in
budgeting,
planning,
legislative
drafting
and
implementation.
Sector
Integration
This
task
represents
perhaps
the
most
important
area
for
sector
integration
under
the
AHADI
project.
There
are
a
large
number
of
sector-related
activities
that
can
be
undertaken,
and
the
Contractor
shall
be
prepared
to
do
so
at
the
direction
of
the
COR.
However,
these
efforts
must
be
carefully
calibrated
to
sector-specific
funding
provided
(which
could
change
over
time),
and
the
Contractor
shall
make
every
effort
to
leverage
the
knowledge
and
skills
residing
in
existing
sector-specific
projects.
Moreover,
the
Contractor
shall
ensure
that
it
is
complimenting
and
supporting
existing
sector-specific
efforts,
rather
than
potentially
duplicating
effort
(see
especially
section
C.4.2
for
further
guidance
on
this
matter).
Climate
Change
and
Food
Security:
Many
activities
described
in
this
contract
contribute
to
strengthening
services
that
deal
with
these
challenges.
For
example:
climate
change
vulnerability
studies
inform
decision-making
under
Task
#1.1.;
or
community
forums
that
allow
citizens
to
provide
input
into
climate
change
adaptation
and
development
plans
under
Task
#1.4.
In
addition,
under
this
task,
Climate
Change/Food
Security
concerns
shall
be
brought
into
County
government
planning
so
they
can
better
meet
those
needs
through
improved
service
delivery.
Though
this
shall
be
important
in
all
Counties
in
which
the
project
works,
it
shall
be
especially
important
in
arid
and
semi-arid
Counties
where
the
need
for
comprehensive
policy
and
action
to
address
drought
resiliency
is
the
most
acute.
Education
and
Youth:
Many
activities
described
in
this
contract
contribute
to
strengthening
services
in
the
Education
and
Youth
sector;
for
example:
ensuring
Counties
can
advocate
effectively
to
the
National
government
for
better
education
service
delivery
under
Task
#3.2;
or
building
the
capacity
and
sustainability
of
Youth
Bunges
under
Task
#2.1.
This
particular
task,
however,
shall
also
focus
on
integrating
Education
and
Youth
concerns
into
County
government
planning;
as
well
as
increasing
the
capacity
of
County
governments
so
that
they
both
better
understand
the
particular
needs
of
the
sector,
and
can
better
meet
those
needs
through
improved
service
delivery.
Addressing
the
needs
of
youth
will
be
an
important
concern
for
County
governments.
But
given
that
education
will
be
one
of
the
least
devolved
sectors,
Counties
will
be
especially
challenged
to
find
creative
ways
to
improve
education
services
for
their
constituents
(e.g.
by
coordinating
with
PTA
networks).
Health
and
Other:
Though
the
areas
of
sector
integration
listed
above
shall
be
major
foci
for
the
project,
it
is
anticipated
that
opportunities
to
work
in
other
sectors
and
in
other
areas
of
service
delivery
are
not
only
possible,
but
likely
to
be
identified
over
time.
For
example,
the
project
could
find
opportunities
to
work
closely
with
Counties
in
areas
such
as
infrastructure
development,
economic
growth,
energy
provision,
information
and
communications,
health
etc.
Indeed,
there
is
a
strong
possibility
that
by
the
time
of
award
of
this
contract,
AHADI
may
have
funding
to
focus
on
extractive
industry
transparency
efforts;
and
if
that
is
the
case,
the
Contractor
shall
be
required
to
integrate
relevant
activities
to
address
those
issues
(as
described
in
several
illustrative
activities
throughout
the
document).
The
Contractor
shall
be
able
to
identify
these
additional
opportunities
for
engagement
with
County
governments,
consult
with
USAID
on
the
feasibility
of
incorporating
them
into
the
project,
ensure
that
AHADIs
work
is
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complimentary with any existing programs supported by USAID/Kenya, and work collaboratively with USAID/Kenya to determine relevant activities that could impact service delivery in these areas. With regards to Health efforts, any activities AHADI undertakes shall involve coordinating with and helping to link existing Health programming to broader planning and implementation processes at the County-level. Sub-tasks may include the following with regards to overall service delivery (and potential coordination with OPH- funded efforts): Build capacity of relevant County bodies for improved internal organization, financial management, planning and human resources management (in cases where existing USAID/Kenya programs such as Aphia+ are not already focused on building the capacity of sector-specific County bodies). This could take place both at the County, and in structures developed for service delivery below the County level. Assist relevant County bodies to improve service delivery planning, management, oversight and quality control including the establishment of mechanisms for the involvement of CSOs/citizens in the process and internal government metrics to measure performance improvements over time. Facilitate the building of capacity of relevant County assembly committees to enhance their monitoring role, and to take into consideration sector-specific priorities in budgeting and policy setting. This could include study tours, expert briefings, training, etc. and must cooperate with existing USAID/Kenya programs to bring sector-specific knowledge into the broader context of County governance. Improve quality of legislation through assistance in legislative drafting, review via public forums, and vetting of draft policies with research institutions and a diverse array interest groups. Facilitate the transition of civil servants from National government oversight to County oversight, and the hiring of any additional necessary staff members, while also coordinating and not duplicating efforts of sector-specific programs working on this issue. Assist in the development of well-defined job descriptions and establishing merit-based hiring processes, while also coordinating with sector-specific programs working on this issue (for example, OPH partners developing health-specific job descriptions, while AHADI works on the job descriptions of other staff and the County hiring system as a whole). Assist Counties to incorporate and balance health service delivery planning and budgeting into the broader County budgeting and planning framework to optimize use of limited devolved resources for delivering essential health services. Sub-tasks may include the following with regards to Food Security and Climate Change: Help establish intra-governmental coordinating mechanisms with sufficient authority to work across various committees and departments to address complex and cross-functional issues such as Climate Change and Food Security. Build capacity of County governments to understand potential impacts from climate change and devise appropriate local adaptation plans; including those that integrate climate change adaptation and disaster risk reduction activities. Build capacity of County governments to work with civil society and customary institutions to mitigate and resolve conflict over resources. Increase the capacity of Counties to analyze and integrate a wide range of data into County decision-making processes, including weather and seasonal forecasting, water availability, population vulnerability, economic development and early warning information such as the Famine Early Warning Systems Network (FEWSNET). Work with Counties to clarify land tenure and property rights, including access to resources and traditional rights of pastoral communities. Support improved land titling and land tenure polices, rationalizing of administrative procedures, computerizing land records, etc.
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Support
joint
community
and
County
strategic
planning
and
implementation
of
investment
in
drought
resiliency,
disaster
preparedness,
economic
development,
and
Community-Based
Natural
Resource
Management
(CBNRM).
Assist
Counties
to
develop
Low-Emissions
Development
Strategies
(LEDS).
Assist
Counties
to
develop
comprehensive
water
resource
management
strategies.
Sub-tasks
may
include
the
following
with
regards
to
Youth
and
Education:
Provide
training
and
support
for
youth
mainstreaming
in
all
County
planning
and
services.
Establish
and
build
the
capacity
of
a
youth
advisory
board
and
other
mechanisms
for
engagement
with
Youth
Bunges
and
similar
youth
empowerment
CSOs.
Build
the
capacity
of
committees
and
agencies
focused
on
youth-related
services
such
as
vocational
training,
peace-building,
and
sports
and
recreational
activities.
Assist
Counties
to
plan
and
budget
for
vocational
education
programs.
Support
County
government
facilitation
of
public/private
partnership
strategies
that
create
new
employment
opportunities
for
youth.
Assist
Counties
to
pilot
test
and
replicate
efforts
that
can
help
them
impact
the
quality
of
education.
(For
example,
a
recent
study
found
that
supplementing
Kenyan
civil-service
teachers
with
locally
hired
contract
teachers
who
are
beholden
to
empowered
Parent
Teacher
Associations
(PTAs)
improved
educational
outcomes2).
Support
County
government
engagement
in
early
childhood
education,
which
is
planned
to
be
one
of
the
few
educational
responsibilities
devolved
to
Counties.
In
particular,
identify
linkages
with
USAID's
education
projects
that
are
strengthening
early
grade
reading.
Support
Counties
and
communities
that
decide
to
use
their
own
funds
to
respond
to
lack
of
schools/teachers
in
their
area.
Assist
Counties
to
engage
and
coordinate
with
PTAs
to
devise
strategies
for
school
improvement.
Illustrative
Indicators
2
Standard Foreign Assistance Indicator (DRG) 2.2.3-5: Number of sub-National entities receiving USG assistance that improve their performance. Standard Foreign Assistance Indicator (DRG) 2.2-2: Government Effectiveness Index Score. Standard Foreign Assistance Indicator (DRG) 2.2.2-6: Number of training days provided to executive branch personnel with USG assistance. Number of government bodies engaging constituents in service delivery planning and implementation. Number of individuals who have received USG-supported sector-specific training. Local government service delivery perception score. Feed the Future Indicator Handbook Indicator 4.5.1-9: Number of polices/regulations/administrative procedures in each stage of development as a result of USG assistance. Feed the Future Indicator Handbook Indicator 4.5.2-34: Number of stakeholders implementing risk-reducing practices/actions to improve resilience to climate change as a result of USG assistance. Number of stakeholders with increased capacity to adapt to the impacts of climate variability and change as a result of USG assistance. Number of people receiving training in global climate change as a result of USG assistance. Number of institutions with improved capacity to address climate change issues as a result of USG assistance.
School Governance, Teacher Incentives, And Pupil-Teacher Ratios: Experimental Evidence From Kenyan Primary Schools, National Bureau of Economic Research, March 2012, http://www.nber.org/papers/w17939.pdf The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 34 of 159
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Kenya 2011-2015 Feed the Future Kenya Strategy Indicator: Number of policies, regulations and administrative procedures [that improve the agriculture enabling environment]. Number of individuals receiving training in disaster preparedness, mitigation and response. Amount of budgeted and expended investment in market infrastructure and drought resiliency efforts. Amount of budgeted and expended County investment in youth services. Number of local government entities engaging youth in service delivery planning and implementation. Number of public/private youth empowerment activities supported. Number of Education service improvement pilots tested. Number of Education service improvement practices replicated.
C.5.2 OBJECTIVE #2: IMPROVED REPRESENTATION OF CITIZEN INTERESTS AND OVERSIGHT OF TARGETED COUNTY GOVERNMENT PERFORMANCE C.5.2.1 TASK #2.1: ENHANCE INSTITUTIONAL FUNCTIONALITY OF TARGETED CSOS Without basic institutional capacity, CSOs will be unable to effectively represent public interests to those in power, as detailed in Task #2.2. While traditional capacity building will be important for the relatively weak CSOs at the County level and even for some of the more experienced CSOs at the National level, the Contractor shall seek to make civil society strengthening more directed than many past efforts. Organizational development shall be linked closely to performance standards, with CSOs going through a step-by-step graduation, so that by the end of five years, numerous partners shall be eligible for direct USAID funding with some of them taking on additional management responsibility for the project along the way. Both positive and negative incentives shall be incorporated into the project. CSOs that meet targets shall be eligible for increased funding and responsibility, while those that consistently fail to meet performance standards may be dropped from the project. Sustainability will also be an important concern, and the Contractor shall work to ensure that local organizations do not become donor driven or dependent on USAID funding for their existence. Sector Integration The Contractor shall target specific types of organizations for capacity building in each sector. Under Ag/NRM, community development associations, unions, professional associations, chambers of commerce, resource user groups, and producer organizations shall be the main targets. In the area of Education and Youth, the project shall target PTAs, and especially Youth Bunges that may have graduated from the Yes Youth Can project and seek to professionalize their operations, enhance sustainability and broaden impact. Sub-tasks may include: CSO capacity assessment and strengthening planning. Creation of graduated reward, acknowledgement and incentive systems. Training and follow-up mentoring. Staff embeds for substantial periods. Creation of a peer-learning network. Establishment of County capacity development marketplaces. Development of CSO incubator institutions. Illustrative Indicators CSO capacity index score. Percentage of targeted CSOs funding that comes from domestic sources.
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Number of CSOs that successfully pass USAID pre-award assessment. Feed the Future Indicator Handbook Indicator 4.5.1: Average percent change in score on key areas of organization capacity amongst USAID direct and indirect local implementing partners. Feed the Future Indicator Handbook Indicator 4.5.2-11: Number of food security private enterprises (for profit), produces organizations, water users associations, womens groups, trade and business associations and community-based organizations (CBOs) receiving USG assistance. Number of Local Mechanisms Supported with USG Assistance for Citizens to Engage their Sub-National Government
C.5.2.2
TASK
#2.2:
ASSIST
CSOS
TO
CONDUCT
MORE
EFFECTIVE
ADVOCACY,
NETWORKING
&
WATCHDOG
FUNCTIONS
IN
TARGETED
COUNTIES
For
truly
successful
devolution,
government
must
not
only
deliver
services,
but
be
responsive
to
the
needs
of
its
constituents
in
that
delivery.
The
Contractor
shall
build
the
capacity
of
a
diverse
range
of
CSOs
to
activate
and
represent
citizens,
as
well
as
to
hold
government
accountable.
Though
traditional
advocacy
NGOs
will
be
important
partners,
the
Contractor
shall
also
reach
out
and
link
in
other
organizations
such
as
unions,
chambers
of
commerce,
professional
associations,
CBOs,
Youth
Bunges,
etc.
to
achieve
maximum
impact.
The
Contractor
shall
strengthen
a
cadre
of
organizations
able
to:
1)
constructively
collaborate
with
each
other
and
with
the
devolved
government
structures,
2)
engage
citizens
to
build
their
understanding
of
devolution,
as
well
as
to
catalyze
and
facilitate
their
participation
in
the
process,
3)
aggregate
citizen
concerns
up
to
the
County
and
National
levels,
and
4)
monitor
County
service
delivery.
While
the
Contractor
shall
focus
on
traditional
advocacy
training
and
mentoring
(e.g.
analyzing
power
dynamics,
strategic
planning,
media
engagement,
etc.),
it
shall
also
focus
on
the
networking
and
constituency-building
capacities
that
CSOs
need
in
order
to
effectively
represent
citizens
and
engage
with
government.
CSOs
shall
be
assisted
to
increase
their
engagement
and
support
amongst
the
general
populace,
so
that
when
they
speak,
their
voice
carries
the
weight
of
voters
who
care
about
the
issue
being
advocated
and
who
are
willing
to
take
action
so
that
their
stance
on
the
issue
is
heard.
CSOs
shall
also
be
encouraged
and
supported
to
give
added
weight
to
their
positions
by
networking
with
other
local
organizations
conducting
advocacy
to
County
governments,
and
then
aggregating
their
voice
with
others
across
Kenya
to
build
country-wide
grassroots
movements
that
reach
all
the
way
up
to
the
National
government.
In
turn,
National-level
organizations
shall
be
assisted
to
mentor
local
organizations
and
partner
with
them
to
reach
down
to
the
grassroots.
The
project
shall
help
educate
citizens
as
to
the
magnitude
of
the
devolution
process,
and
inculcate
realistic
expectations
for
the
effort
and
time
required
to
roll
it
out.
It
shall
also
inform
citizens
of
their
rights
and
responsibilities
under
County
governance,
as
well
as
the
need
for
citizen
participation
in
the
process,
and
then
work
with
CSOs
to
help
citizens
find
ways
to
engage
with
their
County
and
sub-County
governments.
Funding
shall
be
made
available
to
CSOs
to
conduct
activities
that
work
on
the
demand
side
of
the
equation
so
that
they
can
make
their
devolved
governments
more
effective
and
accountable.
This
task
shall
aim
to
ensure
that
there
is
sufficient
citizen
input
and
oversight
as
part
of
devolved
governance,
and
targeted
organizations
shall
work
hand-in-hand
with
local
government
to
set
up
mechanisms
to
make
this
possible.
The
Contractor
shall
also
work
with
CSOs
to
develop
strategies
and
practical
tools
for
engagement
and
oversight
of
government.
Sector
Integration
No
matter
what
sector
CSOs
work
in,
the
engagement
described
in
this
task
will
be
necessary
to
develop
local
government
that
is
accountable
and
responsive
to
the
needs
of
its
constituents.
Climate
Change
and
Food
Security:
USAID/Kenyas
REGAL
project
will
work
on
diversified
livelihood
promotion
through
District
Livestock
Marketing
Committees,
District
Environmental
Committees,
Elder
Councils,
Livestock
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Harmonized
Assistance
for
Devolved
Institutions
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Associations,
group
ranches,
conservancies,
etc.
It
will
strengthen
the
organizational
capacity
of
local
producer
groups,
Community
Based
Animal
Health
Workers
Associations,
Livestock
Marketing
Committees
and
other
groups
involved
in
the
livestock
value
chain.
It
will
also
support
CSO
advocacy
on
pastoralism,
water
and
rangeland
resources,
and
climate
change
adaptation;
and
it
will
promote
Community-Based
Natural
Resource
Management.
Given
that
extensive
support
for
civil
society
organizational
development
and
advocacy,
the
Contractor
shall
coordinate
closely
with
REGAL
to
ensure
that
it
is
building
on
what
REGAL
has
done
with
civil
society,
rather
than
duplicating
effort.
Once
AHADI
comes
online,
its
initial
assessment
(described
in
Task
#1.1)
shall
help
determine
what
REGAL
has
accomplished
with
which
organizations,
and
what
gaps
remain.
In
non-REGAL
areas
in
which
AHADI
works,
the
project
shall
provide
more
comprehensive
capacity
building
of
CSOs
interested
in
climate
change
and
food
security
issues,
and
shall
adapt
and
replicate
successful
REGAL
strategies,
such
as
CBNRM
to
other
locales.
Education
and
Youth:
With
regards
to
education,
the
civil
society
focus
for
AHADI
under
this
task
shall
be
to
support
PTAs
and
other
education-focused
CSOs
to
advocate
for
increased
budgets
and
better
service
provision
from
the
National
government.
This
shall
require
a
comprehensive
network
enhancement
effort
that
helps
these
groups
work
together
to
build
effectively
from
the
grassroots
and
impact
proactively
at
the
National
level.
With
regards
to
youth,
the
Contractor
shall
focus
on
mentoring
Youth
Bunges
and
other
youth
groups
to
advocate
for
their
interests
at
the
County
level,
as
well
as
to
mainstream
their
involvement
in
County
planning
processes.
Since
there
is
already
a
National
network
structure
in
place
for
the
Youth
Bunges,
the
project
shall
work
to
assess
the
networks
strengths
and
weaknesses
in
order
to
identify
strategies
for
improvement.
Health
and
Other:
If
additional
target
sectors
and
service
delivery
functions
are
identified
during
project
implementation,
the
Contractor
shall
work
to
ensure
that
these
sectors
are
complimented
by
robust
civil
society
advocacy
to
demand
better
governance
and
improved
service
delivery.
With
regards
to
Health,
OPH
is
already
supporting
the
Health
NGOs
Network
(HENNET)
and
other
CSOs
to
conduct
health-related
advocacy,
and
is
supporting
Community
Unit
structures
to
engage
citizens
on
health
committees
at
all
levels.
Therefore,
any
AHADI
effort
that
could
be
approved
with
regards
to
Health
advocacy
shall
coordinate
closely
with
these
projects
and
ensure
that
it
is
not
duplicating
effort,
but
rather
linking
Health
CSOs
into
broader,
cross-sector
advocacy
efforts
at
the
County
level.
Subtasks
may
include
the
following:
The
Contractor
may
build
the
capacity
of
CSOs
and
networks
through:
Advocacy
training
and
mentoring
for
CSOs
and
the
communities
with
theyre
engaged.
Advocacy
clinics
that
facilitate
meetings
with
decision-makers
in
which
CSOs
put
their
new
advocacy
skills
into
practice
with
the
guidance
and
oversight
of
more
experienced
CSOs.
Training
and
mentoring
in
network
and
constituency
building
for
CSOs.
Network
capacity
assessments
and
information
flow
diagnostics
that
analyze
network
strengths
and
weaknesses
and
lead
to
plans
for
network
enhancement.
Network
strengthening
and
capacity
building,
including
incubation
and
facilitation
of
new
networks
(those
that
work
within
Counties,
and
those
that
work
beyond
County
borders
to
impact
National
issues
such
the
formation
of
an
Arid
Lands
Community
Association).
Linking
Health
CSOs
into
broader
advocacy
networks
focusing
on
cross-cutting
topics
such
as
transparency
and
budgeting.
Support
may
also
be
provided
to
CSOs
so
that
they
can
conduct
the
following
activities:
Advocacy
and
watchdog
efforts
that
make
use
of
new
and
innovative
technology.
Advocacy
campaigns
to
County
governments
on
key
sector-specific
issues
such
as
policy
reform,
service
delivery
improvements
and
County
budget
expenditures
(e.g.,
by
community
development
associations).
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Advocacy campaigns and public interest lawsuits to address issues of participation, transparency, and protecting the rights of marginalized groups (including women, youth, persons with disabilities and ethnic minorities). Service delivery monitoring especially through work with beneficiaries on the development and promotion of scorecards that evaluate service delivery performance. Monitoring of public financial management practices such as revenue collection, procurement, and budgets versus actual expenditures. Investigations into corrupt practices and campaigns to demand the prosecution of perpetrators. Engagement in government created participation mechanisms and/or support for CSOs to take initiative on the facilitation of such mechanisms when Counties have not done so. Activities would include community planning forums, public hearings on legislation, town halls, and citizen advisory boards. Civic education and sensitization on devolution that leads to civic action. Membership and local fundraising drives that educate citizens on the importance of a CSOs mission and seek to garner increased support from a broader group of constituents, including marginalized groups. Harambee self-help efforts that focus on public/private/civil society partnerships for better development outcomes and increased sustainability. Depending on identified gaps, AHADI shall build on REGAL efforts through the following sub-tasks: Targeting CSOs that have not yet been reached with capacity building (depending on how REGAL is implemented, this may be entire groupings of CSOs such as water users associations, or it may be individual organizations that are worth focusing on). Providing capacity building in areas that REGAL may not be focusing on (e.g., constituency building). Applying new techniques that further enhance REGALs efforts (e.g. advocacy clinics, network diagnostics, bringing together groups from across Counties to link with National-level NGOs to create a Kenya-wide effort). Supporting advocacy in areas that REGAL has not yet worked in (e.g., monitoring, scorecards and investigations). With regards to Education and Youth, AHADI sub-tasks could include: Establishment of a National advocacy network of PTAs and civil society organizations (or enhancement of the existing network if it is deemed to have sufficient leadership potential). Capacity-building of Youth Bunges to engage effectively with County governments. Support Youth Bunges to develop sector-specific subgroups that allow them to engage on broad range of issues of interest to youth at both the County and National levels. National Youth Bunge network assessment and development of a network strengthening plan. With regards to Extractive Industry Transparency and Accountability, AHADI sub-tasks could include Providing training and support to deepen and widen public knowledge and understanding of the extractive industry as well as the need for accountability and transparency in this sector. Support efforts to increase transparency and accountability in extractive industries by strengthening CSO monitoring of the sector. Support CSO advocacy on the adoption of Extractive Industry Transparency Initiative standards, as well as other relevant laws and policies, to help Kenya avoid the resource curse with regards to its newly launched extractive industries. Illustrative Indicators
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Standard Foreign Assistance Indicator (DRG) 2.4.1-9: Number of Civil Society Organizations (CSOs) receiving USG assistance engaged in advocacy interventions. Number of policies affected by USG-supported advocacy campaigns. Number of services improved via civil society scorecards. Number of instances of corruption prosecuted. Number of active members of targeted CSOs over time. Networking capacity index score. Number of County-level CSOs that engage on National policy issues through networks. Feed the Future Indicator Handbook Indicator 4.5.1: Average percent change in score on key areas of organization capacity amongst USAID direct and indirect local implementing partners. Feed the Future Indicator Handbook Indicator 4.5.2-11: Number of food security private enterprises (for profit), producer organizations, water users associations, womens groups, trade and business associations and community-based organizations (CBOs) receiving USG assistance. Standard Climate Change Indicator 4.8.2-10: Amount of investment leveraged in U.S. dollars, from private and public sources, for climate change as a result of USG assistance Number of institutions with improved capacity to address climate change issues as a result of USG assistance Standard Foreign Assistance Indicator (Basic Education) 3.2.1-18: Number of PTAs or similar school governance structures supported. Number of mechanisms created to allow for constructive engagement of youth (and other marginalized groups) in County governance.
C.5.2.3
TASK#
2.3:
STRENGTHEN
TARGETED
COUNTY
MEDIA
ENTITIES
Integral
to
civil
society
being
able
to
hold
local
government
to
account
will
be
an
effective
media
that
ensures
citizens
are
accurately
informed
of
County
government
performance,
and
can
provide
a
platform
for
civil
society
advocating
change
when
it
is
needed.
In
some
targeted
Counties,
media
outlets
have
received
a
large
amount
of
training
and
have
significantly
increased
their
capacity.
While
in
other
Counties,
local
media
entities
are
sparse
and/or
under-capacitated.
The
Contractor
shall
devote
a
small
portion
of
its
programming
efforts
(relative
to
the
size
of
support
for
Counties
or
CSOs)
to
enhancing
the
professionalism
of
local
media,
its
knowledge
of
local
governance
systems,
its
ability
to
investigate
issues
of
corruption
and
accountability,
and
most
importantly,
its
ongoing
linkages
and
relationships
with
civil
society.
The
Contractor
shall
target
a
variety
of
media
outlets,
with
special
attention
to
vernacular
and
community
radio.
Sub-tasks
may
include:
Training
for
journalists
and
editors
to
enhance
professionalism
and
investigative
skills.
Training
for
both
traditional
journalists
and,
increasingly,
influential
social
media
users
in
conflict
sensitivity.
Training
for
traditional
and
electronic
media
in
sector-specific
issues
as
they
emerge
in
importance.
This
would
include
especially
the
promotion
of
transparency
and
accountability
of
expenditures
and
revenues
related
to
the
extraction
of
natural
resources.
Small
stipends
to
conduct
investigative
journalism.
Workshops
that
help
to
both
identify
stories
for
immediate
production,
as
well
as
to
build
long-term
connections
between
CSOs
and
the
Media.
Sector
Integration
A
capacitated
local
media
that
is
more
professional
and
better
able
to
engage
with
CSOs
will
be
able
to
benefit
a
wide
range
of
public
interests
from
investigating
potential
corruption
in
food
security
service
delivery
to
reporting
on
successful
health
service
delivery
strategies.
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Illustrative Indicators: Standard Foreign Assistance Indicator 2.4.2-8 Number of training days provided to journalists with USG assistance, measured by person-days of training. Standard Foreign Assistance Indicator 2.4.2-5 Number of non-state news outlets assisted by USG Number of investigative media stories produced with USG assistance Number of media stories produced with CSO input/cooperation and with USG assistance
C.5.3
OBJECTIVE
#3:
FUNCTIONALITY
AND
EFFECTIVENESS
OF
THE
DEVOLVED
SYSTEM
INCREASED
THROUGH
IMPROVED
INTRA-GOVERNMENT
ENGAGEMENT
AND
COOPERATION.
C.5.3.1
TASK
#3.1:
ASSIST
AND
STRENGTHEN
GOK
ENTITIES
RESPONSIBLE
FOR
THE
TRANSITION
TO
DEVOLVED
GOVERNANCE
By
the
time
this
project
is
awarded,
the
activities
of
the
Transitional
Authority
(TA)
will
be
well
underway
and
deep
into
its
Phase
II
efforts
(focusing
on
post-election
devolution
roll-out).
It
is
expected
that
the
body
will
be
fully
staffed
and
funded,
but
if
not,
both
direct
assistance
and
support
for
advocacy
for
additional
resources
will
likely
be
needed.
Given
the
importance
of
the
TA,
the
Contractor
shall
provide
guidance,
lessons
learned,
technical
assistance,
etc.
in
nearly
every
aspect
of
its
responsibilities,
but
especially
with
regards
to
its
planning,
communications
and
political
engagement
processes.
But
perhaps
the
most
important
tasks
for
the
TA
are
setting
the
criteria
for
service
transfer,
and
building
the
capacity
of
Counties
to
successfully
meet
those
criteria.
With
regards
to
the
transfer
criteria,
this
could
be
a
contentious
process,
and
the
Contractor
shall
provide
the
TA
with
needed
assistance
to
facilitate
a
dialogue
with
Ministries,
Counties
and
civil
society
that
will
set
transfer
requirements
that
are
achievable
within
a
relatively
short
timeframe,
but
stringent
enough
so
that
service
delivery
does
not
degrade.
The
Contractor
shall
further
assist
the
TA
to
develop
strategies
for
engaging
the
parliament
and
relevant
Ministries
internally,
as
well
as
engaging
civil
society
to
be
involved
in
the
process
externally.
It
shall
also
assist
the
TA
to
clearly
and
publicly
articulate
when
Counties
have
not
sufficiently
met
criteria,
and
what
they
must
do
to
meet
those
criteria.
With
regards
to
capacity
building,
the
TA
is
unlikely
to
have
sufficient
resources
to
cover
Counties
capacity
building
needs,
and
so
the
Contractor
shall
play
an
important
support
role.
The
entirety
of
Objective
#1
is
devoted
to
this
task.Beyond
these
three
areas,
other
important
TA
responsibilities
for
which
it
will
need
technical
assistance
include:
Auditing
existing
infrastructure
and
assets
held
within
Counties.
Planning
for
the
transfer
of
those
assets
along
with
existing
human
resources.
Planning
and
implementation
of
the
transfer
of
central
government
functions
and
responsibilities.
Development
of
each
Countys
first
budget.
The
creation
and
implementation
of
each
Countys
public
financial
management
system.
There
are
also
other
national
entities
that
shall
require
technical
support
and
guidance
to
fully
realize
the
objectives
of
AHADI.
As
responsibilities
and
administrations
change,
these
may
shift
over
time,
but
shall
initially
include
the
Ministry
of
Planning
(or
its
successor),
Ministry
of
Finance,
KSG
and
the
CPST.
Given
that
numerous
donors
and
projects
are
working
with
the
TA
and
these
other
national-level
entities,
the
Contractor
shall
carefully
calibrate
its
technical
assistance
to
compliment
the
work
of
others
and
avoid
duplication.
Sector
Integration
There
are
several
important
aspects
of
sector
integration
that
shall
be
addressed
under
this
task.
The
first
is
that
the
project
shall
help
facilitate
any
outstanding
and
clarifying
negotiations
between
Ministries,
Counties
and
the
TA
that
will
lay
out
a
detailed
and
specific
delineation
of
responsibilities.
Once
these
different
responsibilities
are
agreed
to,
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the project shall help codify them into policy and legislation, and help the TA to facilitate the delivery of training and capacity building so that those transferred services are managed and delivered effectively. The project shall ensure that key sector-specific skills, tools, methodologies and considerations are included in a suite of capacity building interventions and resource materials provided to new County governments. Sub-tasks may include: Assist with the creation of County-level models for understanding, strategizing, planning and developing policies for: climate change adaptation, enhancement of food security, low-emissions development, and youth engagement. Creation of a County in a Box packet of resources and tools for new County officers that would include, for example, models for County assembly standing orders, recommended staffing structure, transparent hiring policies, transparent financial management and procurement policies, etc. Assist the TA to engage with Ministries, Counties and technical experts to develop reasonable criteria for determining when services can be transferred (ideally to include criteria that enhance transparency, accountability, participation and diversity requirements). Work with the TA to provide County capacity-building.Provide the TA with lessons learned from international examples and capacity building to effectively plan and manage the actual transfer of responsibilities to Counties. Embed technical staff in the TA (and potentially other GOK entities) to provide advice and support on an ongoing basis. Work with the Ministry of Planning to facilitate participatory County-level planning processes. Strengthen the ability of KSG and the CPST to delivery capacity building to Counties. Assist the Ministry of Finance in developing and rolling out Public Financial Management standards to the Counties. Illustrative Indicators Number of functions fully devolved to target Counties. Number of Counties implementing more than 75% of total functions to be devolved. Number of County financial systems created and implemented. Number of initial County budgets with adequate Health, Climate Change/Food Security and Youth funding. Number of service transfer criteria involving transparency/accountability/participatory requirements.
C.5.3.2
TASK
#3.2:
SUPPORT
MECHANISMS
FOR
INTER-COUNTY
LEARNING,
COLLABORATION
AND
ENGAGEMENT
WITH
THE
NATIONAL
GOVERNMENT
Although
Kenya
is
moving
towards
a
more
decentralized
system
of
government,
it
is
important
to
remember
that
Counties
do
not
function
in
a
vacuum.
The
ability
to
successfully
coordinate,
negotiate,
advocate,
and
work
at
all
levels
both
up
and
down
government
will
be
one
hallmark
of
a
County's
success.
Counties
must
be
able
to
articulate
needs
to
the
National
government
and
influence
National-level
policies
that
affect
them,
as
well
as
to
engage
effectively
with
other
Counties.
This
will
require
a
set
of
institutions
and
forums
that
support
or
supplement
County
government
in
their
efforts
and
allow
them
to
coordinate
with
each
other,
central
government
Ministries,
Parliament,
the
new
Senate,
the
remnants
of
the
Provincial
Administration,
County
Commissioners,
independent
agencies,
and
citizen
groups.
The
Contractor
shall
assist
County
governments
to
set
up
permanent
structures
to
allow
for
sharing
best
practices
and
coordinated
advocacy
(including
the
Council
of
County
Governors
envisioned
in
the
Intergovernmental
Relations
Act).
The
project
shall
facilitate
cross-county
learning
through
these
groups,
and
it
shall
build
the
capacity
of
those
institutions
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to lobby for County needs to be met both within the government and through external pressure from bodies such as civil society and the media. In addition to formal bodies, the project shall also support as-needed forums and meetings around key issues (e.g., determinations around functional transfer criteria, the pace of devolution, or the authority of Counties versus National government representatives located within the Counties) that need to be worked out. Sector Integration The Contractor shall work to catalyze, support and facilitate two types of inter-County coordination mechanisms that shall support sector-specific goals under this task. 1) Inter-County Learning and Advocacy: The first consists of bodies that exist to share information around issues specific to sectors, so that Counties can learn from each others experiences and share best practices. These groups will also allow Counties to take the lead in influencing the National agenda highlighting local views on sector issues and providing a powerful means to advocate for those interests. A strong and capacitated Arid Lands County Alliance, for example, shall be formed to be a highly visible and effective advocate that would keep food security issues on the National agenda year round, instead of just when an emergency arises. With regards to Youth, the Contractor may help to found a County Youth Alliance that will assist Counties to share best practices in providing opportunities for youth to constructively engage in governance and improve their livelihoods. Such an alliance can serve as a partner to the National Youth Bunge system and the project can facilitate constructive engagement between the two groups for joint activities and advocacy at the National level. Despite some decentralization efforts in the sector, Education will remain, as per the Constitution, a function controlled by the central government. Though this could potentially change, these groups may be one of the few means Counties have for successfully engaging with the centrally controlled administration to effect education services in their areas. A strong and capacitated County Education Alliance will allow Counties that have found ways to successfully supplement National-level education services and/or coordinate with National government representatives, to share those practices so they can be replicated by other Counties. AHADI may also support a County Education Alliance to join forces with civil society actors such as PTAs to advocate for increased educational budgets and better service delivery in the sector. The group could also work with the central government for ever greater local control, which could potentially be a step in Kenya deciding to adopt a Constitutional amendment to devolve education (which many Kenyans feel should already be in place). 2) Managing Shared Resources: The Contractor shall also focus support on a second set of bodies focused on mechanisms for two or more Counties to jointly manage a shared resource while minimizing conflict. Depending on need, these groups can either be permanent mechanisms for coordination, or ad hoc groups brought together to resolve a specific issue regarding agriculture or NRM. Where feasible, they should also go beyond management of existing resources, to promoting policies and joint activities that enhance or even create resources. Given the cross- County nature of resources (e.g., parks, forests, water, oil resources, rangeland) and the need to promote equitable use, these groups will be especially important in the arid lands, and the Contractor shall work to set them up with strong enforcement tools so that agreed upon policies can be effectively put into practice. The Contractor shall also assist these bodies to integrate conflict concerns into their policy-making, and to include robust input from the communities that use the resources in question. Doing so will help the enacted policies conform to the needs of the local populace, rather than potentially further inflaming existing conflicts. Additional Sectors: If additional target sectors and service delivery functions are identified as described in Task #1.6, The Contractor shall help ensure that these sectors are complimented by relevant inter-County coordination bodies either through direct support or through coordination with existing projects. Sub-tasks may include the following with regards to overall County coordination:
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Assist
in
the
formation
and
strengthening
of
the
Council
of
County
Governors
and
other
inter-County
bodies.
This
will
include
both
those
envisioned
in
the
Intergovernmental
Relations
Act,
and
those
that
while
not
specifically
legislated,
could
have
a
positive
effect
(e.g.,
County
Auditors
Association,
County
Assembly
Member
Association,
etc.).
Assist
inter-County
bodies
to
develop
and
carry-out
advocacy
strategies.
Support
for
cross-County
study
tours
and
other
means
of
diffusing
best
practices.
Support
for
forums
to
increase
coordination
with
National
bodies
(e.g.,
meetings
that
bring
to
together
a
Countys
civil
society
leaders,
Members
of
Parliament
(MPs),
Senator,
Governor,
and
County
Assembly
members
to
define
and
strategize
a
common
advocacy
agenda)
on
County
issues.
Facilitate
dispute
resolution
forums,
mechanisms
and
meetings
that
help
resolve
National-to-County
and
County-to-County
conflicts.
Support
the
formalization
of
linkages
between
County
governments
and
their
Senator
Support
for
the
formalization
of
linkages
between
Constituency
MPs
and
Sub-County
Administrators
Training
and
mentoring
for
cross-County
bodies
on
integration
of
conflict
and
community
concerns.
Lessons
learned
workshops
for
County
leaders
participating
in
AHADI
Sub-tasks
may
include
the
following
with
regards
to
Climate
Change
and
Food
Security:
Creation,
support
and
capacity-building
of
Arid
Lands
County
Alliance
for
learning
and
advocacy
to
the
National
government
on
policies
for
drought
resiliency
in
arid
lands.
Creation,
support
and
capacity-building
of
other
relevant
County
sector
groups:
Agriculture,
Water,
Energy,
etc.
Creation,
support
and
capacity-building
for
bodies
to
manage
shared
resources.
Support
for
cross-County
bodies
to
enhance
or
create
resources.
Examples
include
forest
and
water
catchment
rehabilitation,
animal
disease
control,
developing
renewable
energy
facilities,
and
supporting
research
and
scale-up
of
appropriate
technologies
for
improved
agricultural
management
practices.
Support
for
cross-County
community
forums
to
resolve
conflict
and
design
policy.
Examples
include
policies
on
cross-border
livestock
mobility
and
water
resources.
Sub-tasks
may
include
the
following
with
regards
to
Education
and
Youth
Creation,
support
and
capacity-building
of
County
Government
Education
and
Youth
Alliances.
Facilitate
engagement
between
County
Government
Youth
Alliance
and
the
National
Youth
Bunge
Association
that
jointly
identifies
opportunities
for
youth
empowerment.
Facilitate
engagement
between
County
Education
Alliance
and
a
National
PTA
network
to
jointly
identify
opportunities
for
advocacy
and
improvement
of
educational
services.
Support
County
Youth
Alliance
advocacy
on
youth
issues
faced
at
the
National
level.
Documentation
and
exchange
visits
from
Counties
who
have
identified
creative
ways
to
improve
education
within
their
borders
in
order
to
replicate
the
practice
elsewhere.
Facilitation
of
joint
County
government/civil
society
advocacy
on
key
issues
such
as
increased
budgets,
more
teachers,
improved
school
facilities,
better
incentive
structures
and
oversight
of
teachers,
improved
curricula,
and
greater
local
accountability
for
teachers
and
school
administrators.
Help
Counties
to
engage
the
administration
on
education
coordination
efforts
such
as
involvement
in
the
decision-making
process
for
central
government
block-grants
to
schools,
and
joint
planning
for
County
hand- off
of
pre-primary
students
to
primary
schools.
This
may
involve
the
creation
of
in-County
coordination
bodies
that
involve
County
officials
and
centrally-employed
officials
stationed
within
the
County.
Illustrative
Indicators
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Harmonized
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for
Devolved
Institutions
(AHADI)
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Number of National-level decisions affected by County government advocacy. Number of documented cases of best-practices transfer. Number of National-to-County or County-to-County disputes successfully resolved. Number of shared resources with established cross-County governance procedures in place. Foreign Assistance Indicator (Basic Education) 3.2.1-38: Number of laws, policies, regulations, or guidelines developed/modified to improve primary grade reading projects or increase equitable access. Standard Foreign Assistance Indicator (Basic Education) 3.2.1-38: Number of laws, policies, regulations, or guidelines developed/modified to improve primary grade reading programs or increase equitable access.
C.5.4 PROGRAM MODIFIER/RAPID RESPONSE MECHANISM (USD$ 5,000,000) In addition to the activities described above, the Contractor should have the capacity to respond to unanticipated events impacting on achievement of AHADI objectives, upon written request from the USAID COR. This capacity may be required in any of the result areas mentioned in the SOW and should meet the following minimum standards: Program Modifier Result: Contractor has the capacity to respond quickly to unanticipated events including the illustrative indicators identified above. Program Modifier (PM) / Rapid Response Performance Standards, at a minimum: PM 1 The Contractor has the capacity to provide short notice technical assistance (within 21 days) or logistics support (within 30 days) in response to unanticipated events and urgent requests that arise with regards to devolution. The capacity may be required in any of the subject areas covered by the contract and any subsequent amendments. PM 2 The assistance may include technical assistance, training and / or logistics support for or in behalf of devolution stakeholders and partners requiring critical support for achievement of AHADI objectives. Activities may include, but are not limited to: monitoring, planning, analysis and assessments; as well as training or orientation of, and / or promoting dialogue between, devolution stakeholders and partners. Assistance may also include other activities such as preparation of reports; logistical support for time sensitive devolution partner initiatives; integration of additional sectors, geographical locations, and partners; and sub-grants to critical program related civil society and County Government activities. Note: If implementation is eventually authorized, this Program Modifier would be implemented through a future contract modification providing additional funding. C.6 RISKS/ASSUMPTIONS/CONSTRAINTS
In
the
design
of
AHADI
project,
USAID
has
made
the
following
assumptions
about
the
operating
environment:
County
Government
will
be
given
primary
responsibility
for
the
delivery
of
services
anticipated
in
the
Constitution
under
relevant
decentralization
laws
and
policies.
Any
changes
to
the
role
and
function
of
County
government
will
not
preclude
AHADI
from
working
with
them.
Government
will
allow
AHADI
to
provide
technical
support
to
County
governments
and
technical
and
grant
assistance
to
civil
society
organizations.
Government
will
continue
its
overall
commitment
to
the
decentralization
process
and
wont
seek
to
actively
undermine
it.
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Other donors will support pieces of decentralization necessary for success. In the design of the AHADI project, USAID has identified the following risks in the operating environment: The TA may lack the skilled personnel to effectively manage the devolution process. The TA may be given too broad or narrow a mandate to effectively manage the devolution process. Services may be devolved either too quickly (before Counties are ready) or too slowly (undermining the process). Central government officials may inadequately empower County level government. The Government may be unwilling to disassemble previous sub-National governing institutions. Skilled Kenyans may be unwilling to work in certain Counties. The Government could impose bureaucratic obstacles that could greatly hinder the devolution process Novice government officials in Counties level may be more prone to graft. County officials may not be interested in creating a better service delivery environment, and/or increasing oversight and accountability. There may not be sufficient civil society infrastructure or capacity in target Counties that can be built rapidly enough to have an impact during the life of the project. Tensions within some targeted Counties could become so severe as to preclude project operation in those Counties. As part of its reporting to USAID (as described in section F.7.), the Contractor shall monitor the status of the above mentioned risks and assumptions, inform USAID whether these risks or assumptions materialize, whether they change in scope or severity, and whether new risks or assumptions are identified. As necessary, the Contractor shall adapt its strategy to handle changes in risks and assumptions over time. C.7 MONITORING, EVALUATION, REPORTING, LEARNING AND ADAPTING
An
effective
strategy
for
project
monitoring,
evaluation,
reporting,
learning
and
adapting
shall
be
essential
given
the
scope
of
this
project,
the
diversity
of
results
it
is
trying
to
achieve,
the
shifting
political
landscape
it
will
be
working
within,
and
the
variety
of
actors
it
intends
to
work
with.
The
Contractor
shall
present
a
draft
Performance
Management
Plan
(PMP)
with
the
proposal,
which
will
be
finalized
after
award
in
accordance
with
Section
F.
The
plan
shall
include
the
Contractors
proposed
indicators
to
monitor
the
achievement
of
the
Scope
of
Work,
as
well
as
its
strategy
for:
a)
effective
oversight;
b)
staff
monitoring
and
evaluation
capacity;
c)
data
management;
d)
learning
and
mid-course
adjustments
that
shall
keep
the
project
focused
on
achieving
its
intended
objectives.
The
Contractor
shall
link
its
monitoring
to
a
work
plan
that
shall
include
specific
implementation
and
budgeting
for
the
initial
and
subsequent
12
months.
In
addition,
the
contractor
shall
submit
quarterly
and
annual
reports,
as
well
as
Monthly
Progress
Reports
as
described
below
in
section
F.7.
The
PMP
shall
include
the
agreed
upon
framework
of
goals,
outcomes,
and
outputs
with
indicators,
baselines
and
targets
defined
for
each,
with
gender
disaggregated
where
appropriate.
Where
projects
or
activities
have
specific
interventions
that
target
or
benefit
the
youth
(defined
as
those
within
the
age
range
of
10
to
30
years
old),
people
level
indicators
shall
be
disaggregated
by
age.
Where
projects
or
activities
are
implemented
in
particular
locations,
the
Contractor
shall
map
and
track
the
type
of
intervention
by
project
objectives.
As
possible
and
appropriate,
this
could
be
done
by
county,
region
and
target
area.
The
PMP
shall
include
many
of
the
illustrative
indicators
contained
within
this
document;
however
the
Contractor
is
free
to
propose
alternate
or
additional
indicators,
as
long
as
they
adequately
measure
project
impact
on
the
described
objectives
and
meet
agency
and
cross-sector
reporting
requirements.
The
contractor
must
think
carefully
and
strategically
about
which
indicators
are
appropriate
within
the
proposed
program
context
and
adequately
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reflect programmatic results. The focus of these indicators must be on the quality of measurement capacity and ability to gather requisite information. The Contractor shall be required to collect baseline data for all relevant indicators, in the County Preparedness Study as described in Section F.7, and this baseline shall be used to evaluate program impact and results in each quarterly report. Agreement will be reached between the contractor and the respective COR as to how data for these indicators will be tracked to ensure consistency. Baseline data gathering shall be completed within the first four months of the project. Because assessment and implementation frequently overlap in an iterative feedback process, a certain level of new research, verification, and data collection may be required in order to make informed decisions and to monitor the effectiveness of development interventions. Therefore this project shall collect data that it is (1) necessary in order to implement a development solution (2) aligned with the monitoring and evaluation criteria of USAID Forward. The Performance Monitoring Plan shall contain key evaluation questions that could guide the understanding and interpretation of results in line with USAID Evaluation Policy. Under USAIDs new Evaluation Policy (http://transition.usaid.gov/evaluation/USAIDEvaluationPolicy.pdf), the implementing partner is primarily responsible for monitoring and ongoing evaluations (typically formative and mid-term evaluations) that inform management decisions by assessing whether projects are being implemented as planned, reaching targeted groups, and achieving expected outputs and outcomes. However, the primary responsibility for final (summative) evaluations that assess the overall performance and results from the project/activity rests with USAID. While the implementing partner will provide supporting data and analysis, such evaluations will be designed, implemented and separately contracted (where contract support is needed) by the Mission to assure objectivity and rigor. With the opportunities offered by an entirely new governance structure, USAID/Kenya has determined that this project is potentially well positioned to be the subject of an Impact Evaluation (IE). As described in USAIDs Evaluation Policy, Impact evaluations measure the change in development outcome that is attributable to a defined intervention; impact evaluations are based on models of cause and effect and require a credible and rigorously defined counterfactual to control for factors other than the intervention that might account for the observed change. If the option to conduct an IE is exercised by USAID/Kenya, the success of the rigorous IE shall require close collaboration and effective communication between AHADI and the external IE team throughout the lifespan of the project. In particular, the Contractor shall work closely with the IE team on the following programmatic aspects, which are described further in the section below: County, sub-County and ward site selection, Baseline survey design and sampling scheme, Coordination and harmonization of performance monitoring and IE, and Activity design and implementation for a defined set of activities that may be subject to the rigorous IE. In addition, USAID/Kenya may choose to institute an external mid-term or performance evaluation (focusing more on descriptive and normative questions regarding the project). Similarly, the Contractor is free to propose internal performance evaluation measures it deems relevant and cost-effective.3 C.7.1 IMPACT EVALUATION Impact evaluation guidance that the Contractor shall adhere to is described in detail below. This Impact Evaluation (IE) will be conducted externally and therefore, the AHADI Contractor will be responsible for full collaboration with
See USAID Evaluation Policy (www.usaid.gov/evaluation/USAIDEvaluationPolicy.pdf) and ADS 203 (www.usaid.gov/policy/ads/200/203.pdf) for more detailed guidance.
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the
third-party
evaluator.
The
timing
for
the
evaluation
will
be
determined
internally
at
USAID
and
communicated
to
the
Contractor
during
the
life
of
the
AHADI
project.
DEFINED
INTERVENTIONS
AT
SUB-COUNTY
AND
WARD
LEVELS
IN
A
SUFFICIENT
NUMBER
OF
SITES
In
order
to
conduct
a
rigorous
impact
evaluation,
it
will
be
critical
for
the
implementer
to
commit
to
carrying-out
a
defined
activity
(or
subset
of
activities)
within
a
sufficient
number
sub-Counties
or
wards.
Activities
under
Tasks
1.3,
1.4
and
2.2
will
likely
be
the
best
candidates
for
a
rigorous
IE.
LOWER-LEVEL
SITE
SELECTION
AND
PROGRAM
ROLL-OUT
To
ensure
the
success
of
the
IE,
it
will
be
essential
to
randomize
sub-Counties
and
wards
into
treatment
and
control
sites.
Put
differently,
it
will
be
necessary
to
randomly
select
the
set
of
lower
level
sites
where
the
activity
selected
for
the
IE
will
be
administered.
The
IE
team
will
be
responsible
for
the
development
of
the
randomization
plan,
in
collaboration
with
the
implementing
partner.
Once
the
randomization
plan
is
finalized
and
the
treatment
districts
selected,
the
implementer
will
need
to
carry-out
the
activity
under
evaluation
in
the
selected
set
of
treatment
sites
and
not
implement
the
activity
in
the
selected
set
of
control
sites.
To
address
ethical
concerns
that
may
arise,
sites
which
are
initially
designated
as
control
sites
can
receive
the
treatment
at
a
later
stage
in
the
program.
This
is
called
a
phased
randomization
design.
CLOSE
COORDINATION
WITH
IE
TEAM
ON
SUBGRANT
DISTRIBUTION
TO
CSOS
Depending
on
the
activity
selected
for
the
impact
evaluation,
it
may
be
critical
for
the
recipient
to
work
closely
with
the
IE
team
to
ensure
that
the
distribution
of
subgrants
to
CSOs
does
not
present
significant
contamination
or
inference
problems
for
the
IE.
For
example,
the
IE
team
and
implementing
partner
can
work
together
to
ensure
that
the
proposed
CSO
activities
represent
complementary
versus
competing
activities
to
the
planned
activities
under
evaluation.
Additionally,
depending
on
the
overall
implementation
plan,
the
implementer
may
find
it
advantageous
to
work
through
the
sub-grant
mechanisms
in
order
to
implement
the
activities
designated
for
the
IE.
BASELINE
SURVEY
DESIGN
AND
IMPLEMENTATION
To
maximize
efficiency,
conserve
resources
and
produce
the
most
valuable
evaluation,
it
will
be
necessary
for
the
recipient
and
IE
team
to
work
in
close
collaboration
on
the
design
and
implementation
of
the
baseline
survey.
In
particular,
the
substantial
involvement
of
the
IE
team
in
the
survey
instrument
design
and
sampling
plan
is
important
for
two
main
reasons.
First,
the
IE
team
will
devote
resources
to
conducting
a
baseline
study
for
the
purposes
of
the
impact
evaluation.
Thus,
a
single,
wide
spread,
comprehensive
baseline
survey
that
combines
both
the
IE
team
and
implementers
resources
may
be
the
most
efficient
and
affordable
method
for
achieving
the
overall
evaluation
objectives.
Second,
beyond
the
rigorous
IE
component,
the
IE
team
will
also
be
responsible
for
producing
a
broader
program
evaluation.
Given
a
well-designed
survey
instrument
and
sampling
design,
the
baseline
survey
has
the
potential
to
produce
more
reliable
evidence
regarding
the
overall
program
effect,
and
the
IE
team
will
bring
significant
experience
and
expertise
to
this
critical
data
collection
effort.
COLLABORATION
WITH
THE
IE
TEAM
REGARDING
ACTIVITY
ADJUSTMENTS
To
ensure
a
rigorous
impact
evaluation
of
the
defined
set
of
activities
at
the
local
government
level,
it
will
be
necessary
for
the
recipient
to
ensure
that
these
activities
are
implemented
as
consistently
as
possible
across
program
sites.
Throughout
the
projects
lifespan,
there
must
be
effective
communication
and
collaboration
with
the
IE
team
regarding
any
possible
activity
adjustments;
any
fundamental
or
undocumented
changes
will
threaten
the
validity
of
the
evaluation
design.
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COORDINATION AND HARMONIZATION OF PERFORMANCE MONITORING AND IE The performance monitoring plan and impact evaluation should be jointly developed to ensure a coordinated evaluation effort. This will require close collaboration, effective communication and a solid working relationship between the implementers monitoring and evaluation team and the IE team. C.8 GRANTS UNDER CONTRACT
The Contractor shall make grants pursuant to ADS 302.3.4.8 (Grants Under Contract). Use of the GUCs procedure is subject to specific approval by USAID and must meet certain conditions, not all of which are summarized herein. The Contractor shall develop a grants procedure manual, approved by the USAID Contracting Officer, for the administration of GUCs. USAID must be significantly involved in establishing selection criteria for GUCs and must approve the actual selection of grant recipients. In addition, USAID will retain the right to terminate grants unilaterally A minimum of $15,000,000 of project funding shall be allocated over the five-year program for the Grants under Contract program (with even higher amounts encouraged). The remaining amount of funding to local organizations and institutions shall be used for subcontracts and purchase orders for management responsibilities and to implement activities as required. The grant fund is used specifically to ensure that local organizations and governments have access to funds to carry-out devolution-related efforts, and that the contractor has the flexibility to respond accordingly to needs as these arise. In addition to traditional grants and cooperative agreements, the contractor can propose creative ways to utilize this fund such as fixed obligation grants, in-kind grants of equipment or supplies, micro-grants, and subsidies or matching grants to reduce risk and encourage buy-in. Creativity is expected in the use of this fund to support Kenyan initiatives and institutions (both governmental and non- governmental) in line with the objectives of the project. In cooperation with and to be approved by USAID, the Contractor shall prepare a Grants Manual within 30 calendar days after award which shall be used for the selection process for winning grants. The Grants Manual shall include the establishment transparent, competitive procedures for 1) determining priorities and approaches for grants to be solicited under the AHADI project and 2) making final selection of winning applicants. USAID will be closely working with the Contractor in the management and administration of the grants under AHADI. The AHADI COR will provide oversight and guidance to the Contractor in soliciting and implementing grants in a way that achieves the objectives of the project. END OF SECTION C
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SECTION D PACKAGING AND MARKING D.1 AIDAR 752.7009 MARKING (JAN 1993)
(a) It is USAID policy that USAID-financed commodities and shipping containers, and project construction sites and other project locations be suitably marked with the USAID emblem. Shipping containers are also to be marked with the last five digits of the USAID financing document number. As a general rule, marking is not required for raw materials shipped in bulk (such as coal, grain, etc.), or for semi-finished products which are not packaged. (b) Specific guidance on marking requirements should be obtained prior to procurement of commodities to be shipped, and as early as possible for project construction sites and other project locations. This guidance will be provided through the cognizant technical office, or by the Mission Director in the Cooperating Country to which commodities are being shipped, or in which the project site is located. (c) Authority to waive marking requirements is vested with the Regional Assistant Administrators, and with Mission Directors. (d) A copy of any specific marking instructions or waivers from marking requirements is to be sent to the Contracting Officer; the original should be retained by the Contractor. D.2 BRANDING POLICY AND STRATEGY
Branding
strategy
implementation
and
marking
under
this
contract
shall
comply
with
the
USAID
Graphics
Standards
Manual
available
at
http://www.usaid.gov/branding
and
any
successor
branding
policy
as
detailed
in
the
Automated
Directive
System
(ADS)
Chapter
320.
Objective:
To
provide
potential
Offerors
with
areas
to
be
addressed
in
the
development
of
the
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Branding
Implementation
and
Marking
Plans
so
as
to
deliver
the
message
that
the
assistance
is
from
the
American
People.
Activity
name:
The
name
of
the
activity
shall
be
the
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project.
In
every
public
event
or
document
and
in
discussions
with
the
Government
of
Kenya
and
other
counterparts,
the
contractor
shall
identify
the
activity
as
the
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
(which
can
be
abbreviated
to
AHADI
after
the
initial
reference
is
made
in
a
particular
instance).
Branding:
The
branding
strategy
shall
incorporate
the
message
that
the
assistance
is
From
the
American
People,
and
is
sponsored
by
USAID.
USAID
policy
is
to
require
exclusive
branding
and
marking
in
all
its
direct
contracts.
Positioning:
Publicity
materials
and
communications
shall
clearly
reflect
the
notion
that
this
activity
is
provided
by
the
American
People
through
USAID
with
the
close
collaboration
and
support
of
the
Government
of
Kenya.
No
other
organizations
will
be
acknowledged
publicly
in
connection
with
AHADI.
Visibility:
USAID
seeks
a
very
high
level
of
visibility
through
USAID-branded
public
events,
high-level
visits,
community
awareness
and
training
activities,
and
media
coverage.
However,
the
Contractor
may
propose
activities
to
be
exempted
from
this
requirement
to
the
Contracting
Officers
Representative
(COR)
for
concurrence
and
for
Contracting
Officer
approval.
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Approval Procedures: In carrying out the approved Branding Implementation and Marking Plans, the contractor will seek timely approval from the COR for all public and media documents, speeches, and event preparation forms as per USAID/Kenya outreach and communication procedures at least three (3) weeks prior to the implementation date of the subject activity. Specific waivers of branding implementation and marking require Contracting Officers advanced written approval. Anticipated Elements of Marking Plan: Deliverables to be marked include products, equipment and inputs delivered; places where activities are carried out; external public communications, studies, reports, publications and informative and promotional products; and workshops, conferences, fairs and any such events. Studies, reports, publications, Web sites, and all informational and promotional products not authored, reviewed, or edited by USAID must contain a provision substantially as follows, This study/report/Web site (specify) is made possible by the support of the American People through the United States Agency for International Development (USAID.) The contents of this (specify) are the sole responsibility of (name of organization) and do not necessarily reflect the views of USAID or the United States Government. Graphics Standard Manual: USAIDs webpage contains the electronic version of the Graphic Standards Manual that is compulsory for all contractors to follow. D.3 APPROVAL OF CONTRACTOR BRANDING IMPLEMENTATION AND MARKING PLAN
The Contractors Branding Implementation Plan and Marking Plan, will be finalized and submitted for Contracting Officer approval no later than 15 days after contract award. The Contractor will follow the approved plan during implementation of this contract unless a waiver is requested and approved by the contracting officer. Guidance on applying for waivers can be found in USAID Automated Directives System Chapter 320, Branding and Marking. END OF SECTION D
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SECTION E INSPECTION AND ACCEPTANCE E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE
The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR 52.252-2 CLAUSES INCORPORATED BY REFERENCE in Section I of this contract. See FAR 52.252-2 at http://www.acquisition.gov/far/current/html/52_248_253.html for the full text of the clause. NUMBER TITLE DATE FEDERAL ACQUISITION REGULATION (48 CFR Chapter 1) 52.246-5 INSPECTION OF SERVICES-COST REIMBURSEMENT APR 1984 52.246-3 INSPECTION OF SUPPLIES COST REIMBURSEMENT MAY 2001 E.2 INSPECTION AND ACCEPTANCE
USAID inspection and acceptance of services, reports and other required deliverables or outputs shall take place at: Democracy, Rights and Governance Office USAID/Kenya U.S. Embassy, United Nations Avenue, Gigiri P.O. Box 621, 00629 Village Market Nairobi, Kenya or at any other location where the services are performed and reports and deliverables or outputs are produced or submitted. The Contracting Officer has delegated to the COR authority to inspect and accept all services, reports and required deliverables or outputs. E.3 MONITORING AND EVALUATION PLAN
Monitoring and evaluation plans should be utilized in order to assess the impact of the programs and whether or not objectives are being achieved and if they should be adjusted. END OF SECTION E
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F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR 52.252-2 CLAUSES INCORPORATED BY REFERENCE in Section I of this contract. See FAR 52.252-2 at http://www.acquisition.gov/far/current/html/52_248_253.html for the full text of the clause. NUMBER TITLE DATE 52.424-15 STOP WORK ORDER, ALTERNATE 1 AUG 1989 F.2 PERIOD OF PERFORMANCE
The period of performance of this contract is TBD, 2013 through TBD, 2018. The estimated period of performance for this contract is 5 years. F.3 PLACE OF PERFORMANCE
The primary place of performance is Nairobi, Kenya, where the contractor shall establish a field office. However, regional offices may be established in other parts of Kenya as necessary. The Contractor shall travel throughout Kenya, as necessary to perform the work requirements under this SOW. Potential locations of ongoing operation and engagement include Turkana, Marsabit, Wajir, Isiolo, Garissa, Tana River, Lamu, Kilifi, Kwale, Taita Taveta, Nairobi, Mombasa, Kisumu, Machakos and Kiambu. The final list of target counties will be negotiated with the Contractor and will be subject to the approval of USAID/Kenya. The Contractor should be aware that Garissa is currently a non-permissive area for travel and operations for entities under Chief of Mission Authority. Therefore, the Contractor shall articulate plans for obtaining waivers or otherwise implementing the project in this County. As security situations evolve in Kenya, the Contractor shall continue to adapt the project to fit changing restrictions and security concerns. F.3 PERFORMANCE STANDARDS
The contractors overall performance will be evaluated jointly by the COR and the Contracting Officer and will form the basis of the Contractors permanent performance record with regard to this contract as required in FAR 42.15 and AIDAR 742.15. This will form the basis of the Contractors permanent performance with regard to this contract: a) Quality o o o o Quality and effectiveness of the Contractor's long-term key personnel, other non-key long-term professionals, and short-term specialists to meet contract deliverables. Performance of key personnel. Demonstration of a viable, AID-effective approach to program activities and deliverables. Partnership with Kenyan stakeholders and USAID.
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b) Cost Control/Effectiveness o o o o Actual costs incurred against the contractor's cost proposal. The final budget will be a part of the contract. The contractor must report expenditures to USAID against the budget quarterly. The COR will randomly check expenditures.
c) Timeliness of Performance o o o o o Ability to set and meet timelines for delivery of all agreed tasks included in the contract scope of work. Long-term and Short-term technical assistance are identified and fielded in a timely manner. Grants under contract are identified, developed and deployed in a timely manner. Timeliness of documents or reports submitted to USAID. Responsiveness to identified performance issues.
During the period of the contract, the COR will conduct annual performance reviews, as well as at contract completion, to monitor the contractors performance progress and success including the following: o At least monthly meetings with USAID; o Review of contractors scheduled reports (which include updates to the work-plan, fiscal expenditures and accruals, progress reports, consultants reports, etc.); o Feedback from Government of Kenya officials and other counterparts; o Site visits by the COR and/or other USAID personnel; o Periodic impact assessments/evaluations; o Regular planning meetings between USAID and the contractor to finalize annual work-plans and/or to identify emerging priorities requiring attention, and; o Coordinating committee meetings with USAID, the contractor, the Government of Kenya, and other stakeholders, as agreed. F.5 KEY PERSONNEL
The
key
personnel
proposed
by
the
contractor
are
considered
to
be
essential
to
the
work
being
performed.
Unless
otherwise
agreed
to
by
the
Contracting
Officer,
the
contractor
shall
be
responsible
for
providing
such
personnel
for
performance
of
this
contract.
Replacement
of
key
personnel
cannot
be
made
by
the
contractor
without
the
written
consent
of
the
contracting
officer.
The
listing
of
key
personnel
may,
with
the
consent
of
the
contracting
parties,
be
modified
from
time
to
time
during
the
course
of
the
contract
to
add,
change,
or
delete
personnel
and
positions,
as
appropriate.
The
following
full-time,
Kenya-based
positions
are
designated
as
Key
Personnel
which
the
contractor
shall
furnish
for
the
performance
of
this
contract:
(To
be
completed
by
the
Offeror).
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Title
Name
Chief
of
Party
____________________________
Deputy
Chief
of
Party
____________________________
Finance
Manager
____________________________
Grants
Manager
____________________________
Monitoring
and
Evaluation
Specialist
____________________________
General
roles
and
responsibilities
for
Key
Personnel
are
as
follows:
Chief
of
Party:
Responsible
for
overall
program
leadership,
strategic
planning,
management
and
quality
assurance.
The
Chief
of
Party
ensures
that
impacts
are
achieved
and
that
deliverables
are
provided
on
time.
The
CoP
is
also
responsible
for
facilitating
communication
and
close
coordination
with
USAID/Kenya,
other
donors,
the
GoK,
County
leadership,
civil
society
and
other
relevant
stakeholders.
Deputy
Chief
of
Party:
Responsible
for
assisting
the
CoP
with
regards
to
program
leadership,
strategic
planning,
management
and
quality
assurance.
Will
deputize
for
the
CoP
during
absences.
Depending
on
the
Offerors
proposed
staffing
structure,
may
have
other
designated
responsibilities
outside
assisting
the
CoP,
such
as
being
head
of
a
satellite
office,
or
being
responsible
for
more
day-to-day
management
issues
than
the
CoP.
Finance
Manager:
Responsible
for
overseeing
all
aspects
of
financial
management,
including
financial
systems
implementation,
budgeting,
expenditure
tracking,
and
financial
reporting
and
accounting
for
both
the
prime
Contractor
and
any
sub-Contractors
or
grantees.
Grants
Manager:
Responsible
for
overseeing
all
aspects
of
the
grants
management
process,
including
setting
up
grants
management
systems,
drafting
the
Grants
Under
Contract
Manual,
drafting
solicitations,
managing
proposal
review,
designing
grant
templates,
drafting
grants,
ensuring
grantee
compliance
with
relevant
rules
and
grant
requirements,
and
timely
close-out.
M&E
Specialist:
Responsible
for
overseeing
all
aspects
of
Monitoring,
Evaluation,
Reporting,
Learning
and
Adapting
(MERLA)
for
the
project,
including
designing
and
putting
in
place
robust
MERLA
systems,
tracking
indicator
data
for
the
prime
contractor
and
partners,
data
quality
control,
drafting
required
reports,
and
facilitating
mechanisms
for
programmatic
learning
and
adapting.
Approval
of
all
non-Kenyan
Key
Personnel
is
subject
to
the
candidates
ability
to
secure
a
work
permit
from
the
GoK.
Key
Personnel
Requirements
are
as
follows:
Chief
of
Party:
15
years
experience
in
project
management,
Masters
degree
in
International
Affairs,
Economic
Development,
Public
Management
or
related
field
relevant
to
the
position
requirements
(5
years
of
extra
work
experience
can
be
substituted
in
lieu
of
Masters
if
candidate
only
has
a
Bachelors
degree),
minimum
10
years
working
in
international
development
with
progressively
greater
responsibility,
minimum
5
years
working
in
governance.
Deputy
Chief
of
Party:
8
years
experience
in
project
management,
Bachelors
degree
in
International
Affairs,
Economic
Development,
Public
Management
or
related
field
relevant
to
the
position
requirements,
minimum
5
years
working
in
international
development
with
progressively
greater
responsibility,
minimum
2
years
working
in
governance.
Finance
Manager:
8
years
experience
in
financial
management,
Bachelors
degree
in
Business,
Accounting,
Finance
or
related
field
relevant
to
the
position
requirements,
minimum
5
years
working
in
international
development.
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Grants Manager: 5 years experience in managing large grants facilities, Bachelors degree in Business, Management, International Affairs or related field relevant to the position requirements, minimum 3 years working in international development. M&E Specialist: 5 years experience in written communications and M&E, Bachelors degree in International Affairs, Data Management, Journalism, Public Management or related field relevant to the position requirements, minimum 3 years working in international development. MANAGEMENT OF CONTRACT
F.6
The Contractor shall work collaboratively with the AHADI COR to develop the required annual work plans and progress reports. This includes cost and quality controls under this contract. Technical requirements and tasks will be based on the Contractors proposed work plan, as amended during discussions with USAID/Kenya. This contract will be managed by the USAID/Kenya, Democracy, Rights and Governance Office with technical input from Missions Development Objective teams. The Contractor shall provide the management necessary to fulfill all the requirements of this contract. This includes cost and quality control under this contract. It must be noted that the Contractor is required to commence work no later than seven (7) days after the contracts effective date. All work under this contract shall be completed within the period of performance. The following contract management processes and reporting will be required. All reports indicated below will be submitted to USAID in English. The following processes and reporting may be amended or changed as needed by the COR and Contractor. Specifically, the following may be amended by the COR in consultation with the Contractor based on the annual reporting guidance by USAID reporting requirements. F.7 REPORTS AND OTHER DELIVERABLES
In
addition
to
the
requirements
set
forth
in
AIDAR
clause
752.242-70,
Periodic
Progress
Reports,
the
Contractor
will
submit
to
the
COR
reports,
deliverables
or
outputs,
as
further
described
below.
All
reports
must
be
submitted
electronically
to
the
COR.
DELIVERABLE
DUE
DATE
a.
Work
Plan
Draft
Y1
work
plan
-
submitted
with
proposal.
Final
Y1
work
plan
-
Within
30
calendar
days
after
USAID
feedback
is
given.
Amended
Y1
work
plan
(with
additional
information
from
County
MOUs)
due
within
120
calendar
days
after
the
Final
Y1
work
plan
is
approved.
Annual
work
plans
-
30
calendar
days
prior
to
start
of
subsequent
year
of
implementation
b.
Performance
Management
Draft
-
submitted
with
proposal
Plan
Final
-
Within
30
calendar
days
after
USAID
feedback
is
given
Amended
Final
PMP
within
120
calendar
days
of
after
the
Final
PMP
is
approved.
c.
Final
Branding
Final
within
15
calendar
days
of
contract
effective
date
Implementation
Plan
and
Marking
Plan
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d. Grants Under Contract Manual e. County Preparedness Study (to include or be substituted by Baseline Indicator Data as described below). f. Subsequent Studies g. County MOUs and/or Capacity Strengthening Plans h. Consultants Reports i. Strategy Review Reports
Draft - Within 30 calendar days of contract effective date Final - Within 15 calendar days after USAID feedback is given Draft - Within 60 calendar days of contract effective date. Final - Within 20 calendar days after USAID feedback is given
Drafts no later than 15 calendar days after the conclusion of research. Final no later than 15 calendar days after feedback is given. Drafts within 75 calendar days of the effective contract date. Final within 15 calendar days after USAID feedback is given Updated as necessary throughout the life of the project. . No later than 10 calendar days after the completion of services Draft within 10 calendar days of the completion of a strategy review session Final within 15 calendar days of the completion of a strategy review session Within 5 calendar days of the conclusion of the previous month Within 30 calendar days of the end of quarter. The last quarterly report of the reporting year shall be replaced by an annual report that summarizes the entire year's accomplishments. Within 30 calendar days of the end of the annual reporting period. The last annual report of the project shall be replaced by the final program report that summarizes the entire project's accomplishments. Four weeks before the contract completion date 180 calendar days before contract completion date
l. Annual Report
In summary, the Contractor shall be responsible for producing the following reports (see section H.12 for submission requirements to development experience clearinghouse): a. Annual Work plans. The work plan is a key document for contract performance that will detail the work to be accomplished during the upcoming year. The scope and format of the annual work plan will be agreed to between the COR and the Contractor. During contract performance, the work plan will be updated, as required, subject to COR approval. Contracting Officers approval of work plan updates will be required if the proposed changes impact on the use of available contract funds. It is anticipated that USAID Mission staff will review the work plan updates in order to provide comments thereon and to recommend changes, if any. Such comments and changes, however, if accepted by the contractor, will not constitute a change from the terms of the contract. Work plans must describe the activities and interventions required to meet the contract results, including: 1. Proposed activities for the given year; 2. Corresponding time frame for implementation of annual activities; 3. Detailed budget for implementation;
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4.
Information
on
how
activities
will
be
implemented
in
a
collaborative
and
coordinated
manner
with
implementing
partners
and
other
entities,
if
any.
5.
Review
of
previous
years
accomplishments,
problems,
and
progress
towards
achieving
contract
results;
and
6.
Proposed
annual
accomplishments
and
progress
towards
achieving
results.
7.
A
Gantt
chart
As
part
of
its
initial
work
plan,
and
all
annual
work
plans
thereafter,
the
contractor
in
collaboration
with
the
COR
and
the
Mission
Environmental
Officer
or
Bureau
Environmental
Officer,
as
appropriate,
will
review
all
planned
and
ongoing
activities
under
this
contract
to
determine
if
they
are
within
the
scope
of
the
approved
Regulation
216
environmental
documentation.
If
the
contractor
plans
any
new
activities
outside
the
scope
of
the
approved
Regulation
216
environmental
documentation,
it
shall
prepare
an
amendment
to
the
documentation
for
USAID
review
and
approval.
No
such
new
activities
will
be
undertaken
prior
to
receiving
written
USAID
approval
of
environmental
documentation
amendments.
b.
Performance
Management
Plan
(See
Section
C.7).
The
Contractors
performance
will
be
monitored
and
evaluated
based
on
the
completion
of
specific
tasks
as
outlined
in
the
contract,
adherence
to
the
work
plan,
and
reports
submitted
to
the
COR.
The
PMP
will
be
the
principal
reference
in
monitoring
and
evaluating
the
Contractors
performance
and
in
assessing
the
achievement
of
objectives,
results
and
deliverables.
At
the
minimum,
the
PMP
must
have
the
following:
1.
A
description
of
the
Contractors
established
management
system
within
which
the
project
PMP
will
operate
the
management
system
refers
to:
o Organization-wide
policies
and
procedures
for
monitoring
and
their
relation
to
the
particular
PMP.
o Organizational
staffing/expertise,
roles,
and
responsibilities
and
how
these
are
to
be
used
in
the
particular
PMP,
including
the
role
of
subcontractors.
o Automated
and
other
methods
used
to
gather,
store,
process,
summarize,
analyze,
and/or
report
performance
data.
o Procedures
for
regular
communication
with
USAID
regarding
the
status
of
monitoring
activities,
including
early
notification
of
problems.
o Means
of
addressing
a
discovered
lack
of
progress
or
success.
Procedures
should
focus
on
learning
from
mistakes,
analyzing
them,
and
ascertaining
the
reasons
for
missteps.
2.
Information
about
all
activities
to
be
monitored
under
the
PMP;
the
listing
of
activities
should
be
provided
in
a
logical
framework
which:
o Links
activities
to
contract
resultsboth
those
dictated
by
USAID
in
the
contract
and
lower
level
or
complementary
results
contained
in
the
Contractors
technical
approach.
o Describes
assumptions
being
made
about
the
relationship
of
the
activity
to
the
contract
result.
o Identifies
the
indicators
against
which
progress
is
to
be
measured
(indicators
identified
in
Section
C
must
be
included
in
PMP).
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o o
Sets the baseline data, and the quarterly/annual target for every indicator. Describes the methods/tools/techniques to be used for monitoring. Methods for monitoring vary according to what it is being monitored. Some activities can be observed easily and costs and outputs can be measured against the original targets and timetable. Other activities are less easy to monitor in terms of quantitative achievements, especially such intangible effects as awareness and empowerment and their direct links to program interventions. Indirect or proxy indicators may have to be identified, even if these cannot be verified. By considering these factors at the planning stage, expected results can be kept realistic and cost-effective and the Contractor can recognize that not all available and useful indicators are objectively verifiable. Provides an illustrative schedule for discrete monitoring activities tied to the overall project work plan.
3. Gender Consideration. To the greatest extent possible, the Contractor will include both men and women in all aspects of this program including participation and leadership in e.g., meetings, training, etc. The contractor will collect, analyze and submit to USAID sex-disaggregated data and proposed actions that will address any identified gender related issues. To ensure that USAID assistance makes the maximum optimal contribution to gender equality, performance management systems and evaluations must include gender sensitive indicators and sex-disaggregated data when the technical analyses supporting the Contract demonstrates that: o The different roles and status of women and men affect the activities to be undertaken; and o The anticipated results of the work would affect women and men differently. Where projects or activities are implemented in particular locations the PMP must include a discussion on ways to map and track the type of intervention by project component and fund use. As possible and appropriate, this could be done by county. The Contractor is encouraged to collaborate with relevant stakeholders in monitoring efforts to assure that monitoring and evaluation systems are as cost-effective as possible. c. Final Branding Implementation Plan and Marking Plan: See sections D.2, L.10 and J.3 for further instructions. d. Grants under Contract Manual: The Grants Manual will be the Contractors guide to implementing the Agile and Harmonized Assistance for Devolved Institutions project grant facility. It must cover all aspects of grant making, from solicitation, screening of applications, vetting of qualified grant recipients, monitoring program and financial progress, and closing out grants. e. County Preparedness Study: As described in Task #1.1, the Contractor will conduct and deliver an in-depth study that will act as a baseline for County preparedness, a way to gather baseline indicator data, a guide for targeting the project, and a resource for County decision-making. If this activity is carried through other means prior to the award of AHADI, the contractor will only be required to deliver Baseline Indicator Data. f. Subsequent Studies: As described in Task #1.1, the Contractor will conduct and deliver 1-5 studies per calendar year to guide the project and provide resources for informed County decision-making. Studies will be identified in concert with the COR and other relevant USAID stakeholders. g. County MOUs and/or Capacity Strengthening Plans: As further described in Task #1.1, based on the County Preparedness Study, as well as on stakeholder discussions (especially County government officials, other partners working in the County and civil society), the Contractor will agree to MOUs and/or Capacity Strengthening Plans with the concurrence of key County leaders (most likely the Governor, but potentially the County Assembly, civil society and/or o
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other key decision-makers). These MOUs/plans should give an outline of the interventions expected in the County by the contractor and the results expected to be achieved. They shall be updated yearly as necessary. h. Consultants Reports. Within ten (10) days after completion of the services of all short-term consultants, the contractor will submit to the COR a report summarizing the activities, accomplishments, and recommendations of the consultant. i. Strategy Review Reports: As described in section C.3.2, the project will periodically undergo Strategy Review Sessions. The Contractor will be responsible for drafting summaries of the minutes of these minutes, high-lightening any conclusions and agreed-up on strategy changes for the program. j. Monthly Progress Reports are brief (1-5 page) summaries of activities and results that took place within the quarter. Alterations from planned activities shall be noted and explained k. Quarterly Progress Reports: The specific form and content will be agreed upon at the work planning stage, but will at least include the following: An Executive Summary. A summary and assessment of project activities and accomplishments during the quarter. A summary of problems, issues, and means of addressing/correcting them. For each corrective action proposed, the Contractor shall designate responsible parties and establish a timeframe for completion of the action. A detailed work plan for the following quarter A comparison to planned vs. actual activities based on the work plan from the previous quarter (with explanations for any changes) Success stories Updated indicator data from the PMP Financial and Geographic information as further detailed below
Financial
Reports.
The
contractor
shall
prepare
and
submit
to
the
COR
every
quarter
a
financial
report
consisting
of
a
pipeline
analysis
that
includes
the
following:
1.
Current
contract
budget;
2.
Actual
costs
incurred
to-date;
3.
Projected
expenditures
through
the
end
of
the
current
quarter
and
the
expiration
date
of
the
Contract;
4.
Remaining
funds
under
the
contract;
5.
Level
of
Effort
expenditures
to-date
per
staff
member;
6.
Accruals
report
total
amount
obligated,
total
amount
invoiced
for,
total
amount
expended
but
not
yet
invoices
for,
and
remaining
unexpended
funds.
Reports
which
indicate
that
expenditures
are
less
or
more
than
anticipated
will
be
supported
with
a
rationale
detailing
the
probable
cause(s).
Reports
which
indicate
that
expenditures
are
more
than
anticipated
must
also
include
a
plan
for
ensuring
that
the
performance
of
the
result
will
be
met
within
the
estimated
grant
budget
for
that
result.
This
section
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does not obviate requirements elsewhere in the Contract for notifying USAID regarding obligation balances and potential Contract overruns. Geographical Information Systems Reporting Contractor will be expected to provide GIS data for all locations in which the project is implemented. All spatial and geographic information system activities financed by USG federal funds must comply with: OMB Circular A-16, Executive Order 12906; Automated Directives System (ADS) 507 (Freedom of Information Act); ADS 551 (Data Administration); and 4) ADS 557 (Public Information). Therefore, Contractors are expected to: document digital spatial data according to ISO 19115 Geospatial Metadata Standards deliver to USAID digital copies of spatial data with accompanying metadata at regular intervals to be decided by the COR; and/or make spatial data available to the public and inform USAID of how this requirement will be met (e.g., via website address, CD distributions, etc.)
This
report
will
serve
as
a
tool
by
which
USAID/Kenya
monitors
the
performance
of
the
Contractor.
Final
details
on
the
format
of
this
report
shall
be
developed
in
consultation
with
USAID
upon
award
of
the
contract.
l.
Annual
Reports.
The
final
Quarterly
Progress
Report
for
the
year,
which
is
due
on
October
31
of
each
year,
shall
constitute
the
Annual
Progress
Report.
In
addition
to
the
requirements
specified
above
for
Quarterly
Progress
Reports,
it
must
include
a
comprehensive
narrative
report
summarizing
the
previous
years
activities
and
accomplishments
against
the
respective
annual
work
plan
indicators.
Other
information,
includes:
Summary
of
both
successes
and
failures
of
project
interventions,
with
reasons
for
shortcomings
and
recommendations
for
actions
to
overcome
them.
Annual
financial
status
reports.
Project
bibliography
listing
reports
prepared
under
the
task
order
List
of
all
technical
assistance
activities
(including
those
managed
under
TOPs),
including
name(s)
of
the
specialist(s),
purpose
and
duration
of
the
activity,
outputs,
achievements,
problems
encountered
(if
any),
and
how
these
problems
were
resolved.
List
of
in-country
courses
and
seminars
organized
and
the
number
of
participants,
disaggregated
by
gender.
List
of
equipment
and
materials
purchased,
including
items
purchased,
destination
of
equipment,
and
amount
expended.
This
report
will
serve
as
a
tool
by
which
USAID/Kenya
monitors
the
performance
of
the
Contractor.
Final
details
on
the
format
of
this
report
shall
be
developed
in
consultation
with
USAID
upon
award
of
the
contract.
m.
Final
Report.
The
Contractor
shall
submit
a
detailed
final
report
that
must
include,
at
a
minimum,
the
following
elements:
(1) Comprehensive
financial
report
showing,
by
line
item,
the
amounts
expended.
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(2) Summary of all project inputs, outputs, accomplishments and impacts. (3) Discussion of problems and challenges encountered, including discussion about why (if relevant) certain objectives were not achieved. (4) Lessons learned. (5) Success stories. Inventory of all reports, presentations, and other key documents and deliverables produced under the Contract. The Contractor shall compile and deliver all such reports and deliverables, to the COR, concurrently with the Final Report, in a user-friendly, properly indexed, searchable electronic form (e.g., CD-ROM or equivalent media). n. Close-out Plan - The contractor will develop and submit to the COR & CO for approval a closeout plan (administration, information, finance, procurement and management) that will include, but will not be limited to, the following: 1. Dates for final delivery of all goods and services for subcontracts; 2. A property disposition plan for the contractor and subcontractor(s) in accordance with contract requirements, which must be approved by the contracting officer; 3. Review of contract files for audit purposes and final billing to USAID; 4. A schedule to address office leases, bank accounts, utilities, cell phones, personnel notification, outstanding travel and social payments, household shipments, vehicle; phone subscriptions, etc.; 5. Receipt of all final invoices and contract performance reports; 6. Report on the estimated amount of funds not required for the completion of the contract; 7. Report on compliance with all local labor laws, tax clearances, and other appropriate compliance matters. The format and outline of contents of this closeout plan shall be proposed by the Contractor no later than 180 calendar days prior to the Contract completion date, and approved by the COR no later than 150 calendar days prior to the Contract completion date. F.8 REPORTING FORMAT
a.
The
cover
page
of
all
reports
required
hereunder
shall
include
the
USAID
identity
(U.S.
Agency
for
International
Development/Kenya)
prominently
displayed,
the
contract
number,
contractor
name,
name
of
the
USAID
project
office
(Program
Office),
the
publication
or
issuance
date
of
the
document,
document
title,
author
name(s),
project
number,
and
project
title.
Descriptive
information
is
required
whether
contractor-furnished
products
are
submitted
in
paper
or
electronic
form.
All
materials
shall
include
the
name,
organization,
address,
and
telephone/fax/internet
number
of
the
person
submitting
the
materials.
The
Contractor
shall
prepare
these
documents
in
English
using
Microsoft
Word,
Microsoft
Excel,
and/or
Microsoft
PowerPoint.
The
Contractor
shall
present
documents
or
other
deliverables
that
do
not
readily
conform
to
the
forgoing
format
in
a
format
to
be
agreed
to
by
the
COR.
The
Contractor
shall
submit
all
written
documents
electronically
to
the
COR.
b.
Hard
copy
reports
shall
be
prepared
on
non-glossy
paper
(preferable
recycled
and
white
or
off-white)
using
black
prints.
Elaborate
art
work,
multi-color
printing,
and
expensive
binding
are
not
to
be
used.
Whenever
possible,
pages
shall
be
printed
on
both
sides.
c.
Electronic
formats
shall
be
submitted
with
the
following
descriptive
information:
(i)
Operating
system
format,
e.g.
Windows
or
Macintosh
compatible;
(ii)
Name
of
application
software
used
to
create
the
files
on
the
diskette;
e.g.,
Word
Version
2010;
(iii)The
format
for
any
graphic
and/or
image
files
included,
e.g.,
TIFF-compatible;
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(iv) Any other necessary information, e.g.; special backup or data compression routines/software used for storing/retrieving submitted data; and (v) All PDF files that are submitted must be unlocked. F.9 LANGUAGE OF REPORTS AND OTHER OUTPUTS
All reports and other outputs shall be in the English language, unless otherwise specified by the COR. See also AIDAR 752.211-70, Language and Measurement (June 1992), which is incorporated by reference into this contract. F.10 EVALUATIONS
Separately, and in addition to the Contractors ongoing responsibility for monitoring and evaluation, USAID may conduct an external midterm evaluation of the project, depending on the CORs determination of need. In addition, USAID will conduct a final, external, independent evaluation of the project within the final quarter of the final contract performance year. The focus of the evaluation will be to assess the achievements of the project versus the stated objectives and goals, to identify which elements of the project had the most significant impact and which did not, and which aspects of project design need to be considered for continuation under future possible projects. These evaluations will be contracted separately from AHADI, and will not be the responsibility of the Contractor. However, the Contractor shall be prepared to cooperate with the evaluators and provide project information as requested. F.11 QUARTERLY AND ANNUAL PERFORMANCE REPORTING Contractor shall use the attached template in J.9 for USAID Kenya AHADI Quarterly Progress and Annual Performance Reporting. Reporting shall include tracking of budget, expenditures, and indicators at the county level on a quarterly basis. END OF SECTION F
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The Administrative Contracting Office is the USAID/East Africa, Regional Acquisition & Assistance Office, which can be contacted at the following addresses: United States Mailing Address Nairobi, Kenya address USAID/East Africa USAID/East Africa Regional Acquisition & Assistance Office Regional Acquisition & Assistance Office 8900 Nairobi Place U.S. Embassy Compound Washington DC, 20521-8900 United Nations Avenue, Gigiri P.O. Box 629, 00621 Village Market Nairobi, Kenya G.2 CONTRACTING OFFICER AND TECHNICAL DIRECTION AND DESIGNATION OF RESPONSIBLE USAID OFFICIALS
The Contracting Officer is the only person authorized to make or approve any changes in the requirements of this contract and notwithstanding any provisions contained elsewhere in this Contract, the said authority remains solely in the Contracting Officer. In the event the Contractor makes any changes at the direction of any person other than the Contracting Officer, the change shall be considered to have been made without authority and no adjustment shall be made in the contract terms and conditions, including price. Charles Signer, Administrative Contracting Officer Regional Acquisition and Assistance Office USAID/East Africa 8900 Nairobi Place Washington D.C, 20521-8900 The Contracting Officers Representative (COR) will be designated by way of a separate letter. G.3 CONTRACTING OFFICERS REPRESENTATIVE
The Contracting Officers Representative (COR) will be appointed by the Contracting Officer through a separate COR designation letter, a copy of which will be provided to the contractor. The COR will provide the technical direction under this contract. S/he will be located in the Democracy Rights and Governance Office at the following address: USAID/Kenya 8900 Nairobi Place Washington D.C. 20521-8900 G.4 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID
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Written directions to the contractor which fill in details, suggest possible lines of inquiry, or otherwise facilitate completion of work; Provision of written information to the contractor which assists in the interpretation of drawings, specifications, or technical portions of the work statement; Review and, where required, provide written approval of technical reports, drawings, specifications, or technical information to be delivered. Technical directions must be in writing, and must be within the scope of the work as detailed in Section C.
The
COR
is
authorized
by
designation
to
take
any
or
all
action
with
respect
to
the
following
which
could
lawfully
be
taken
by
the
contracting
officer,
except
any
action
specifically
prohibited
by
the
terms
of
this
contract:
(1) Assure
that
the
contractor
performs
the
technical
requirements
of
the
contract
in
accordance
with
the
contract
terms,
conditions,
and
specifications.
(2) Perform
or
cause
to
be
performed,
inspections
necessary
in
connection
with
a)
above
and
require
the
Contractor
to
correct
all
deficiencies;
perform
acceptance
for
the
Government.
(3) Maintain
all
liaison
and
direct
communications
with
the
contractor.
Written
communications
with
the
Contractor
and
documents
shall
be
signed
as
"COR"
with
a
copy
furnished
to
the
contracting
officer.
(4) Issue
written
interpretations
of
technical
requirements
of
Government
drawings,
designs,
and
specifications.
(5) Monitor
the
contractor's
production
or
performance
progress
and
notify
the
contractor
in
writing
of
deficiencies
observed
during
surveillance,
and
direct
appropriate
action
to
effect
correction.
Record
and
report
to
the
contracting
officer
incidents
of
faulty
or
nonconforming
work,
delays
or
problems.
(6) Obtain
necessary
security
clearance
and
appropriate
identification
if
access
to
government
facilities
is
required.
If
to
be
provided,
ensure
that
government
furnished
property
is
available
when
required.
Limitations:
The
COR
is
not
empowered
to
award,
agree
to,
or
sign
any
contract
(including
delivery
or
purchase
orders)
or
modifications
thereto,
or
in
any
way
to
obligate
the
payment
of
money
by
the
Government.
The
COR
may
not
take
any
action
which
may
impact
on
the
contract
schedule,
funds,
scope
or
rate
of
utilization
of
the
level
of
effort
(LOE).
All
contractual
agreements,
commitments,
or
modifications
which
involve
prices,
quantities,
quality,
and
schedules
shall
be
made
only
by
the
contracting
officer.
(1) The
COR
is
required
to
meet
annually
with
the
contractor
and
the
contracting
officer
concerning
performance
of
items
delivered
under
this
contract
and
any
other
administration
or
technical
issues.
Telephonic
reports
may
be
made
if
no
problems
are
being
experienced.
Problem
areas
should
be
brought
to
the
immediate
attention
of
the
contracting
officer.
(2) In
the
absence
of
the
designated
COR,
the
contracting
officer
may
designate
someone
to
serve
as
COR
in
their
place.
However,
such
action
to
direct
an
individual
to
act
in
the
COR's
stead
shall
immediately
be
communicated
to
the
contractor.
(3) Contractual
problems,
of
any
nature,
that
may
arise
during
the
life
of
the
contract
must
be
handled
in
conformance
with
specific
public
laws
and
regulations
(i.e.,
Federal
Acquisition
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Regulation and Agency for International Development Acquisition Regulation). The contractor and the COR shall bring all contracting problems to the immediate attention of the contracting officer. Only the contracting officer is authorized to formally resolve such problems. The contracting officer will be responsible for resolving legal issues, determining contract scope and interpreting contract terms and conditions. The contracting officer is the sole authority authorized to approve changes in any of the requirements under this contract. Notwithstanding any clause contained elsewhere in this contract, the said authority remains solely with the contracting officer. These changes include, but will not be limited to the following areas: scope of work, price, quantity, technical specifications, delivery schedules, and contract terms and conditions. In the event the contractor effects any changes at the direction of any other person other than the contracting officer, the change will be considered to have been made without authority. (4) Failure by the contractor to notify the administrative contracting officer any action by the government considered to a change in writing promptly, within 7 calendar days from the date that the contractor identifies any government conduct (including actions, inactions, and written or oral communications) that the contractor regards as a change to the contract terms and conditions, shall waive the contractors right to any claims for equitable adjustments as found in FAR 52.243-7, Notification of Changes, which is a clause of this contract. G.5 ACCEPTANCE AND APPROVAL
In order to receive payment, all deliverables must be accepted and approved by the COR. G.6 PAYING OFFICE
The paying office for this contract is: The Controller USAID/East Africa Regional Financial Management Services P.O. Box 629, 0621 Village Market Nairobi, Kenya E-mail: nairobirfmcpayments@usaid.gov Electronic submission of invoices complete with banking and payment information is required. G.7 CONTRACTOR PAYMENT ADDRESS
The contractor should include the payment address in the proposal, if it is different from that shown for the Offeror. G.8 AIDAR 752.7003 DOCUMENTATION FOR PAYMENT (NOV 1998)
(a)
Claims
for
reimbursement
or
payment
under
this
contract
must
be
submitted
to
the
Paying
Office
indicated
in
the
schedule
of
this
contract.
The
COR
is
the
authorized
representative
of
the
Government
to
approve
vouchers
under
this
contract.
The
Contractor
must
submit
either
paper
or
fax
versions
of
the
SF-1034
Public
Voucher
for
Purchases
and
Services
Other
Than
Personal.
Each
voucher
shall
be
identified
by
the
appropriate
USAID
contract
number,
in
the
amount
of
dollar
expenditures
made
during
the
period
covered.
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(1) The
SF
1034
provides
space
to
report
by
line
item
for
products
or
services
provided.
The
form
provides
for
the
information
to
be
reported
with
the
following
elements:
TOTAL
EXPENDITURES
(DOCUMENT
NUMBER:XXX-XXX-X-XX-XXXX)
Line
Description
Amt.
Vouchered
Amt.
Vouchered
Item
To
date
This
Period
00001
Product/Service
Desc.
for
Line
$XXXX.XX
$XXXX.XX
Item
0001
Product/Service
Desc.
For
$XXXX.XX
$XXXX.XX
00002
Line
Item
0002
Total
$XXXX.XX
$XXXX.XX
(2)
The
fiscal
report
shall
include
a
certification,
signed
by
an
authorized
representative
of
the
Contractor,
as
follows:
The
undersigned
hereby
certifies
to
the
best
of
my
knowledge
and
belief
that
the
fiscal
report
and
any
attachments
have
been
prepared
from
the
books
and
records
of
the
Contractor
in
accordance
with
the
terms
of
this
contract
and
are
correct:
the
sum
claimed
under
this
contract
is
proper
and
due,
and
all
the
costs
of
contract
performance
(except
as
herewith
reported
in
writing)
have
been
paid,
or
to
the
extent
allowed
under
the
applicable
payment
clause,
will
be
paid
currently
by
the
Contractor
when
due
in
the
ordinary
course
of
business;
the
work
reflected
by
these
costs
has
been
performed,
and
the
quantities
and
amounts
involved
are
consistent
with
the
requirements
of
this
Contract;
all
required
Contracting
Officer
approvals
have
been
obtained;
and
appropriate
refund
to
USAID
will
be
made
promptly
upon
request
in
the
event
of
disallowance
of
costs
not
reimbursable
under
the
terms
of
this
contract.
BY:
__________________________________
TITLE:
________________________________
DATE:
________________________________
(b)
Local
currency
payment.
The
Contractor
is
fully
responsible
for
the
proper
expenditure
and
control
of
local
currency,
if
any,
provided
under
this
contract.
Local
currency
will
be
provided
to
the
Contractor
in
accordance
with
written
instruction
provided
by
the
Mission
Director.
The
written
instructions
will
also
include
accounting,
vouchering,
and
reporting
procedures.
A
copy
of
the
instructions
shall
be
provided
to
the
Contractors
Chief
of
Party
and
to
the
Contracting
Officer.
The
costs
of
bonding
personnel
responsible
for
local
currency
are
reimbursable
under
this
contract.
(c)
Upon
compliance
by
the
Contractor
with
all
the
provisions
of
this
contract,
acceptance
by
the
Government
of
the
work
and
final
report,
and
a
satisfactory
accounting
by
the
Contractor
of
all
Government-owned
property
for
which
the
Contractor
had
custodial
responsibility,
the
Government
shall
promptly
pay
to
the
Contractor
any
moneys
(dollars
or
local
currency)
due
under
the
completion
voucher.
The
Government
will
make
suitable
reduction
for
any
disallowance
or
indebtedness
by
the
Contractor
by
applying
the
proceeds
of
the
voucher
first
to
such
deductions
and
next
to
any
un-liquidated
balance
of
advance
remaining
under
this
contract.
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(d) The Contractor agrees that all approvals of the Mission Director and the Contracting Officer which are required by the provisions of this contract shall be preserved and made available as part of the Contractors records which are required to be presented and made available by the clause of this contract entitled Audit and Records Negotiation. G.9 ACCOUNTING AND APPROPRIATION DATA
(To be completed at time of award.) Budget Fiscal Year: Operating Unit: Program Area: Team/Division: Benefiting Geo Area: Object Class (EOCC): Amount Obligated: G.10 TBD END OF SECTION G CONTRACTORS PRIMARY POINT OF CONTACT
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SECTION H SPECIAL CONTRACT REQUIREMENTS H.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE
The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this contract. See FAR 52.252-2 for an internet address (if specified) for electronic access to the full text of a clause. NUMBER TITLE DATE FAR (48 CFR Chapter 1) AIDAR (48 CFR Chapter 7) 752.7027 PERSONNEL DEC 1990 H.2 AIDAR 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS (FEB 2012)(CLASS DEVIATION NO. OAA- DEV-12-01C)
(a)
Except
as
may
be
specifically
approved
by
the
Contracting
Officer,
the
Contractor
must
procure
all
commodities
(e.g.,
equipment,
materials,
vehicles,
supplies)
and
services
(including
commodity
transportation
services)
in
accordance
with
the
requirements
at
22
CFR
Part
228
Rules
on
Procurement
of
Commodities
and
Services
Financed
by
USAID
Federal
Program
Funds.
The
authorized
source
for
procurement
is
Geographic
Code
937
unless
otherwise
specified
in
the
schedule
of
this
contract.
Guidance
on
eligibility
of
specific
goods
or
services
may
be
obtained
from
the
Contracting
Officer.
(b)
Ineligible
goods
and
services.
The
Contractor
must
not
procure
any
of
the
following
goods
or
services
under
this
contract:
(1)
Military
equipment
(2)
Surveillance
equipment
(3)
Commodities
and
services
for
support
of
police
and
other
law
enforcement
activities
(4)
Abortion
equipment
and
services
(5)
Luxury
goods
and
gambling
equipment,
or
(6)
Weather
modification
equipment.
(c)
Restricted
goods.
The
Contractor
must
obtain
prior
written
approval
of
the
Contracting
Officer
or
comply
with
required
procedures
under
an
applicable
waiver
as
provided
by
the
Contracting
Officer
when
procuring
any
of
the
following
goods
or
services:
(1)
Agricultural
commodities,
(2)
Motor
vehicles,
(3)
Pharmaceuticals
and
contraceptive
items
(4)
Pesticides,
(5)
Fertilizer,
(6)
Used
equipment,
or
(7)
U.S.
government-owned
excess
property.
If
USAID
determines
that
the
Contractor
has
procured
any
of
these
specific
restricted
goods
under
this
contract
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Solicitation # SOL-615-13-000012
without the prior written authorization of the Contracting Officer or fails to comply with required procedures under an applicable waiver as provided by the Contracting Officer, and has received payment for such purposes, the Contracting Officer may require the contractor to refund the entire amount of the purchase. H.3 GOVERNMENT OF KENYA LABOR MARKET POLICY
It is the Government of Kenya policy that the economy of Kenya should be manned by trained and competent citizens. Permits are issued to foreign nationals with skills not available at present on the Kenya Labor Market, only on the understanding that effective training programs are undertaken to produce trained citizens within a specified period. USAID projects are under the USG/ GOK Bilateral Agreement. Therefore, all proposed Key and long term personnel positions must be filled by either Kenyan or US citizens. Third country nationals (TCNs) are only engaged when the required skills are not available at present in Kenya and the US. If that is the case, a Kenyan understudy must be engaged to train and take up the position after a specified period. Regional programs that have offices in Kenya can employ third country nationals. This means that if a project serves Sudan but is based and operates from Kenya, then the project can employ Kenyans, US citizens and Sudanese only. If the project is co-funded by other countries/donors e.g. the UK, then the project can use the UK/GOK agreement to their advantage. Note however that all work permit applications going through USAID will strictly adhere to the GoK requirements as per the USG/GoK agreements. H.4 PERSONNEL REQUIREMENTS
The Contractor shall recruit, mobilize, manage, and monitor the performance of all personnel fielded under USAID Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project. The Contractor is responsible for providing office space, accommodation, and all logistical support for all institutionally contracted staff as well as consultants contracted for studies. This may include office space and accommodation in locations outside of Nairobi. The Contractor shall provide all necessary logistical support, including but not limited to - travel arrangements (with required USAID clearances), computer support4, team planning facilitation, and report editing and dissemination. The Contractor shall bear primary responsibility for procurement, personnel, reporting, and other management related requirements of the contract. The Chief of Party shall be an employee of the prime Contractor rather than the subcontractor. Prior to replacing Key Personnel, the Contractor shall notify the Contracting Officer and the COR in advance and must submit written justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on the project. The Contractor shall not make any replacements without the written consent of the Contracting Officer.
Computer support refers to the Contractor providing computers (laptops), software, printing ability, central processing (statistical analysis), etc., as needed for all core staff and for staff. The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 69 of 159
Solicitation # SOL-615-13-000012
H.5
(a) Direct compensation of the Contractors personnel will be in accordance with the Contractors established policies, procedures, and practices, and the cost principles applicable to this contract. (b) Reimbursement of the employees base annual salary plus overseas recruitment incentive, if any, which exceed the USAID Contractor Salary Threshold (USAID CST) stated in USAID Automated Directives System (ADS) Chapter 302 USAID Direct Contracting, must be approved in writing by the Contracting Officer, as prescribed in 731.205-6(b) or 731.371(b), as applicable. H.6 ADDITIONAL REQUIREMENTS FOR PERSONNEL COMPENSATION
(a)
Definitions
As
used
in
this
Contract,
the
terms
"salaries"
and
"wages"
mean
the
periodic
remuneration
received
for
professional
or
technical
personal
services
rendered.
Unless
the
contract
states
otherwise,
these
terms
do
not
include
any
other
elements
of
personal
compensation
described
in
the
cost
principle
in
FAR
31.205-6
"Compensation
for
Personal
Services,"
such
as
(but
not
limited
to)
the
differentials
or
allowances
defined
in
the
clause
of
this
contract
entitled
"Differentials
and
Allowances"
(AIDAR
752.7028).
The
term
"compensation"
is
defined
in
FAR
31.205-6(a)
and
includes
fees
and
honoraria
related
to
the
personal
services
provided
under
this
contract,
but
excludes
earnings
from
sources
other
than
the
individual's
professional
or
technical
work,
overhead,
or
other
charges.
(b)
Limitations:
(1)
Salaries
and
wages
may
not
exceed
the
Contractor's
established
policy
and
practice,
including
the
Contractor's
established
pay
scale
for
equivalent
classifications
of
employees,
which
shall
be
certified
to
by
the
Contractor.
No
any
individuals
salary
or
wage,
without
approval
of
the
Cognizant
Contracting
Officer,
may
exceed
the
employee's
current
salary
or
wage,
or
the
highest
rate
of
annual
salary
or
wage
received
during
any
full
year
of
the
immediately
preceding
three
(3)
years.
(2)
In
addition,
there
is
a
ceiling
on
the
reimbursable
base
salary
or
wage
paid
to
personnel
under
the
Contract
equivalent
to
the
USAID
Contractor
Salary
Threshold
(CST)
or
the
maximum
annual
salary
rate
described
in
AAPD
06-03"
as
amended
from
time
to
time,
unless
the
Contracting
Officer
approves
a
higher
amount
in
accordance
with
the
Agency
policy
and
procedures
in
ADS
302
"USAID
Direct
Contracting.
http://www.usaid.gov/business/business_opportunities/cib/pdf/aapd06_03.pdf
(3)
Employment
of
third
country
nationals
(TCNs)
and
cooperating
country
nationals
(CCNS).
For
this
contract,
labor
costs
for
TCNs
and
CCNs
above
the
Mission
Local
Compensation
Plan
(LCP)
threshold
requires
the
advance
written
approval
of
the
Contracting
Officer.
General:
It
is
USAID
policy
that
cooperating
country
nationals
(CCNS)
and
third
country
nationals
(TCNs),
who
are
hired
abroad
for
work
in
a
cooperating
country
under
USAID
direct
contracts,
generally
be
extended
the
same
benefits,
and
be
subject
to
the
same
restrictions
as
TCNs
and
CCNs
employed
as
direct
hires
by
the
USAID
Mission.
Exceptions
to
this
policy
may
be
granted
either
by
the
Mission
Director
or
the
Assistant
Administrator
having
program
responsibility
for
the
project.
(TCNs
and
CCNs
who
are
hired
to
work
in
the
United
States
shall
be
extended
benefits
and
subject
to
restrictions
on
the
same
basis
as
U.S.
citizens
who
work
in
the
United
States).
Compensation,
including
merit
or
promotion
increases
paid
to
TCNs
and
CCNs
may
not,
without
the
approval
of
the
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
70
of
159
Solicitation # SOL-615-13-000012
Mission
Director
or
the
Assistant
Administrator
having
program
responsibility
for
the
project,
exceed
the
prevailing
compensation
paid
to
personnel
performing
comparable
work
in
the
cooperating
country
as
determined
by
the
USAID
Mission.
Unless
otherwise
authorized
by
the
Mission
Director
or
the
Assistant
Administrator
having
program
responsibility
for
the
project,
the
compensation
of
such
TCN
and
CCN
employees
shall
be
paid
in
the
currency
of
the
cooperating
country.
(c)
Initial
Salaries
The
initial
starting
salaries
for
all
U.S.,
third
country
national
(TCN)
and
cooperating
country
national
(CCN)
employees
or
consultants
whose
salaries
will
be
charged
as
a
direct
cost
to
this
contract
must
be
approved
in
advance
and
in
writing
by
the
contracting
officer.
Any
initial
starting
salaries
included
in
the
final
proposal
revision
and
accepted
during
negotiations,
are
deemed
approved
upon
contract
execution.
(d)
Consultants
(1)
U.S.
Consultants.
No
compensation
for
consultants
will
be
reimbursed
unless
their
use
under
the
Contract
has
advance
written
approval
of
the
Contracting
Officer;
and
if
such
provision
has
been
made
or
approval
given,
compensation
shall
not
exceed:
(A)
the
highest
rate
of
annual
compensation
received
by
the
consultant
during
any
full
year
of
the
immediately
preceding
three
years
or
(B)
the
maximum
daily
salary
rate
as
described
in
AAPD
06-03,
whichever
is
less.
(2)
TCN
and
CCN
Consultants.
No
compensation
for
TCN
and
CCN
consultants
will
be
reimbursed
unless
their
use
under
the
contract
has
advance
written
approval
of
the
contracting
officer.
If
such
provision
has
been
made
or
approval
has
been
given,
compensation
shall
not
exceed
the
maximum
rate
of
the
highest
senior
FSN
position
authorized
under
the
Mission
Local
Compensation
Plan.
Requests
for
waiver
to
this
compensation
guidance
must
be
fully
justified
and
requires
the
advanced
written
approval
of
the
contracting
officer.
(e)Salaries
During
Travel:
Salaries
and
wages
paid
while
in
travel
status
will
not
be
reimbursed
for
a
travel
period
greater
than
the
time
required
for
travel
by
the
most
direct
and
expeditious
air
route.
(f)
Annual
Salary
Increases
U.S.
Staff:
One
annual
salary
increase
of
not
more
than
5
percent
(includes
promotional
increase)
may
be
granted
after
the
employees
completion
of
each
twelve
months
of
satisfactory
services
under
the
contract.
Annual
salary
increases
of
any
kind
exceeding
these
limitations,
or
exceeding
USAID
maximum
SES
established
rate
(AWCPAS),
or
the
USAID
CST,
require
the
advance
written
approval
of
the
contracting
officer.
Contractor
Employees:
For
contractor
employees,
annual
increases
in
accordance
with
the
contractors
established
policies,
procedures,
and
practices
are
allowable.
TCN
and
CCN
Staff:
One
annual
salary
increase
of
not
more
than
5%
(includes
promotional
increase)
may
be
granted
after
the
employees
completion
of
each
twelve
months
of
satisfactory
services
under
the
contract.
Annual
salary
increases
of
any
kind
exceeding
these
limitations,
or
exceeding
the
maximum
salary
of
the
highest
senior
foreign
service
national
(FSN)
position
authorized
under
the
U.S.
Embassy
Compensation
Plan
require
the
advance
written
approval
of
the
contracting
officer.
The
salary
threshold
limits
extends
to
sub-contractors.
(g)
Return
of
Overseas
Employees
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
71
of
159
Solicitation # SOL-615-13-000012
Salaries and wages paid to an employee serving overseas who is discharged by the Contractor for misconduct, inexcusable non- performance, or security reasons will, in no event, be reimbursed for a period which extends beyond the time required to return him promptly to his point of origin by the most direct and expeditious air route. H.7 752.231-71 SALARY SUPPLEMENTS FOR HG EMPLOYEES (OCT 1998)
(a) Salary supplements are payments made that augment an employees base salary or premiums, overtime, extra payments, incentive payment and allowances for which the Host Government employee would qualify under Host Government rules or practice for the performance of his/her regular duties or work performed during his/her regular office hours. Per diem, invitational travel, honoraria and payment for work carried out outside of normal working hours are not considered to be salary supplements. (b) Salary supplements to HG Employees are not allowable without the written approval of the contracting officer. (c) This clause should be inserted in all subcontracts/sub-awards issued under this contract. H.8 PERSONAL IDENTITY VERIFICATION OF CONTRACTOR PERSONNEL (JULY 2007)
(a) Before a contractor (or a contractor employee) may obtain a USAID ID (new or replacement) authorizing him/her routine access to USAID facilities, or logical access to USAIDs information systems, the individual must provide two forms of identity source documents in original form and a passport size photo. One identity source document must be a valid Federal or state government issued picture ID. (Overseas foreign nationals must comply with the requirements of the Regional Security Office.) USAID/Washington contractors must contact the USAID Security Office to obtain the list of acceptable forms of documentation, and contractors working in overseas Missions must obtain the acceptable documentation list from the Regional Security Officer. Submission of these documents, and related background checks, are mandatory in order for the contractor to receive a building access ID, and before access will be granted to any of USAIDs information systems. All contractors must physically present these two source documents for identity proofing at their USAID/Washington or Mission Security Briefing. The contractor or his/her Facilities Security Officer must return any issued building access ID and remote authentication token to USAID custody upon termination of the individuals employment with the contractor or completion of the contract, whichever occurs first. (b) The contractor must comply with all applicable HSPD-12 and PIV procedures, as described above, and any subsequent USAID or government-wide HSPD-12 and PIV procedures/policies, including any subsequent related USAID General Notices, Office of Security Directives and/or Automated Directives System (ADS) policy directives and required procedures. This includes HSPD-12 procedures established in USAID/Washington and those procedures established by the overseas Regional Security Office. (c) The contractor is required to include this provision in any subcontracts that require the subcontractor or subcontractor employee to have routine physical access to USAID space or logical access to USAIDs information system. H.9 HOMELAND SECURITY PRESIDENTIAL DIRECTIVE -12
Homeland
Security
Presidential
Directive-12
(HSPD-12)
(September
2006)
In
response
to
the
general
threat
of
unauthorized
access
to
federal
facilities
and
information
systems,
the
President
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
72
of
159
Solicitation # SOL-615-13-000012
issued
Homeland
Security
Presidential
Directive-12.
HSPD-12
requires
all
Federal
agencies
to
use
a
common
Personal
Identity
Verification
(PIV)
standard
when
identifying
and
issuing
access
rights
to
users
of
Federally- controlled
facilities
and/or
Federal
Information
Systems.
USAID
will
begin
issuing
HSPD-12
smart
card
IDs
to
applicable
contracts,
using
a
phased
approach.
Effective
October
27,
2006,
USAID
will
begin
issuing
new
smart
card
IDs
to
new
Contractors
(and
new
Contractor
employees)
requiring
routine
access
to
USAID
controlled
facilities
and/or
access
to
USAIDs
information
systems.
USAID
will
begin
issuance
of
the
new
smart
card
IDs
to
existing
Contractors
(and
existing
Contractor
employees)
on
October
27,
2007.
(Exceptions
would
include
those
situations
where
an
existing
Contractor
(or
Contractor
employee)
loses
or
damages
his/her
existing
ID
and
would
need
a
replacement
ID
prior
to
Oct
27,
2007.
In
those
situations,
the
existing
Contractor
(or
Contractor
employee)
would
need
to
follow
the
PIV
processes
described
below,
and
be
issued
one
of
the
new
smart
cards.)
Accordingly,
before
a
Contractor
(including
a
Personal
Services
Contractor
or
a
Contractor
employee)
may
obtain
a
USAID
ID
(new
or
replacement)
authorizing
him/her
routine
access
to
USAID
facilities,
or
logical
access
to
USAIDs
information
systems,
the
individual
must
provide
two
forms
of
identity
source
documents
in
original
form
and
a
passport
size
photo.
One
identity
source
document
must
be
a
valid
Federal
or
state
government-issued
picture
ID.
(Overseas
foreign
nationals
must
comply
with
the
requirements
of
the
Regional
Security
Office.)
USAID/W
Contractors
must
contact
the
USAID
Security
Office
to
obtain
the
list
of
acceptable
forms
of
documentation,
and
Contractors
working
in
overseas
Missions
must
obtain
the
acceptable
documentation
list
from
the
Regional
Security
Officer.
Submission
of
these
documents,
and
related
background
checks,
are
mandatory
in
order
for
the
Contractor
to
receive
a
building
access
ID,
and
before
access
will
be
granted
to
any
of
USAIDs
information
systems.
All
Contractors
must
physically
present
these
two
source
documents
for
identity
proofing
at
their
USAID/W
or
Mission
Security
Briefing.
The
Contractor
or
his/her
Facilities
Security
Officer
must
return
any
issued
building
access
ID
and
remote
authentication
token
to
USAID
custody
upon
termination
of
the
individuals
employment
with
the
Contractor
or
completion
of
the
contract,
whichever
occurs
first.
The
Contractor
must
comply
with
all
applicable
HSPD-12
and
PIV
procedures,
as
described
above,
and
any
subsequent
USAID
or
government-wide
HSPD-12
and
PIV
procedures/policies,
including
any
subsequent
related
USAID
General
Notices,
Office
of
Security
Directives
and/or
Automated
Directives
System
(ADS)
policy
directives
and
required
procedures.
This
includes
HSPD-12
procedures
established
in
USAID/Washington
and
those
procedures
established
by
the
overseas
Regional
Security
Office.
This
includes
HSPD-12
procedures
established
in
USAID/Washington
as
well
as
those
procedures
established
by
the
overseas
Regional
Security
Office.
In
the
event
of
inconsistencies
between
this
clause
and
later
issued
Agency
or
government-wide
HSPD-12
guidance,
the
most
recent
issued
guidance
should
take
precedence,
unless
otherwise
instructed
by
the
Contracting
Officer.
The
Contractor
is
required
to
include
this
clause
in
any
subcontracts
that
require
the
subcontractor
or
subcontractor
employee
to
have
routine
physical
access
to
USAID
space
or
logical
access
to
USAIDs
information
systems.
H.10
AIDAR
722.170
EMPLOYMENT
OF
THIRD
COUNTRY
NATIONALS
(TCNS)
AND
COOPERATING
COUNTRY
NATIONALS
(CCNS)
(a)
General.
It
is
USAID
policy
that
cooperating
country
nationals
(CCNS)
and
third
country
nationals
(TCNs),
who
are
hired
abroad
for
work
in
a
cooperating
country
under
USAID-direct
contracts,
generally
be
extended
the
same
benefits,
and
be
subject
to
the
same
restrictions
as
TCNs
and
CCNs
employed
as
direct
hires
by
the
USAID
Mission.
Exceptions
to
this
policy
may
be
granted
either
by
the
Mission
Director
or
the
Assistant
Administrator
having
program
responsibility
for
the
project.
(TCNs
and
CCNs
who
are
hired
to
work
in
the
United
States
shall
be
extended
benefits
and
subject
to
restrictions
on
the
same
basis
as
U.S.
citizens
who
work
in
the
United
States.)
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
73
of
159
Solicitation # SOL-615-13-000012
(b) Compensation. Compensation, including merit or promotion increases paid to TCNs and CCNs may not, without the approval of the Mission Director or the Assistant Administrator having program responsibility for the project, exceed the prevailing compensation paid to personnel performing comparable work in the cooperating country as determined by the USAID Mission. Unless otherwise authorized by the Mission Director or the Assistant Administrator having program responsibility for the project, the compensation of such TCN and CCN employees shall be paid in the currency of the cooperating country. (c) Allowances and differentials. TCNs and CCNs, hired abroad for work in a cooperating country, are not eligible for allowances or differentials under USAID-direct contracts, unless authorized by the Mission Director or the Assistant Administrator having program responsibility for the project. (d) Country and security clearances. The contractor shall insure that the necessary clearances, including security clearances, if required, have been obtained for TCN and CCN employees in accordance with any such requirements set forth in the contract or required by the USAID Mission, prior to the TCN or CCN starting work under the contract. (e) Physical fitness. Contractors are required to insure that prospective TCN and CCN employees are examined prior to employment to determine whether the prospective employee meets the minimum physical requirements of the position and is free from any contagious disease. (f) Workweek, holidays, and leave. The workweek, holidays, and leave for TCN and CCN employees shall be the same as for all other employees of the contractor, under the terms of the contract; however, TCN and CCN employees are not eligible for home leave or military leave unless authorized by the Mission Director or the Assistant Administrator having program responsibility for the project. (g) Travel and transportation for TCNs and CCNs. Travel and transportation shall be provided TCN and CCN employees on the same basis as for all other employees of the contractor, under the terms of the contract. (h) Household effects and motor vehicles. USAID will not provide household effects to TCN and CCN employees; such employees may ship their household effects and motor vehicles to their place of employment on the same basis as for all other employees of the contractor, under the terms of the contract unless they are residents of the cooperating country. H.11 AIDAR 752.7004 EMERGENCY LOCATOR INFORMATION (JUL 1997)
The
Contractor
agrees
to
provide
the
following
information
to
the
Mission
Administrative
Officer
on
or
before
the
arrival
in
the
host
country
of
every
contract
employee
or
dependent:
1. The
individual's
full
name,
home
address,
and
telephone
number.
2. The
name
and
number
of
the
contract,
and
whether
the
individual
is
an
employee
or
dependent.
3. The
Contractor's
name,
home
office
address,
and
telephone
number,
including
any
after-hours
emergency
number(s),
and
the
name
of
the
Contractor's
home
office
staff
member
having
administrative
responsibility
for
the
contract.
4. The
name,
address,
and
telephone
number(s)
of
each
individual's
next
of
kin.
5. Any
special
instructions
pertaining
to
emergency
situations
such
as
power
of
attorney
designees
or
alternate
contact
persons.
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Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
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Solicitation # SOL-615-13-000012
H.12.
AIDAR
752.7005
SUBMISSION
REQUIREMENTS
FOR
DEVELOPMENT
EXPERIENCE
DOCUMENTS
(JAN
2004)
(a)
Contract
Reports
and
Information/Intellectual
Products.
(1)
The
Contractor
shall
submit
to
USAIDs
Development
Experience
Clearinghouse
(DEC)
copies
of
reports
and
information
products
which
describe,
communicate
or
organize
program/project
development
assistance
activities,
methods,
technologies,
management,
research,
results
and
experience
as
outlined
in
the
Agency's
ADS
Chapter
540.
Information
may
be
obtained
from
the
Contracting
Officers
Representative
(COR).
These
reports
include:
assessments,
evaluations,
studies,
development
experience
documents,
technical
reports
and
annual
reports.
The
Contractor
shall
also
submit
to
copies
of
information
products
including
training
materials,
publications,
databases,
computer
software
programs,
videos
and
other
intellectual
deliverable
materials
required
under
the
Contract
Schedule.
Time-sensitive
materials
such
as
newsletters,
brochures,
bulletins
or
periodic
reports
covering
periods
of
less
than
a
year
are
not
to
be
submitted.
(2)
Upon
contract
completion,
the
Contractor
shall
submit
to
the
DEC
an
index
of
all
reports
and
information/intellectual
products
referenced
in
paragraph
(a)(1)
of
this
clause.
(b)
Submission
requirements.
(1)
Distribution.
(i)
At
the
same
time
submission
is
made
to
the
COR,
the
Contractor
shall
submit,
one
copy
each,
of
contract
reports
and
information/intellectual
products
(referenced
in
paragraph
(a)(1)
of
this
clause)
in
either
electronic
(preferred)
or
paper
form
to
one
of
the
following5:
Via
e-mail:
docsubmit@usaid.gov
Via
mail:
Development
Experience
Clearinghouse
USAID
Knowledge
Services
Center
M/CIO/ITSD/KM
1300
Pennsylvania
Avenue,
NW
RRB
M.01-010
Washington,
DC
20523
Via
Fax:
+1-202-216-3515
(telephone:
+1
202-712-0579)
Online:
https://dec.usaid.gov/dec/home/Default.aspx
(ii)
The
Contractor
shall
submit
the
reports
index
referenced
in
paragraph
(a)(2)
of
this
clause
and
any
reports
referenced
in
paragraph
(a)(1)
of
this
clause
that
have
not
been
previously
submitted
to
DEC,
within
30
days
after
completion
of
the
contract
to
one
of
the
address
cited
in
paragraph
(b)(1)(i)
of
this
clause.
(2)
Format.
(i)Descriptive
information
is
required
for
all
Contractor
products
submitted.
The
title
page
of
all
reports
and
5
The
contact
information
has
been
updated
based
on
information
in
the
DEC
website:
https://dec.usaid.gov/dec/home/Default.aspx
The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 75 of 159
Solicitation # SOL-615-13-000012
information products shall include the contract number(s), Contractor name(s), name of the USAID Cognizant technical office, the publication or issuance date of the document, document title, author name(s), and strategic objective or activity title and associated number. In addition, all materials submitted in accordance with this clause shall have attached on a separate cover sheet the name, organization, address, telephone number, fax number, and Internet address of the submitting party. (ii) The report in paper form shall be prepared using non-glossy paper (preferably recycled and white or off-white) using black ink. Elaborate art work, multicolor printing and expensive bindings are not to be used. Whenever possible, pages shall be printed on both sides. (iii) The electronic document submitted shall consist of only one electronic file which comprises the complete and final equivalent of the paper copy. (iv)Acceptable software formats for electronic documents include WordPerfect, Microsoft Word, and Portable Document Format (PDF). Submission in both Microsoft Word and PDF is encouraged. (v) The electronic document submission shall include the following descriptive information: (A) Name and version of the application software used to create the file, e.g., Microsoft Office 2012 or Acrobat Version 9.0. (B) The format for any graphic and/or image file submitted, e.g., JPEG. (C) Any other necessary information, e.g. special backup or data compression routines, software used for storing/retrieving submitted data or program installation instructions. H.13 INSURANCE AND SERVICES
AIDAR
752.228-3
WORKERS
COMPENSATION
INSURANCE
(DEFENSE
BASE
ACT)
(a)
The
Contractor
agrees
to
procure
Defense
Base
Act
(DBA)
insurance
pursuant
to
the
terms
of
the
contract
between
USAID
and
USAIDs
DBA
insurance
carrier
unless
the
Contractor
has
a
DBA
self-insurance
program
approved
by
the
Department
of
Labor
or
has
an
approved
retrospective
rating
agreement
for
DBA.
(b)
If
USAID
or
the
Contractor
has
secured
a
waiver
of
DBA
coverage
(see
AIDAR
728.305-70(a))
for
Contractors
employees
who
are
not
citizens
of,
residents
of,
or
hired
in
the
United
States,
the
Contractor
agrees
to
provide
such
employees
with
workers
compensation
benefits
as
required
by
the
laws
of
the
country
in
which
the
employees
are
working,
or
by
the
laws
of
the
employees
native
country,
whichever
offers
greater
benefits.
(c)
The
Contractor
further
agrees
to
insert
in
all
subcontracts
hereunder
to
which
the
DBA
is
applicable,
a
clause
similar
to
this
clause,
including
this
sentence,
imposing
on
all
subcontractors
a
like
requirement
to
provide
overseas
workmens
compensation
insurance
coverage
and
obtain
DBA
coverage
under
the
USAID
requirements
contract.
(d)
USAID's
DBA
insurance
carrier
is:
AON
Risk
Insurance
Services
West,
Inc.199
Fremont
St.,
Suite
1400
San
Francisco,
CA
94105,
Aon
Risk
Insurance
Services
West,
Inc.
at:
(1) 199
Fremont
St.,
Suite
1400
San
Francisco,
CA
94105
Primary
Contact:
Fred
Robinson;
Phone:
(415)
486-7516;
Email:
Fred.Robinson@aon.com
Secondary
Contact:
Angela
Falcone;
Phone:
(415)
486-7000;
Email:
Angela.Falcone@aon.com
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
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Solicitation # SOL-615-13-000012
OR (2) 1120 20th St., N.W., Suite 600 Washington D.C. 20036 Primary Contact: Ellen Rowan; Phone: (202) 862-5306; Email: Ellen.Rowan@aon.com Secondary Contact: Chris Thompson; Phone: (202) 862-5302; Email: Chris.Thompson@aon.com (e) The Contractor shall be entitled to be reimbursed for the cost of insurance provided to its employees pursuant to the contract clause at FAR 52.228-3, Workers Compensation Insurance (Defense Base Act), at the USAID authorized rate (Please refer to latest AAPD) of employee remuneration. The Contractor is herein notified that DBA insurance coverage is a requirement for all prime Contractor employees and subcontractor employees under this contract pursuant to FAR 52.228-3. DBA-covered employees are also entitled to benefits under the War Hazards Compensation Fund. As this is a U.S. Government established fund and its benefits are provided at no additional cost to the Contractor above the cost of DBA insurance, the Contractor is not entitled to reimbursement for War Hazards Compensation Fund coverage. If the Contractor provides additional accidental death and disability or life insurance to its employees, the cost of the additional insurance will be considered a fringe benefit and will be allowable as provided by FAR 31.205-6(m). In compliance with new Agency guidelines, Contractors will be required to submit a copy of DBA coverage for which contract performance is to occur outside of the U.S. This document is to be provided prior to start of performance overseas. New Rates: There are three different rates depending on the nature of the services to be provided. If a contract contains more than one of the services listed, the premium will be distributed proportionally. PERIOD Services Construction Security Guards Life of - XX/XX/13 Contract XX/XX/17 $2.00 $4.50 $7.50 H.14 AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC) SERVICES (JULY 2007)
(a)
Contractors
must
provide
MEDEVAC
service
coverage
to
all
U.S.
citizen,
U.S.
resident
alien,
and
Third
Country
National
employees
and
their
authorized
dependents
(hereinafter
individual)
while
overseas
under
a
USAID- financed
direct
contract.
USAID
will
reimburse
reasonable,
allowable,
and
allocable
costs
for
MEDEVAC
service
coverage
incurred
under
the
contract.
The
Contracting
Officer
will
determine
the
reasonableness,
allowability,
and
allocability
of
the
costs
based
on
the
applicable
cost
principles
and
in
accordance
with
cost
accounting
standards.
(b)
Exceptions.
(i)
The
Contractor
is
not
required
to
provide
MEDEVAC
insurance
to
eligible
employees
and
their
dependents
with
a
health
program
that
includes
sufficient
MEDEVAC
coverage
as
approved
by
the
Contracting
Officer.
(ii)
The
Mission
Director
may
make
a
written
determination
to
waive
the
requirement
for
such
coverage.
The
determination
must
be
based
on
findings
that
the
quality
of
local
medical
services
or
other
circumstances
obviate
the
need
for
such
coverage
for
eligible
employees
and
their
dependents
located
at
post.
(c)
Contractor
must
insert
a
clause
similar
to
this
clause
in
all
subcontracts
that
require
performance
by
Contractor
employees
overseas.
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
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Solicitation # SOL-615-13-000012
(d) Contractors are responsible for providing medical evacuation coverage for their employees. Medical evacuation costs are allowable as a direct cost. Medevac services costs are allowable as a direct cost. H.15 AUTHORIZED GEOGRAPHIC CODE
The authorized geographic code for procurement of goods and services under this contract is 937, the United States, Kenya, and developing countries other than advanced developing countries, excluding any country that is a prohibited source. 22 CFR 228 is the governing regulation for procurement of commodities and services financed by USAID federal program funds. H.16 LANGUAGE REQUIREMENTS
Contractor key personnel shall have English language S/4 and R/4 proficiency to perform technical services. Fluent English skills in reading and writing are required for all key personnel. All deliverables must be provided in English. H.17 CONTRACTORS STAFF SUPPORT AND ADMINISTRATIVE AND LOGISTICAL ARRANGEMENTS
The Contractor shall be responsible for all administrative support and logistics required to fulfill the requirements of this Contract. These shall include all travel arrangements, appointment scheduling, secretarial services, report preparations services, printing, and duplicating. The Contractor shall be responsible for furnishing all logistic support in the United States and overseas unless otherwise stated in the contract. H.18 AUTHORIZED WORK DAY/WEEK
(h)
Work
Week
(1)
Non-overseas
Employees:
The
length
of
the
contractor's
U.S.,
non-overseas
employees
workday
shall
be
in
accordance
with
the
contractor's
established
policies
and
practices
and
shall
not
be
less
than
8
hours
per
day
and
40
hours
per
week.
(2)
Overseas
Employee:
The
work
week
for
the
Contractor's
overseas
employees
shall
not
be
less
than
40
hours
and
shall
be
scheduled
to
coincide
with
the
work
week
for
those
employees
of
the
USAID
Mission
and
the
Cooperation
Country
associated
with
the
work
of
this
contract.
A
five
(5)
day
workweek
is
approved
for
this
contract.
No
overtime
or
premium
pay
is
authorized
under
this
Contract.
However,
for
occasions
when
there
are
essential
and
time-sensitive
tasks
to
be
performed
that
cannot
be
accomplished
during
a
five-day
workweek,
a
six-day
workweek
is
authorized
only
for
consultants
and
overseas
personnel.
The
Contractor
shall
document
these
instances
and
inform
the
COR
with
a
copy
to
the
Contracting
Officer.
Short-Term
Technical
Assistance:
Any
six-day
workweek
proposed
for
short
term
technical
assistance
(defined
as
less
than
120
days
at
a
time)
requires
contracting
officer
approval.
No
overtime
or
premium
pay
is
authorized
for
six-day
workweeks.
H.19
AIDAR
752.7025
APPROVALS
(APR
1984)
All
approvals
required
to
be
given
under
the
contract
by
the
Contracting
Officer
or
the
Mission
Director
shall
be
in
writing
and,
except
when
extraordinary
circumstances
make
it
impracticable,
shall
be
requested
by
the
Contractor
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
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159
Solicitation # SOL-615-13-000012
sufficiently in advance of the contemplated action to permit approval, disapproval or other disposition prior to that action. If, because of existing conditions, it is impossible to obtain prior written approval, the approving official may, at his discretion, ratify the action after the fact. H.20 AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND NOTIFICATION REQUIREMENTS (JAN 1990) Prior written approval by the Contracting Officer is required for all international travel directly and identifiably funded by USAID under this contract. The contractor shall therefore present to the contracting officer: 1. The itinerary for each planned international trip, 2. The name of the traveler, 3. The purpose of the trip, 4. The origin/destination (and intervening stops), and 5. The dates of travel, as far in advance of the proposed travel as possible, but in no event less than three weeks before travel is planned to commence. The Contracting Officers prior written approval may be in the form of a letter or telegram or similar device or may be specifically incorporated into the schedule of the contract. At least three week prior to commencement of approved international travel, the contractor shall notify the cognizant Mission, with a copy to the Contracting Officer, of planned travel, identifying the travelers and the dates and times of arrival. H.21 BUSINESS CLASS TRAVEL For cost effectiveness, economy class travel must be used on all official travel funded under this contract. Business class travel may only be used under exceptional circumstances and only with prior written approval of the Contracting Officer. H.22 CONTRACTORS USE OF PROJECT VEHICLES AND LIABILITY INSURANCE REQUIREMENTS FOR PRIVATELY OWNED VEHICLES (a) Home to office to home use of project vehicles is not considered official business and is not allowed under the terms of this contract. (b) If the Contractor or any of its employees or their dependents transport or cause to be transported (whether or not at contract expense) privately owned automobiles to the Cooperating Country, or they or any of them purchase an automobile within the Cooperating Country, the Contractor agrees to make certain that all such automobiles during such ownership within the Cooperating Country will be covered by a paid-up insurance policy issued by a reliable per the requirements of AIDAR 752.228-7 which is referenced clause to this contract. H.23 GOVERNMENT FURNISHED FACILITIES OR PROPERTY The Contractor and any employee or consultant of the Contractor is prohibited from using U.S. Government facilities (such as office space or equipment) or U.S. Government clerical or technical personnel in the performance of the services specified in the Contract unless the use of Government facilities or personnel is specifically authorized in the Contract or is authorized in advance, in writing, by the COR.
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H.24 AIDAR 752.245-71 TITLE TO AND CARE OF PROPERTY (APR 1984) (a) Title to all non-expendable property purchased with contract funds under this contract and used in the Cooperating Country, shall at all times be in the name of the Cooperating Government, or such public or private agency as the Cooperating Government may designate, unless title to specific types or classes of non-expendable property is reserved to USAID under provisions set forth in the schedule of this contract; but all such property shall be under the custody and control of contractor until the owner of title directs otherwise, or completion of work under this contract or its termination, at which time custody and control shall be turned over to the owner of title or disposed of in accordance with its instructions. All performance guaranties and warranties obtained from suppliers shall be taken in the name of the title owner. (Non-expendable property is property which is complete in itself, does not lose its identity or become a component part of another article when put into use; is durable, with an expected service life of two years or more; and which has a unit cost of $500 or more. (b)Contractor shall prepare and establish a program to be approved by the Mission, for the receipt, use, maintenance, protection, custody, and care of non-expendable property for which it has custodial responsibility, including the establishment of reasonable controls to enforce such program. (c) (1) For non-expendable property to which title is reserved to the U.S. Government under provisions set forth in the schedule of this contract, the contractor shall submit an annual report on all non-expendable property under its custody as required in the clause of this contract entitled Government Property. (2) For non-expendable property titled to the Cooperating Government, the contractor shall, within 90 days after completion of this contract, or at such other date as may be fixed by the Contracting Officer, submit an inventory schedule covering all items of non-expendable property under its custody, which have not been consumed in the performance of this contract. The contractor shall also indicate what disposition has been made of such property. Title to property is with USAID with care and custody with the Contractor. H.25 APPROVALS FOR NONEXPENDABLE PROPERTY PURCHASES All purchases of nonexpendable property (i.e., property which is complete in itself, does not lose its identity or become a component part of another article when put into use, is durable with an expected service life of two years or more, and which has a unit cost of more than $500) will require approval of the contracting officer. Any approvals given pursuant to this paragraph must be within the terms of this contract, and shall not serve to change them in any way. The contractor shall retain copies of all such approvals for audit purposes. The Contractor is required to obtain insurance coverage for all nonexpendable property purchased under the contract. The cost of premiums is allowable under the contract. To ensure the lowest cost for insurance, umbrella coverage should be provided to cover all nonexpendable property purchased under the contract. H.26 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES (JAN 2002) Funds in this award may not be used to finance the travel, per diem, hotel expenses, meals, conference fees or other conference costs for any member of a foreign government's delegation to an international conference sponsored by a public international organization, except as provided in ADS Mandatory Reference "Guidance on Funding Foreign Government Delegations to International Conferences http://www.info.usaid.gov/pubs/ads/300/refindx3.htm] or as approved by the CO/COR
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Solicitation # SOL-615-13-000012
H.27
VALUE
ADDED
TAX
(VAT)
AND
CUSTOM
DUTIES
VAT
and
custom
duties
are
excluded
from
the
price
of
this
contract.
The
COR
will
assist
the
Contractor
in
obtaining
this
exemption
from
the
Government
of
Kenya.
H.28
REPORTING
ON
FOREIGN
TAXES
(JULY
2007)
(a)
The
Contractor
must
annually
submit
a
final
report
by
April
16
of
the
next
year.
(b)
Contents
of
Report.
The
reports
must
contain:
(1)
Contractor
name.
(2)
Contact
name
with
phone,
fax
and
e-mail.
(3)
Agreement
number(s).
(4)
Amount
of
foreign
taxes
assessed
by
a
foreign
government
[each
foreign
government
must
be
listed
separately]
on
commodity
purchase
transactions
valued
at
$500
or
more
financed
with
U.S.
foreign
assistance
funds
under
this
agreement
during
the
prior
U.S.
fiscal
year.
(5)
Only
foreign
taxes
assessed
by
the
foreign
government
in
the
country
receiving
U.S.
assistance
is
to
be
reported.
Foreign
taxes
by
a
third
party
foreign
government
are
not
to
be
reported.
For
example,
if
a
contractor
performing
in
Lesotho
using
foreign
assistance
funds
should
purchase
commodities
in
South
Africa,
any
taxes
imposed
by
South
Africa
would
not
be
reported
in
the
report
for
Lesotho
(or
South
Africa).
(6)
Any
reimbursements
received
by
the
Contractor
during
the
period
in
(4)
regardless
of
when
the
foreign
tax
was
assessed
and
any
reimbursements
on
the
taxes
reported
in
(4)
received
through
March
31.
(7)
Report
is
required
even
if
the
Contractor
did
not
pay
any
taxes
during
the
report
period.
(8)
Cumulative
reports
may
be
provided
if
the
Contractor
is
implementing
more
than
one
program
in
a
foreign
country.
(c)
Definitions.
For
purposes
of
this
clause:
(1)
Agreement
includes
USAID
direct
and
country
contracts,
grants,
cooperative
agreements
and
interagency
agreements.
(2)
Commodity
means
any
material,
article,
supply,
goods,
or
equipment.
(3)
Foreign
government
includes
any
foreign
governmental
entity.
(4)
Foreign
taxes
means
value-added
taxes
and
custom
duties
assessed
by
a
foreign
government
on
a
commodity.
It
does
not
include
foreign
sales
taxes.
(d)
Where.
Submit
the
reports
to:
The
Controller
USAID/East
Africa
Regional
Financial
Management
Services
P.O.
Box
621,
Village
Market
00621
Nairobi,
Kenya
E-mail:
nairobirfmspayments@usaid.gov
(Electronic
submission
of
reports
is
required).
(e)
Subagreements.
The
Contractor
must
include
this
reporting
requirement
in
all
applicable
subcontracts
and
other
subagreements.
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
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Solicitation # SOL-615-13-000012
(f)
For
further
information
see
http://www.state.gov/m/rm/c10443.htm
H.29
CONFLICTS
OF
INTEREST
(a)
It
is
understood
and
agreed
that
some
of
the
work
required
hereunder
may
place
the
contractor,
or
its
personnel
or
its
subcontractors
or
their
personnel
(hereinafter
referred
to
collectively
as
"contractor"),
in
the
position
of
having
a
potential
personal
or
organizational
conflict
of
interest
(OCI),
i.e.,
because
of
other
activities
or
relationships
with
other
persons,
(1)
the
contractor
is
unable
or
potentially
unable
to
render
impartial
assistance
or
advice;
or
(2)
the
contractor's
objectivity
in
performing
the
contract
is
or
might
be
impaired;
or
(3)
the
contractor
may
receive
an
unfair
competitive
advantage;
or
(4)
the
contractor
may
have
a
financial
or
other
personal
interest
which
would
or
potentially
would
impair
his/her
objectivity
and/or
from
which
he/she
would
improperly
benefit.
Further
discussion
of
OCIs
may
be
found
in
FAR
9.5,
Organizational
and
Consultant
Conflicts
of
Interest.
(b)
The
performance/actions
of
personnel
under
this
contract
will
be
imputed
to
the
contractor
(or
subcontractor(s)
by
whom
they
are
employed
or
retained,
and
the
performance/actions
of
any
subcontractor
will
be
imputed
to
the
contractor,
unless
the
contractor,
on
a
case-by-case
basis,
can
demonstrate
otherwise
and
satisfy
the
contracting
Officer
that
such
imputation
is
unreasonable.
(c)
In
accordance
with
the
clause
of
this
contract
entitled
"Organizational
Conflicts
of
Interest
Discovered
After
Award"
(AIDAR
752.209-71),
the
Contractor
agrees
not
to
undertake
any
activity
which
may
involve
a
personal
conflict
of
interest
or
an
OCI
without
first
notifying
the
contracting
officer
of
such
potential
conflict
and
receiving
the
contracting
officer's
authorization
to
undertake
that
activity.
(d)
If
the
potential
conflict
relates
to
performance
of
the
work
hereunder
(e.g.,
where
the
contractor
is
to
evaluate
an
activity
in
which
the
contractor
had
some
previous
involvement,
thereby
rendering
the
contractor
unable
or
potentially
unable
to
provide
impartial
assistance
or
advice,
or
impairing
or
potentially
impairing
the
contractor's
objectivity),
and
the
contracting
officer
cannot
neutralize,
mitigate,
or
avoid
the
conflict,
the
contracting
officer
may
decline
to
authorize
performance
of
that
work
by
the
contractor.
(e)
If
the
potential
conflict
relates
to
future
activities
(e.g.,
where
the
contractor
is
to
perform
a
needs
assessment,
feasibility
study,
or
design/development
of
a
project
or
activity
to
be
procured
under
another
contract
for
which
the
contractor
will
or
might
compete
or
which
may
be
awarded
noncompetitively
to
the
contractor,
thereby
potentially
providing
an
unfair
competitive
advantage
to
the
contractor,
and/or
rendering
the
contractor
unable
or
potentially
unable
to
provide
impartial
assistance
or
advice,
or
impairing
or
potentially
impairing
the
contractor's
objectivity;
or
where
the
work
under
this
contract
might
affect
the
personal
or
financial
interests
of
the
contractor),
the
contracting
officer
may
decline
to
authorize
performance
of
that
work
by
the
contractor
or,
if
such
work
is
authorized,
the
contracting
officer
may
place
restrictions
on
the
contractor's
future
activities,
as
permitted
by
FAR
9.5,
and
as
necessary
to
neutralize,
mitigate,
or
avoid
the
potential
conflict.
(f)
The
contracting
officer's
approval
to
undertake
such
activities,
if
given,
may
be
based
on
the
contracting
officer's
determination
that
a
significant
potential
conflict
does
not
exist
or
does
not
appear
to
exist,
or
may
be
conditioned
on
the
acceptance
by
the
contractor
of
restrictions
on
the
contractor's
future
activities.
If
restrictions
are
to
be
placed
on
future
activities,
the
contractor
may
decline
to
perform
the
work.
(g)
If
it
is
discovered
that
the
contractor
engaged
in
any
activities
which
constitute
a
potential
or
actual
conflict
without
having
first
obtained
the
contracting
officer's
approval
to
undertake
such
activities;
or
if
it
is
subsequently
discovered
that,
notwithstanding
the
contracting
officer's
authorization
to
undertake
the
activity
based
on
his/her
initial
determination
that
no
significant
potential
conflict
existed
or
appeared
to
exist,
a
conflict
did,
in
fact
exist
or
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arise, restrictions, as permitted by FAR 9.5, on the contractor's future activities may be placed unilaterally by the contracting officer for this contract or the contracting officer for such other contract as may be involved in the conflict, and other remedies (including termination of this contract for default, debarment or suspension, and those permitted by the clauses of this contract entitled "Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity" (FAR 52.203-8 JAN 1997) and "Price or Fee Adjustment for Illegal or Improper Activity" (FAR 52.203-10 JAN 1997), may be taken by USAID. (h) If it is discovered that the contractor engaged in any activities in violation of the restrictions placed by a contracting Officer on the contractor's future activities, other remedies (including termination of this contract for default, debarment or suspension, and those permitted by the clauses of this contract entitled "Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity" (FAR 52.203-8) and "Price or Fee Adjustment for Illegal or Improper Activity" [FAR 52.203-10]), may be taken by USAID. (i) Nothing in this provision precludes the application of any other remedies available to USAID by law, regulation, or other provisions of this contract. H.30 AIDAR 752.7034 ACKNOWLEDGMENT AND DISCLAIMER (DEC 1991)
(a) USAID shall be prominently acknowledged in all publications, videos or other information/media products funded or partially funded through this contract, and the product shall state that the views expressed by the author(s) do not necessarily reflect those of USAID. Acknowledgments should identify the sponsoring USAID Office and Bureau or Mission as well as the U.S. Agency for International Development substantially as follows: "This [publication, video or other information/media product (specify)] was made possible through support provided by the Office of [ ], Bureau for [ ], U.S. Agency for International Development, under the terms of Contract No. [ ]. The opinions expressed herein are those of the author(s) and do not necessarily reflect the views of the U.S. Agency for International Development." (b) Unless the Contractor is instructed otherwise by the cognizant technical office publications, videos or other information/media products funded under this contract and intended for general readership or other general use will be marked with the USAID logo and/or U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT appearing either at the top or at the bottom of the front cover or, if more suitable, on the first inside title page for printed products, and in equivalent/appropriate location in videos or other information/media products. Logos and markings of co- sponsors or authorizing institutions should be similarly located and of similar size and appearance. H.31 EXECUTIVE ORDER ON TERRORISM FINANCING
The Contractor is reminded that U.S. Executive Orders (including E.O. 13224) and U.S. law prohibit transactions with, and the provision of resources and support to, individuals and organizations associated with terrorism. FAR 25.701 prohibits agencies and their Contractors and subcontractors from acquiring any supplies or services from individuals or organizations, if any proclamation, Executive Order, Office of Foreign Assets Control (OFAC) regulations, or statute administered by OFAC would prohibit such a transaction. Accordingly, the Contracting Officer must check the U.S. Department of the Treasurys OFAC List to ensure that the names of the Contractor and proposed subcontractors (and individuals from those organizations who have been made known to them), are not on the list. Mandatory FAR clause 52.225-13 Restrictions on Certain Foreign Purchases is included by reference in Section I.1 of this contract. By accepting this contract, the Contractor acknowledges and agrees that it is aware of the list as part of its compliance with the requirements of that clause.
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H.32 SECURITY CONDITIONS Contractor must be aware of security conditions in Kenya, and by entering into the contract, assumes full responsibility for the safety of its employees. Prior to commencing work in Kenya, the Contractor shall ensure that it has adequate procedures in place to advise its employees of situations or changed conditions that could adversely affect their security. In order to keep abreast of security conditions in Kenya, but particularly before any employee travels outside of Nairobi, the Contractor shall seek information from all available sources, including the USAID/Kenya, Democracy, Rights and Governance Office, for all areas in which its employees work or travel. Contractor acknowledges that security conditions are subject to change at any moment, that USAID cannot guarantee the accuracy of any information that it may provide to the Contractor and that USAID assumes no responsibility for the reliability of such information. The Contractor has sole responsibility for approving all travel plans for its employees. The Contractor is also responsible for immediately notifying USAID/Kenya and the US Embassy American Citizen Services section in the event a US citizen employee does not return from travel as expected. In the event that USAID requests the Contractor to do so, the Contractor's chief of party shall assume responsibility for contacting all of its employees. The Contractor shall provide to the USAID/Kenya Democracy and Rights Office the name, current address, and current home and/or cellular telephone number of the chief of party and of an alternate designated employee. The Contractor is responsible for ensuring that the information on file in the USAID/Kenya, Democracy, Rights and Governance Office is up-to-date so that in an emergency, the chief of party or alternate representative can be reached immediately and he/she can rapidly contact all other affected employees. H.33 SECURITY REPORTING As part of the overall security requirements, the Contractor and its subcontractors shall report any security threats verbally immediately to the COR and subsequently in writing to the Contracting Officer, in accordance with approved procedures. The contractor shall develop a list of specific steps to track any potential/identified threats, which would be part of an overall security system. H.34 LIFE SUPPORT AND SECURITY SERVICES The Contractor is responsible for maintaining the security of its personnel, materials and equipment commensurate with the circumstances involved. All employees of the Contractor must meet the requirements of their work-site which may include background checks, security/restricted area clearance, drug-free workplace, safety training and/or other inspections/requirements. H.35 USAID DISABILITY POLICY - ACQUISITION (DECEMBER 2004)
(a)
The
objectives
of
the
USAID
Disability
Policy
are
(1)
to
enhance
the
attainment
of
United
States
foreign
assistance
program
goals
by
promoting
the
participation
and
equalization
of
opportunities
of
individuals
with
disabilities
in
USAID
policy,
country
and
sector
strategies,
activity
designs
and
implementation;
(2)
to
increase
awareness
of
issues
of
people
with
disabilities
both
within
USAID
programs
and
in
host
countries;
(3)
to
engage
other
U.S.
government
agencies,
host
country
counterparts,
governments,
implementing
organizations
and
other
donors
in
fostering
a
climate
of
nondiscrimination
against
people
with
disabilities;
and
(4)
to
support
international
advocacy
for
people
with
disabilities.
The
full
text
of
the
policy
paper
can
be
found
at
the
following
website:
http://www.usaid.gov/about/disability/DISABPOL.FIN.html.
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(b) USAID therefore requires that the Contractor not discriminate against people with disabilities in the implementation of USAID programs and that it make every effort to comply with the objectives of the USAID Disability Policy in performing this contract. To that end and within the scope of the contract, the Contractors actions must demonstrate a comprehensive and consistent approach for including men, women and children with disabilities. H.36 AIDAR 752.7101 VOLUNTARY POPULATION PLANNING ACTIVITIES (JUNE 2008) (a) Requirements for Voluntary Sterilization Program. None of the funds made available under this contract shall be used to pay for the performance of involuntary sterilization as a method of family planning or to coerce or provide any financial incentive to any individual to practice sterilization. (b) Prohibition on Abortion-Related Activities. (1) No funds made available under this contract will be used to finance, support, or be attributed to the following activities: (i) procurement or distribution of equipment intended to be used for the purpose of inducing abortions as a method of family planning; (ii) special fees or incentives to any person to coerce or motivate them to have abortions; (iii) payments to persons to perform abortions or to solicit persons to undergo abortions; (iv) information, education, training, or communication programs that seek to promote abortion as a method of family planning; and (v) lobbying for or against abortion. The term motivate, as it relates to family planning assistance, shall not be construed to prohibit the provision, consistent with local law, of information or counseling about all pregnancy options. (2) No funds made available under this contract will be used to pay for any biomedical research which relates, in whole or in part, to methods of, or the performance of, abortions or involuntary sterilizations as a means of family planning. Epidemiologic or descriptive research to assess the incidence, extent or consequences of abortions is not precluded. (3) The contractor shall insert this provision in all subcontracts. H.37 ORGANIZATIONAL CONFLICT OF INTEREST
Any concerns/issues related to Organizational Conflict of Interest MUST be brought to the attention of the Cognizant Contracting Officer as soon as it appears. See CIB 99-17: http://www.usaid.gov/business/business_opportunities/cib/pdf/cib9917.pdf H.38 ENVIRONMENTAL COMPLIANCE
(a)
The
Foreign
Assistance
Act
of
1961,
as
amended,
Section
117
requires
that
the
impact
of
USAIDs
activities
on
the
environment
be
considered
and
that
USAID
include
environmental
sustainability
as
a
central
consideration
in
designing
and
carrying
out
its
development
programs.
This
mandate
is
codified
in
Federal
Regulations
(22
CFR
216)
and
in
USAIDs
Automated
Directives
System
(ADS)
Parts
201.5.10g
and
204
(http://www.usaid.gov/policy/ads/200/),
which,
in
part,
require
that
the
potential
environmental
impacts
of
USAID-financed
activities
are
identified
prior
to
a
final
decision
to
proceed
and
that
appropriate
environmental
safeguards
are
adopted
for
all
activities.
Contractor
environmental
compliance
obligations
under
these
regulations
and
procedures
are
specified
in
the
following
paragraphs
of
this
RFP/contract.
(b)
In
addition,
the
contractor
must
comply
with
host
country
environmental
regulations
unless
otherwise
directed
in
writing
by
USAID.
In
case
of
conflict
between
host
country
and
USAID
regulations,
the
latter
shall
govern.
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(c) No activity funded under this contract will be implemented unless an environmental threshold determination, as defined by 22 CFR 216, has been reached for that activity, as documented in a Request for Categorical Exclusion (RCE), Initial Environmental Examination (IEE), or Environmental Assessment (EA) duly signed by the Bureau Environmental Officer (BEO). (Hereinafter, such documents are described as approved Regulation 216 environmental documentation.) (d) As part of its initial Work Plan, and all Annual Work Plans thereafter, the contractor, in collaboration with the USAID Contracting Officers Representative and Mission Environmental Officer or Bureau Environmental Officer, as appropriate, will review all ongoing and planned activities under this contract to determine if they are within the scope of the approved Regulation 216 environmental documentation. (e) If the contractor plans any new activities outside the scope of the approved Regulation 216 environmental documentation, it will prepare an amendment to the documentation for USAID review and approval. No such new activities will be undertaken prior to receiving written USAID approval of environmental documentation amendments. (f) Any ongoing activities found to be outside the scope of the approved Regulation 216 environmental documentation will be halted until an amendment to the documentation is submitted and written approval is received from USAID. H.39 NONDISCRIMINATION (JUN 2012) FAR Part 27 and the clauses prescribed in that part prohibit contractors performing in or recruiting from the U.S. from engaging in certain discriminatory practices. USAID is committed to achieving and maintaining a diverse and representative workforce and a workplace free of discrimination. Based on law, Executive Order, and Agency policy, USAID prohibits discrimination in its own workplace on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, disability, age, veterans status, sexual orientation, genetic information, marital status, parental status, political affiliation, and any other conduct that does not adversely affect the performance of the employee. USAID does not tolerate any type of harassment, either sexual or nonsexual, of any employee or applicant for employment. Contractors are required to comply with the nondiscrimination requirements of the FAR. In addition, the Agency strongly encourages all its contractors (at all tiers) to develop and enforce comprehensive nondiscrimination policies for their workplaces that include protection on these expanded bases, subject to applicable law. H.40 DISCLOSURE OF INFORMATION
(a)
Contractors
are
reminded
that
information
furnished
under
this
contract
may
be
subject
to
disclosure
under
the
Freedom
of
Information
Act
(FOIA).
Therefore,
all
items
that
are
confidential
to
business,
or
contain
trade
secrets,
proprietary,
or
personnel
information
must
be
clearly
marked.
Marking
of
items
will
not
necessarily
preclude
disclosure
when
the
U.S.
Office
of
Personnel
Management
(OPM
or
The
Government)
determines
disclosure
is
warranted
by
FOIA.
However,
if
such
items
are
not
marked,
all
information
contained
within
the
submitted
documents
will
be
deemed
to
be
releasable.
(b)
Any
information
made
available
to
the
Contractor
by
the
Government
must
be
used
only
for
the
purpose
of
carrying
out
the
provisions
of
this
contract
and
must
not
be
divulged
or
made
known
in
any
manner
to
any
person
except
as
may
be
necessary
in
the
performance
of
the
contract.
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(c) In performance of this contract, the Contractor assumes responsibility for protection of the confidentiality of Government records and must ensure that all work performed by its subcontractors shall be under the supervision of the Contractor or the Contractor's responsible employees. (d) Each officer or employee of the Contractor or any of its subcontractors to whom any Government record may be made available or disclosed must be notified in writing by the Contractor that information disclosed to such officer or employee can be used only for a purpose and to the extent authorized herein, and that further disclosure of any such information, by any means, for a purpose or to an extent unauthorized herein, may subject the offender to criminal sanctions imposed by 19 U.S.C. 641. That section provides, in pertinent part, that whoever knowingly converts to their use or the use of another, or without authority, sells, conveys, or disposes of any record of the United States or whoever receives the same with intent to convert it to their use or gain, knowing it to have been converted, shall be guilty of a crime punishable by a fine of up to $10,000, or imprisoned up to ten years, or both. H.41 REQUESTS FOR CONSENT TO SUBCONTRACT The requirements under FAR Clause 52.244-2 do not apply to the following subcontracts which were evaluated during negotiations unless resultant subcontracts exceed those included in Contractors Final Revised Proposal submitted ____________. (The Offeror will list proposed subcontracts.) H.42 AIDAR 752.227-14 RIGHTS IN DATA GENERAL (OCT 2007) The following paragraph (d) replaces paragraph (d) of (48 CFR) FAR 52.227-14 Rights in DataGeneral. (d) Release, publication and use of data. (1) For all data first produced or specifically used by the Contractor in the performance of this contract in the United States, its territories, or Puerto Rico, the Contractor shall have the right to use, release to others, reproduce, distribute, or publish such data, except to the extent such data may be subject to the Federal export control or national security laws or regulations, or unless otherwise provided in this paragraph of this clause or expressly set forth in this contract [see paragraph (d)(3) for limitations on contracts performed outside of the US]. (2) The Contractor agrees that to the extent it receives or is given access to data necessary for the performance of this contract which contain restrictive markings, the Contractor shall treat the data in accordance with such markings unless otherwise specifically authorized in writing by the Contracting Officer. (3) For all data first produced or specifically used by the Contractor in the overseas performance of this contract, the Contractor shall not release, reproduce, distribute, or publish such data without the written permission of the Contracting Officer. The government also may require the contractor to assign copyright to the government or another party as circumstances warrant or as specifically stated elsewhere in the contract. H.43 TRANSITION OF KNOWLEDGE, SKILLS AND ABILITIES
Local capacity building is one of the principal objectives of this contract. To that end, special consideration should be given to the involvement of local firms and professionals in significant roles in order to facilitate future transfer of knowledge, skills, and abilities. The Contractor shall take into consideration the objective of sustainability. Sustainability will be determined by the capacity of Kenyan evaluation providers, and their ability to produce quality evaluations after the program ends. Local organizations will be supported, utilized, and/or built to the greatest
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extent possible, in order to carry out program interventions. Those organizations should become sustainable as a matter of a deliverable, not merely as a goal. Therefore, the Contractor shall take all deliberate steps necessary to ensure: (a) Maximum transfer of program management skills, tools, and methods to local firms and organizations; (b) Maximum business opportunities for local firms; and (a) Maximum employment opportunity for local citizens at all levels, from program management positions to unskilled labor. H.44 USAID IMPLEMENTATION OF SECTION 508 OF THE REHABILITATION ACT OF 1973 AND FEDERAL ACQUISITION CIRCULAR (FAC) 97-27 "ELECTRONIC AND INFORMATION TECHNOLOGY ACCESSIBILITY
In accordance with CIB 01-21, Contractor shall comply with USAID Implementation of Section 508 of the Rehabilitation Act of 1973 and Federal Acquisition Circular (FAC) 97-27 "Electronic and Information Technology Accessibility. Further information on Section 508 is available via the Internet at http://www.section508.gov http://www.usaid.gov/business/business_opportunities/cib/pdf/cib0121.pdf H.45 NONEXPENDABLE PROPERTY PURCHASES AND INFORMATION TECHNOLOGY RESOURCES
The
Contractor
shall
comply
with
the
requirements
contained
in
ADS
548
which
require
review
and
approval
by
the
Office
of
Information
Resource
Management
(M/IRM)
in
USAID/W
of
information
technology
components
in
which
the
life-cycle
cost
of
commodities
or
services
(e.g.,
installation,
maintenance,
and
technical
assistance)
exceeds
$100,000.
1.
Pursuant
to
ADS
547,
Information
Technology
(IT)
is
defined
as
follows:
Information
Technology
(A)
The
term
information
technology',
with
respect
to
an
executive
agency
means
any
equipment
or
interconnected
system
or
subsystem
of
equipment,
that
is
used
in
the
automatic
acquisition,
storage,
manipulation,
management,
movement,
control,
display,
switching,
interchange,
transmission,
or
reception
of
data
or
information
by
the
executive
agency.
For
purposes
of
the
preceding
sentence,
equipment
is
used
by
an
executive
agency
if
the
equipment
is
used
by
the
executive
agency
directly
or
is
used
by
a
contractor
under
a
contract
with
the
executive
agency
which
(i)
requires
the
use
of
such
equipment,
or
(ii)
requires
the
use,
to
a
significant
extent,
of
such
equipment
in
the
performance
of
a
service
or
the
furnishing
of
a
product.
(B)
The
term
information
technology'
includes
computers,
ancillary
equipment,
software,
firmware
and
similar
procedures,
services
(including
support
services),
and
related
resources.
(C)
Notwithstanding
subparagraphs
(A)
and
(B),
the
term
`information
technology'
does
not
include
any
equipment
that
is
acquired
by
a
Federal
contractor
incidental
to
a
Federal
contract.
(Source:
Clinger-Cohen
Act)
(Chapters
541- 548,
552)
2.
The
Contractor
shall
maintain
accountable
property
records
of
IT
resources.
These
records
must
identify
each
accountable
item
of
U.S.
Government-funded
property
acquired
or
furnished
under
the
contract
in
a
format
acceptable
to
the
Contracting
Officer
and
must
be
furnished
to
the
Contracting
Officer
six
months
after
the
effective
date
of
the
contract
or
task
order
and
thereafter
annually
based
on
the
effective
date
of
the
contract.
In
the
event
any
IT
resources
are
lost,
stolen,
destroyed
or
damaged
beyond
economical
repair,
the
Contractor
must
promptly
notify
both
the
COR
and
the
Contracting
Officer.
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
88
of
159
Solicitation # SOL-615-13-000012
3. As part of the Property Disposition Plan, the Contractor will provide a separate and final inventory of sensitive property. Sensitive property is property potentially dangerous to the public safety or security if stolen, lost, or misplaced, or that shall be subject to exceptional physical security, protection, control, and accountability. The Contractor shall provide a final report to the COR and Contracting Officer on the final disposition of all sensitive property in the contractors custody. H.46 SUBCONTRACTING PLAN AND THE SF 294 SUBCONTRACTING REPORT FOR INDIVIDUAL CONTRACTS AND SF 295 SUMMARY CONTRACTING REPORT The Contractor's subcontracting plan dated ____________ is hereby incorporated as a material part of this contract. Effective December 30, 2005, USAID commenced participation in the electronic Subcontracting Reporting System (eSRS). As a result, hard copies of the SF-294 and SF-295 are no longer accepted and contractors are required to submit these reports electronically. The requirement to report your use of subcontractors in the new eSRS applies to any contract in which there is a subcontracting plan to utilize U.S. small businesses. If you need more information or to register in eSRS, please visit the official website at http://www.esrs.gov. Please note that contract data in eSRS is tied to the DUNS Number of record. When submitting your individual and summary reports in eSRS, please be sure to include the email address of the Contract Officer specified on the contract. H.47 PUBLICATIONS AND MEDIA RELEASES (JAN 2004) (a) USAID shall be prominently acknowledged in all publications, videos or other information/media products funded or partially funded through this award, and the product shall state that the views expressed by the author(s) do not necessarily reflect those of USAID. Acknowledgements should identify the sponsoring USAID Office and Bureau or Mission as well as the U.S. Agency for International Development substantially as follows: "This [publication, video or other information/media product (specify)] was made possible through support provided by the Office of ______________, Bureau for _________________, U.S. Agency for International Development, under the terms of Award No. _________. The opinions expressed herein are those of the author(s) and do not necessarily reflect the views of the U.S. Agency for International Development." (b) Unless the recipient is instructed otherwise by the Contracting Officer Technical Representative (COR), publications, videos or other information/media products funded under this award and intended for general readership or other general use will be marked with the USAID logo and/or U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT appearing either at the top or at the bottom of the front cover or, if more suitable, on the first inside title page for printed products, and in equivalent appropriate location in videos or other information/media products. Logos and markings of cosponsors or authorizing institutions should be similarly located and of similar size and appearance. (c) The recipient shall provide the USAID Contracting Officer Technical Representative (COR) one copy of all published works developed under the award with lists of other written work produced under the award.
The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 89 of 159
Solicitation # SOL-615-13-000012
In
addition,
the
recipient
shall
submit
one
electronic
(preferred)
or
one
paper
copy
of
final
documents
to
USAIDs
Development
Experience
Clearinghouse
(DEC)
in
to
one
of
the
following6:
Development
Experience
Clearinghouse
USAID
Knowledge
Services
Center
M/CIO/ITSD/KM
1300
Pennsylvania
Avenue,
NW
RRB
M.01-010
Washington,
DC
20523
Phone:
(202)
712-0579
Fax:
(202)
216-3515
URL:
https://dec.usaid.gov
To
Submit
to
the
Development
Experience
Clearinghouse:
https://dec.usaid.gov/dec/content/submit.aspx
(d)
Electronic
documents
may
be
submitted
on
3.5
diskettes
or
as
e-mail
attachments,
and
should
consist
of
only
one
electronic
file
that
comprises
the
complete
and
final
equivalent
of
the
paper
copy;
otherwise,
a
paper
copy
must
be
sent.
Acceptable
software
formats
for
electronic
documents
include
Microsoft
Word,
WordPerfect,
Microsoft
Excel
and
Portable
Document
Format
(PDF).
(e)
Each
document
submitted
should
include
the
following
information:
1)
descriptive
title;
2)
author(s)
name;
3)
award
number;
4)
sponsoring
USAID
office;
5)
date
of
publication;
6)
software
name
and
version
(if
electronic
document
is
sent).
(f)
In
the
event
award
funds
are
used
to
underwrite
the
cost
of
publishing,
in
lieu
of
the
publisher
assuming
this
cost,
as
is
the
normal
practice,
any
profits
or
royalties
up
to
the
amount
of
such
cost
shall
be
credited
to
the
award
unless
the
schedule
of
the
award
has
identified
the
profits
or
royalties
as
program
income.
(g)
Except
as
otherwise
provided
in
the
terms
and
conditions
of
the
award,
the
author
or
the
recipient
is
free
to
copyright
any
books,
publications,
or
other
copyrightable
materials
developed
in
the
course
of
or
under
this
award,
but
USAID
reserves
a
royalty-free
nonexclusive
and
irrevocable
right
to
reproduce,
publish,
or
otherwise
use,
and
to
authorize
others
to
use
the
work
for
Government
purposes.
POINTS
OF
CONTACT:
Please
reference
web
site
http://dec.usaid.gov
or
contact
one
of
the
following
concerning
the
document
submission
requirements:
For
document
submission
questions:
docsubmit@usaid.gov
For
document
searching
questions:
ksc@usaid.gov
For
missing
PDF/technical
questions:
decwebmaster@usaid.gov
Phone:
(202)
712-0579
H.48
PROHIBITION
OF
ASSISTANCE
TO
DRUG
TRAFFICKERS
USAID
reserves
the
right
to
terminate
this
Contract,
to
demand
a
refund
or
take
other
appropriate
measures
if
the
Contractor
or
subawardees
are
found
to
have
been
convicted
of
a
narcotics
offense
or
to
have
been
engaged
in
drug
trafficking
as
defined
in
22
CFR
Part
140.
H.49
PROHIBITION
ON
THE
USE
OF
FEDERAL
FUNDS
TO
PROMOTE,
SUPPORT,
OR
ADVOCATE
THE
LEGALIZATION
OR
PRACTICE
OF
PROSTITUTION
TIP
ACQUISITION
(MAY
2007)
6
The contact information has been updated based on information in the DEC website: https://dec.usaid.gov/dec/home/Default.aspx
The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 90 of 159
Solicitation # SOL-615-13-000012
(a) The U.S. Government is opposed to prostitution and related activities, which are inherently harmful and dehumanizing, and contribute to the phenomenon of trafficking in persons. None of the funds made available under this contract may be used to promote, support, or advocate the legalization or practice of prostitution. Nothing in the immediately preceding sentence shall be construed to preclude assistance designed to ameliorate the suffering of, or health risks to, victims while they are being trafficked or after they are out of the situation that resulted from such victims being trafficked. (b) The contractor shall insert this clause, in its entirety, in all sub-awards under this award. (c) This provision includes express terms and conditions of the contract and any violation of it shall be grounds for unilateral termination of the contract, in whole or in part, by USAID prior to the end of the term. H.50 GENDER CONSIDERATION
To the greatest extent possible, the Contractor shall seek to include both men and women in all aspects of this program including participation and leadership in [e.g., meetings, training, etc.]. The Contractor shall collect, analyze and submit to USAID sex-disaggregated data and proposed actions that will address any identified gender-related issues. Further requirements on this are included in Section C. USAID policy requires that gender issues be addressed as appropriate in all USAID-funded activities. The technical approach should describe how gender considerations will be integrated throughout the program and into specific activities as appropriate. The Contractor must look for gender implications or opportunities in the program, seeking to address embedded gender issues and promote gender equity, as appropriate, in all phases of program implementation and internal management. This program must address gender concerns in a fundamental way simply setting aside funds for training of female council members, for example, will not alone be considered sufficient. Specific activities for women are appropriate. Gender indicators should be defined and tracked by the Contractor and the contractor will complete an analysis of gender as part of its initial stages of implementation. H.51 STANDARDS OF CONDUCT -- IMPROPER BUSINESS PRACTICES Corruption or any other improper business practices related to this solicitation and any resulting contract(s) will not be tolerated. Transactions relating to the expenditure of public funds require the highest degree of public trust and an impeccable standard of conduct by contractors, subcontractors and any other agent acting in connection with this contract. Examples of such unacceptable behavior include, but are not limited to providing or offering of bribes to any person associated with the contract or any subcontracts; soliciting or accepting kickbacks or bribes; and knowingly making any false or misleading accounting reports or financial statements. Contractors, subcontractors and any other agents acting under contracts awarded herein are expected to employ due diligence and have internal controls in place towards practicing good governance in execution of the contract. Any one of these entities found to have engaged in illegal activity, improper behavior, or corrupt practices will be subject to corrective actions in accordance with the respective FAR clause incorporated into this solicitation and any resulting contract(s). H.52 SUBMISSION OF TRANSPORTATION DOCUMENTS FOR AUDIT (FEB 2006)
(a)
The
Contractor
shall
submit
to
the
address
identified
below,
for
prepayment
audit,
transportation
documents
on
which
the
United
States
will
assume
freight
charges
that
were
paid--
(1)
By
the
Contractor
under
a
cost-reimbursement
contract;
and
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
91
of
159
Solicitation # SOL-615-13-000012
(2) By a first-tier subcontractor under a cost-reimbursement subcontract thereunder. (b) Cost-reimbursement Contractors shall only submit for audit those bills of lading with freight shipment charges exceeding $100. Bills under $100 shall be retained on-site by the Contractor and made available for on-site audits. This exception only applies to freight shipment bills and is not intended to apply to bills and invoices for any other transportation services. (c) Contractors shall submit the above referenced transportation documents to COR. H.53 752.219-70 USAID MENTOR- PROTG PROGRAM (JUL 2007)
(a) Large and small businesses are encouraged to participate in the USAID Mentor-Protg Program (the Program). Mentor firms provide eligible small business Protgs with developmental assistance to enhance their business capabilities and ability to obtain Federal contracts. (b) Mentor firms are large prime contractors or eligible small business capable of providing developmental assistance. Protg firms are small business as defined in 13 CFR Parts 121, 124, and 126. (c) Developmental assistance is technical, managerial, financial, and other mutually beneficial assistance that aids Protgs. The costs for developmental assistance are not chargeable to the contract. (d) Firms interested in participating in the Program are encouraged to contact the USAID Mentor-Protg Program Manager (202-712-1500) for more information. H.54 PRESS RELATIONS The Contractor shall coordinate all press inquiries and statements with USAIDs COR and Document Outreach Communication Officer (DOC). Contractor shall seek approval from COR before agreeing to or allowing staff to conduct interviews with the press. The Contractor shall not speak on behalf of USAID but will refer all requests for USAID information to the USAID Document Outreach Communication Officer/Press Officer. H.55 GRANTS UNDER CONTRACT (GUC) The Contractor shall make grants pursuant to ADS 302.3.4.8 (Grants Under Contract). Use of the GUCs procedure is subject to specific approval by USAID and must meet certain conditions, not all of which are summarized herein. The Contractor may be required by USAID to develop a grants procedure manual, approved by the USAID Contracting Officer, for the administration of GUCs. USAID must be significantly involved in establishing selection criteria for GUCs and must approve the actual selection of grant recipients. In addition, USAID will retain the right to terminate grants unilaterally. END OF SECTION H
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Solicitation
#
SOL-615-13-000012
PART II - CONTRACT CLAUSES SECTION I CONTRACT CLAUSES I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE
The
following
contract
clauses
pertinent
to
this
section
are
hereby
incorporated
by
reference
(by
Citation
Number,
Title,
and
Date)
in
accordance
with
the
clause
at
FAR
52.252-2
CLAUSES
INCORPORATED
BY
REFERENCE
in
Section
I
of
this
contract.
The
full
text
of
a
clause
may
be
accessed
electronically
at
https://www.acquisition.gov/far
FEDERAL
ACQUISITION
REGULATION
(FAR)
CLAUSES
CFR
48
NUMBER
TITLE
DATE
52.202-1
DEFINITIONS
(JAN
2012)
52.203-3
GRATUITIES
(APR
1984)
52.203-5
COVENANT
AGAINST
CONTINGENT
FEES
(APR
1984)
52.203-6
RESTRICTIONS
ON
SUBCONTRACTOR
SALES
TO
THE
GOVERNMENT
(SEP
2006)
52.203-7
ANTI-KICKBACK
PROCEDURES
(OCT
2010)
52.203-8
CANCELLATION,
RESCISSION,
AND
RECOVERY
OF
FUNDS
FOR
ILLEGAL
OR
IMPROPER
ACTIVITY
(JAN
1997)
52.203-10
PRICE
OR
FEE
ADJUSTMENT
FOR
ILLEGAL
OR
IMPROPER
ACTIVITY
(JAN
1997)
52.203-12
LIMITATION
ON
PAYMENTS
TO
INFLUENCE
CERTAIN
FEDERAL
TRANSACTIONS
(OCT
2010)
52.204-2
SECURITY
REQUIREMENTS
(AUG
1996)
52.204-4
PRINTED
OR
COPIED
DOUBLE-SIDED
ON
RECYCLED
PAPER
(MAY
2011)
52.204-9
PERSONAL
IDENTITY
VERIFICATION
OF
CONTRACTOR
PERSONNEL
(JAN
2011)
52.209-6
PROTECTING
THE
GOVERNMENTS
INTEREST
WHEN
SUBCONTRACTING
WITH
CONTRACTORS
DEBARRED,
SUSPENDED,
OR
PROPOSED
FOR
DEBARMENT
(SEPT
2006)
(DEC
2010)
52.215-2
AUDIT
AND
RECORDSNEGOTIATION
(OCT
2010)
52.215-8
ORDER
OF
PRECEDENCE--UNIFORM
CONTRACT
FORMAT
(OCT
1997)
52.215-14
INTEGRITY
OF
UNIT
PRICES
(OCT
2010)
52.215-15
PENSION
ADJUSTMENTS
AND
ASSET
REVERSIONS
(OCT
2010)
52.215-18
REVERSION
OR
ADJUSTMENT
OF
PLANS
FOR
POSTRETIREMENT
BENEFITS
(PRB)
OTHER
THAN
PENSIONS
(JUL
2005)
52.215-19
NOTIFICATION
OF
OWNERSHIP
CHANGES
(OCT
1997)
52.215-23
LIMITATIONS
ON
PASS-THROUGH
CHARGES
(OCT
2009)
52.215-23
LIMITATIONS
ON
PASS-THROUGH
CHARGES
ALTERNATE
1
(OCT
2009)
52.216-7
ALLOWABLE
COSTS
AND
PAYMENT
(JUN
2011)
52.216-8
FIXED
FEE
(JUN
2011)
52.217-2
CANCELLATION
UNDER
MULTI-YEAR
CONTRACTS
(OCT
1997)
52.217-8
OPTION
TO
EXTEND
SERVICES
(NOV
1999)
52.222-1
NOTICE
TO
THE
GOVERNMENT
OF
LABOR
DISPUTES
(FEB
1997)
52.222-2
PAYMENT
FOR
OVERTIME
PREMIUMS
(JUL
1990)
52.222-3
CONVICT
LABOR
(JUN
2003)
52.222-4
CONTRACT
WORK
HOURS
AND
SAFETY
STANDARDS
ACT-OVERTIME
COMPENSATION
(JUL
2005)
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
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of
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Solicitation
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52.222-21 52.222-26 52.222-29 52.222-35 52.222-36 52.222-37 52.222-50 52.223-5 52.223-6 52.223-10 52.223-18 52.224-1 52.224-2 52.225-1 52.225-13 52.225-14 52.227-2 52.227-14 52.228-3 52.228-7 52.229-3 52.230-2 52.230-3 52.230-4 52.230-6 52.232-9 52.232-17 52.232-18 52.232-23 52.232-25 52.232-25 52.232-33 52.232-34 52.232-37 52.233-1 52.233-1 52.233-3 52.233-4 52.237-3 52.239-1 52.242-1 52.242-3 52.242-4
PROHIBITION OF SEGREGATED FACILITIES EQUAL OPPORTUNITY NOTIFICATION OF VISA DENIAL EQUAL OPPORTUNITY FOR VETERANS AFFIRMATIVE ACTION FOR WORKERS WITH DISABILITIES EMPLOYMENT REPORTS ON VETERANS COMBATING TRAFFICKING IN PERSONS POLLUTION PREVENTION AND RIGHT-TO-KNOW INFORMATION DRUG-FREE WORKPLACE WASTE REDUCTION PROGRAM ENCOURAGING CONTRACTOR POLICIES TO BAN TEXT MESSAGING WHILE DRIVING PRIVACY ACT NOTIFICATION PRIVACY ACT BUY AMERICAN ACT-SUPPLIES RESTRICTIONS ON CERTAIN FOREIGN PURCHASES INCONSISTENCY BETWEEN ENGLISH VERSION AND TRANSLATION OF CONTRACT NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT RIGHTS IN DATA GENERAL WORKERS COMPENSATION INSURANCE (DEFENSE BASE ACT) INSURANCE - LIABILITY TO THIRD PERSONS FEDERAL, STATE, AND LOCAL TAXES COST ACCOUNTING STANDARDS DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES FOREIGN CONCERNS ADMINISTRATION OF COST ACCOUNTING STANDARDS LIMITATION ON WITHHOLDING OF PAYMENTS INTEREST AVAILABILITY OF FUNDS ASSIGNMENT OF CLAIMS PROMPT PAYMENT ALTERNATE I PAYMENT BY ELECTRONIC FUNDS TRANSFER CENTRAL CONTRACTOR REGISTRATION PAYMENT BY ELECTRONIC FUNDS TRANSFER OTHER THAN CENTRAL CONTRACTOR REGISTRATION MULTIPLE PAYMENT ARRANGEMENTS DISPUTES ALTERNATE I PROTEST AFTER AWARD (AUG 1996) ALTERNATE 1 APPLICABLE LAW FOR BREACH OF CONTRACT CLAIM CONTINUITY OF SERVICES PRIVACY OR SECURITY SAFEGUARDS NOTICE OF INTENT TO DISALLOW COSTS PENALTIES FOR UNALLOWABLE COSTS CERTIFICATION OF FINAL INDIRECT COSTS
(FEB 1999) (MAR 2007) (JUN 2003) (SEP 2010) (OCT 2010) (SEP 2010) (FEB 2009) (MAY 2011) (MAY 2001) (MAY 2011) (AUG 2011) (APR 1984) (APR 1984) (FEB 2009) (JUN 2008) (FEB 2000) (DEC 2007) (DEC 2007) (APR 1984) (MAR 1996) (FEB 2013) (MAY 2012) (MAY 2012) (MAY 2012) (JUN 2010) (APR 1984) (OCT 2010) (APR 1984) (JAN 1986) (OCT 2008) (FEB 2002) (OCT 2003) (MAY 1999) (MAY 1999) (JUL 2002) (DEC 1991) (JUN 1985) (OCT 2004) (JAN 1991) (AUG 1996) (APR 1984) (MAY 2001) (JAN 1997)
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Solicitation
#
SOL-615-13-000012
52.242-13 BANKRUPTCY 52.243-2 CHANGES - COST-REIMBURSEMENT (AUG 1987) ALTERNATE I 52.243-7 NOTIFICATION OF CHANGES 52.244-2 SUBCONTRACTS ALTERNATE I (JAN 2007) 52.244-5 COMPETITION IN SUBCONTRACTING 52.244-6 SUBCONTRACTS FOR COMMERCIAL ITEMS 52.245-1 GOVERNMENT PROPERTY 52.246-25 LIMITATION OF LIABILITY - SERVICES 52.249-6 TERMINATION (COST-REIMBURSEMENT) 52.249-14 EXCUSABLE DELAY 52.253-1 COMPUTER GENERATED FORMS AIDAR CLAUSES (48 CFR CHAPTER 7) NUMBER TITLE 752.202-1 DEFINITIONS 752.204-2 SECURITY REQUIREMENTS 752.209-71 ORGANIZATIONAL CONFLICTS OF INTEREST DISCOVERED AFTER AWARD 752.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 752.226-2 SUBCONTRACTING WITH DISADVANTAGED ENTERPRISE 752.226-3 LIMITATIONS ON SUBCONTRACTING 752.228-3 WORKERS COMPENSATION INSURANCE (DEFENSE BASE ACT) 752.228-7 INSURANCE-LIABILITY TO THIRD PERSONS 752.229-70 FEDERAL, STATE, AND LOCAL TAXES 752.242-70 PERIODIC PROGRESS REPORTS 752.245-70 GOVERNMENT PROPERTY-USAID REPORTING REQUIREMENTS 752.7001 BIOGRAPHICAL DATA 752.7002 TRAVEL AND TRANSPORTATION 752.7006 NOTICES 752.7007 PERSONNEL COMPENSATION 752.7008 USE OF GOVERNMENT FACILITIES OR PERSONNEL 752.7010 CONVERSION OF U.S. DOLLARS TO LOCAL 752.7011 ORIENTATION AND LANGUAGE TRAINING 752.7013 CONTRACTOR-MISSION RELATIONSHIPS 752.7014 NOTICE OF CHANGES IN TRAVEL REGULATIONS 752.7015 USE OF POUCH FACILITIES 752.7018 HEALTH AND ACCIDENT COVERAGE FOR USAID PARTICIPANT TRAINEES 752.7019 PARTICIPANT TRAINING 752.7023 REQUIRED VISA FORM FOR USAID PARTICIPANTS 752.7028 DIFFERENTIALS AND ALLOWNCES 752.7029 POST PRIVILEGES 752.7033 PHYSICAL FITNESS 752.7035 PUBLIC NOTICES I.2 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)
(JULY1995) (APR 1984) (APR 1984) (OCT 2010) (DEC 1996) (DEC 2010) (APR 2012) (FEB 1997) (MAY 2004) (APR 1984) (JAN 1991)
(JULY 97) (JUNE 93) (DEC 91) (JULY 97) (OCT 2007) (JULY 97) (JUL 1997) (JAN 1990) (APR 1984) (JUL 2007) (APR 1984) (APR 1984) (APR 1984) (OCT 1989) (JAN 1990) (JULY 1997) (JAN 1999) (JAN 1999) (APR 1984) (JUL 1996) (JULY 1993) (JULY 1997) (DEC 1991)
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Solicitation
#
SOL-615-13-000012
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address (es): http://www.arnet.gov/far I.3 52.227-23 RIGHTS TO PROPOSAL DATA (TECHNICAL) (JUN 1987)
Except for data contained on pages ____, it is agreed that as a condition of award of this contract, and notwithstanding the conditions of any notice appearing thereon, the Government shall have unlimited rights (as defined in the "Rights in Data--General" clause contained in this contract) in and to the technical data contained in the proposal dated upon which this contract is based. I.4 52.204-1 APPROVAL OF CONTRACT (DEC 1989)
This contract is subject to the written approval of the Contracting Officer and shall not be binding until so approved. I.5 52.203-13 CONTRACTOR CODE OF BUSINESS ETHICS AND CONDUCT (APR 2010)
(a)
Definitions:
As
used
in
this
clause
Agent
means
any
individual,
including
a
director,
an
officer,
an
employee,
or
an
independent
Contractor,
authorized
to
act
on
behalf
of
the
organization.
Full
cooperation
(1)
Means
disclosure
to
the
Government
of
the
information
sufficient
for
law
enforcement
to
identify
the
nature
and
extent
of
the
offense
and
the
individuals
responsible
for
the
conduct.
It
includes
providing
timely
and
complete
response
to
Government
auditors
and
investigators
request
for
documents
and
access
to
employees
with
information;
(2)
Does
not
foreclose
any
Contractor
rights
arising
in
law,
the
FAR,
or
the
terms
of
the
contract.
It
does
not
require
(i)
A
Contractor
to
waive
its
attorney-client
privilege
or
the
protections
afforded
by
the
attorney
work
product
doctrine;
or
(ii)
Any
officer,
director,
owner,
or
employee
of
the
Contractor,
including
a
sole
proprietor,
to
waive
his
or
her
attorney
client
privilege
or
Fifth
Amendment
rights;
and
(3)
Does
not
restrict
a
Contractor
from
(i)
Conducting
an
internal
investigation;
or
(ii)
Defending
a
proceeding
or
dispute
arising
under
the
contract
or
related
to
a
potential
or
disclosed
violation.
Principal
means
an
officer,
director,
owner,
partner,
or
a
person
having
primary
management
or
supervisory
responsibilities
within
a
business
entity
(e.g.,
general
manager;
plant
manager;
head
of
a
division
of
business
segment;
and
similar
positions).
Subcontract
means
any
contract
entered
into
by
a
subcontractor
to
furnish
supplies
or
services
for
performance
of
a
prime
contract
or
a
subcontract.
Subcontractor
means
any
supplier,
distributor,
vendor,
or
firm
that
furnished
supplies
or
services
to
or
for
a
prime
contractor
or
another
subcontractor.
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United
States
means
the
50
States,
the
District
of
Columbia,
and
outlying
areas.
(b)
Code
of
business
ethics
ad
conduct.
(1)
Within
30
days
after
contract
award,
unless
the
Contracting
Officer
establishes
a
longer
period,
the
Contractor
shall
(i)
Have
a
written
code
of
business
ethics
and
conduct;
(ii)
Make
a
copy
of
the
code
available
to
each
employee
engaged
in
performance
of
the
contract.
(2)
The
Contractor
shall
(i)
Exercise
due
diligence
to
prevent
and
detect
criminal
conduct;
and
(ii)
Otherwise
promote
an
organizational
culture
that
encourages
ethical
conduct
and
a
commitment
to
compliance
with
the
law.
(3)
(i)
The
Contractor
shall
timely
disclose,
in
writing
to
the
agency
Office
of
the
Inspector
General
(OIG),
with
a
copy
to
the
Contracting
Officer,
whenever,
in
connection
with
the
award,
performance,
or
closeout
of
this
contract
or
any
subcontract
thereunder,
the
Contractor
has
credible
evidence
that
a
principal,
employee,
agent,
or
subcontractor
of
the
Contractor
has
committed
(A)
A
violation
of
Federal
criminal
law
involving
fraud,
conflict
of
interest,
bribery,
or
gratuity
violations
found
in
Title
18
of
the
United
States
Code;
or
(B)
A
violation
of
the
civil
False
Claims
Act
(31
U.S.C.
3729-3733).
(II)
The
Government,
to
the
extent
permitted
by
law
and
regulation,
will
safeguard
and
treat
information
obtained
pursuant
to
the
Contractors
disclosure
as
confidential
where
the
information
has
been
marked
confidential
or
proprietary
by
the
company.
To
the
extent
permitted
by
law
and
regulation,
such
information
will
not
be
released
by
the
Government
to
the
public
pursuant
to
a
Freedom
of
Information
Act
request,
5
U.S.C.
Section
552,
without
prior
notification
to
the
Contractor.
The
Government
may
transfer
documents
provided
by
the
Contractor
to
any
department
or
agency
within
the
Executive
Branch
if
the
information
relates
to
matters
within
the
organizations
jurisdiction.
(iii)
If
the
violation
relates
to
an
order
against
a
Government-wide
acquisition
contract,
a
multi-agency
contract,
a
multiple-award
schedule
contract
such
as
the
Federal
Supply
Schedule,
or
any
other
procurement
instrument
intended
for
use
by
multiple
agencies,
the
Contractor
shall
notify
the
OIG
of
the
ordering
agency
and
the
IG
of
the
agency
responsible
for
the
basic
contract.
(c)
Business
ethics
awareness
and
compliance
program
and
internal
control
system.
This
paragraph
(c)
does
not
apply
if
the
Contractor
has
represented
itself
as
a
small
business
concern
pursuant
to
the
award
of
this
contract
or
if
this
contract
is
for
the
acquisition
of
a
commercial
item
as
defined
at
FAR
2.101.
The
Contractor
shall
establish
the
following
within
90
days
after
contract
award,
unless
the
Contracting
Officer
establishes
a
longer
time
period:
(1)
An
ongoing
business
ethics
awareness
and
compliance
program.
(i)
This
program
shall
include
reasonable
steps
to
communicate
periodically
and
in
a
practical
manner,
the
Contractors
standards
and
procedures
and
other
aspects
of
the
Contractors
business
ethics
awareness
and
compliance
program
and
internal
control
system,
by
conducting
effective
training
programs
and
otherwise
disseminating
information
appropriate
to
an
individuals
respective
roles
and
responsibilities.
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(ii)
The
training
conducted
under
this
program
shall
be
provided
to
the
Contractors
principals
and
employees,
and
as
appropriate,
the
Contractors
agents
and
subcontractors.
(2)
An
internal
control
system.
(i)
The
Contractors
internal
control
system
shall
(A)
Establish
standards
and
procedures
to
facilitate
timely
discovery
of
improper
conduct
in
connection
with
Government
contracts;
and
(B)
Ensure
corrective
measures
are
promptly
instituted
and
carried
out.
(ii)
At
a
minimum,
the
Contractors
internal
control
system
shall
provide
for
the
following:
(A)
Assignment
of
responsibility
at
a
sufficiently
high
level
and
adequate
resources
to
ensure
effectiveness
of
the
business
ethics
awareness
and
compliance
program
and
internal
control
system.
(B)
Reasonable
efforts
not
to
include
an
individual
as
a
principal,
whom
due
diligence
would
have
exposed
as
having
engaged
in
conduct
that
is
in
conflict
with
the
Contractors
code
of
business
ethics
and
conduct.
(C)
Periodic
reviews
of
company
business
practices,
procedures,
policies,
and
internal
controls
for
compliance
with
the
Contractors
code
of
business
ethics
and
conduct
and
the
special
requirements
of
Government
contracting,
including
(1)
Monitoring
and
auditing
to
detect
criminal
conduct;
(2)
Periodic
evaluation
of
the
effectiveness
of
the
business
ethics
awareness
and
compliance
program
and
internal
control
system,
especially
if
criminal
conduct
has
been
detected;
and
(3)
Periodic
assessment
of
the
risk
of
criminal
conduct,
with
appropriate
steps
to
design,
implement,
or
modify
the
business
ethics
awareness
and
compliance
program
and
the
internal
control
system
as
necessary
to
reduce
the
risk
of
criminal
conduct
identified
through
this
process.
(D)
An
internal
reporting
mechanism,
such
as
a
hotline,
which
allows
for
anonymity
or
confidentiality,
by
which
employees
may
report
suspected
instances
of
improper
conduct,
and
instructions
that
encourage
employees
to
make
such
reports.
(E)
Disciplinary
action
for
improper
conduct
or
for
failing
to
take
reasonable
steps
to
prevent
or
detect
improper
conduct.
(F)
Timely
disclosure,
in
writing,
to
the
agency
OIC,
with
a
copy
to
the
Contracting
Officer,
whenever,
in
connection
with
the
award,
performance,
or
closeout
of
any
Government
contract
performed
by
the
Contractor
or
a
subcontractor
thereunder,
the
Contractor
has
credible
evidence
that
a
principal,
employee,
agent,
or
subcontractor
of
the
Contractor
has
committed
a
violation
of
Federal
criminal
law
involving
fraud,
conflict
of
interest,
bribery,
or
gratuity
violations
found
in
Title
18
U.S.C.
or
a
violation
of
the
civil
False
Claims
Act
(31
U.S.C.
3729-3733).
(1)
If
a
violation
relates
to
more
than
one
Government
contract,
the
Contractor
may
make
the
disclosure
to
the
agency
OIG
and
Contracting
Officer
responsible
for
the
largest
dollar
value
contract
impacted
by
the
violation.
(2)
If
the
violation
relates
to
an
order
against
a
Government-wide
acquisition
contract,
a
multi-agency
contract,
a
multiple-award
schedule
contract
such
as
the
Federal
Supply
Schedule,
or
any
other
procurement
instrument
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intended for use by multiple agencies, the contractor shall notify the OIG of the ordering agency responsible for the basic contract and the respective agencies contracting officers. (3) The disclosure requirement for an individual contract continues until at least 3 years after final payment on the contract. (4) The Government will safeguard such disclosures in accordance with paragraph (b)(3)(ii) of this clause. (G) Full cooperation with any Government agencies responsible for audits, investigations, or corrective actions. (d) Subcontracts. (1) The Contractor shall include the substance of this clause, including this paragraph (d), in subcontracts that have a value in excess of $5,000,000 and a performance period of more than 120 days. (2) In altering this clause to identify the appropriate parties, all disclosures of violation of the civil False Claims Act or of Federal criminal law shall be directed to the agency Office of the Inspector General, with a copy to the Contracting Officer. I.6 52.209-9 UPDATES OF PUBLICLY AVAILABLE INFORMATION REGARDING RESPONSIBILITY MATTERS (FEB 2012)
(a)
The
Contractor
shall
update
the
information
in
the
Federal
Awardee
Performance
and
Integrity
Information
System
(FAPIIS)
on
a
semi-annual
basis,
throughout
the
life
of
the
contract,
by
posting
the
required
information
in
the
Central
Contractor
Registration
database
via
https://acquisition.gov.
(b)
As
required
by
section
3010
of
the
Supplemental
Appropriations
Act,
2010
(Pub.L.
111-212),
all
information
posted
in
FAPIIS
on
or
after
April
15,
2011,
except
past
performance
reviews,
will
be
publicly
available.
FAPIIS
consists
of
two
segments
(1)
The
non-public
segment,
into
which
Government
officials
and
the
Contractor
post
information,
which
can
only
be
viewed
by
(i)
Government
personnel
and
authorized
users
performing
business
on
behalf
of
the
Government,
or
(ii)
The
Contractor,
when
viewing
data
on
itself;
and
(2)
The
publicly-available
segment,
to
which
all
data
in
the
non-public
segment
of
FAPIIS
is
automatically
transferred
after
a
waiting
period
of
14
calendar
days,
except
for
(i)
Past
performance
reviews
required
by
subpart
42.15;
(ii)
Information
that
was
entered
prior
to
April
15,
2011;
or
(iii)
Information
that
is
withdrawn
during
the
14-calendar-day
waiting
period
by
the
Government
official
who
posted
it
in
accordance
with
paragraph
(c)(1)
of
this
clause.
(c)
The
Contractor
will
receive
notification
when
the
Government
posts
new
information
to
the
Contractors
record.
(1)
If
the
Contractor
asserts
in
writing
within
7
calendar
days,
to
the
Government
official
who
posted
the
information,
that
some
of
the
information
posted
to
the
non-public
segment
of
FAPIIS
is
covered
by
a
disclosure
exemption
under
the
Freedom
of
Information
Act,
the
Government
official
who
posted
the
information
must
within
7
calendar
days
remove
the
posting
from
FAPIIS
and
resolve
the
issue
in
accordance
with
agency
Freedom
of
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Information procedures, prior to reposting the releasable information. The contractor must cite 52.209-9 and request removal within 7 calendar days of the posting to FAPIIS. (2) The contractor will also have an opportunity to post comments regarding information that has been posted by the Government. The comments will be retained as long as the associated information is retained, i.e., for a total period of 6 years. Contractor comments will remain a part of the record unless the Contractor revises them. (3) As required by section 3010 of Pub.L. 111-212, all information posted in FAPIIS on or after April 15, 2011, except past performance reviews, will be publicly available. (d) Public request s for system information posted prior to April 15, 2011, will be handled under Freedom of Information Act procedures, including, where appropriate, procedures promulgated under E.O. 12600. I.7 52.232-99 PROVIDING ACCELARATED PAYMENT TO SMALL BUSINESS - SUBCONTRACTORS (DEVIATION) (AUG 2012)
This clause implements the temporary policy provided by OMB Policy Memorandum M-12-16, Providing Prompt Payment to Small Business Subcontractors, dated July 11, 2012. (a) Upon receipt of accelerated payments from the Government, the contractor is required to make accelerated payments to small business subcontractors to the maximum extent practicable after receipt of a proper invoice and all proper documentation from the small business subcontractor. (b) Include the substance of this clause, including this paragraph (b), in all subcontracts with small business concerns. (c) The acceleration of payments under this clause does not provide any new rights under the Prompt Payment Act. I.8 52.232-22 LIMITATION OF FUNDS
Limitation
of
Funds
(APR
1984)
(a)
The
parties
estimate
that
performance
of
this
contract
will
not
cost
the
Government
more
than
(1)
the
estimated
cost
specified
in
the
Schedule
or,
(2)
if
this
is
a
cost-sharing
contract,
the
Government's
share
of
the
estimated
cost
specified
in
the
Schedule.
The
Contractor
agrees
to
use
its
best
efforts
to
perform
the
work
specified
in
the
Schedule
and
all
obligations
under
this
contract
within
the
estimated
cost,
which,
if
this
is
a
cost-sharing
contract,
includes
both
the
Government's
and
the
Contractor's
share
of
the
cost.
(b)
The
Schedule
specifies
the
amount
presently
available
for
payment
by
the
Government
and
allotted
to
this
contract,
the
items
covered,
the
Government's
share
of
the
cost
if
this
is
a
cost-sharing
contract,
and
the
period
of
performance
it
is
estimated
the
allotted
amount
will
cover.
The
parties
contemplate
that
the
Government
will
allot
additional
funds
incrementally
to
the
contract
up
to
the
full
estimated
cost
to
the
Government
specified
in
the
Schedule,
exclusive
of
any
fee.
The
Contractor
agrees
to
perform,
or
have
performed,
work
on
the
contract
up
to
the
point
at
which
the
total
amount
paid
and
payable
by
the
Government
under
the
contract
approximates
but
does
not
exceed
the
total
amount
actually
allotted
by
the
Government
to
the
contract.
(c)
The
Contractor
shall
notify
the
Contracting
Officer
in
writing
whenever
it
has
reason
to
believe
that
the
costs
it
expects
to
incur
under
this
contract
in
the
next
60
days,
when
added
to
all
costs
previously
incurred,
will
exceed
75
percent
of
(1)
the
total
amount
so
far
allotted
to
the
contract
by
the
Government
or,
(2)
if
this
is
a
cost-sharing
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contract,
the
amount
then
allotted
to
the
contract
by
the
Government
plus
the
Contractor's
corresponding
share.
The
notice
shall
state
the
estimated
amount
of
additional
funds
required
to
continue
performance
for
the
period
specified
in
the
Schedule.
(d)
Sixty
days
before
the
end
of
the
period
specified
in
the
Schedule,
the
Contractor
shall
notify
the
Contracting
Officer
in
writing
of
the
estimated
amount
of
additional
funds,
if
any,
required
to
continue
timely
performance
under
the
contract
or
for
any
further
period
specified
in
the
Schedule
or
otherwise
agreed
upon,
and
when
the
funds
will
be
required.
(e)
If,
after
notification,
additional
funds
are
not
allotted
by
the
end
of
the
period
specified
in
the
Schedule
or
another
agreed-upon
date,
upon
the
Contractor's
written
request
the
Contracting
Officer
will
terminate
this
contract
on
that
date
in
accordance
with
the
provisions
of
the
Termination
clause
of
this
contract.
If
the
Contractor
estimates
that
the
funds
available
will
allow
it
to
continue
to
discharge
its
obligations
beyond
that
date,
it
may
specify
a
later
date
in
its
request,
and
the
Contracting
Officer
may
terminate
this
contract
on
that
later
date.
(f)
Except
as
required
by
other
provisions
of
this
contract,
specifically
citing
and
stated
to
be
an
exception
to
this
clause
(1)
The
Government
is
not
obligated
to
reimburse
the
Contractor
for
costs
incurred
in
excess
of
the
total
amount
allotted
by
the
Government
to
this
contract;
and
(2)
The
Contractor
is
not
obligated
to
continue
performance
under
this
contract
(including
actions
under
the
Termination
clause
of
this
contract)
or
otherwise
incur
costs
in
excess
of
(i)
the
amount
then
allotted
to
the
contract
by
the
Government
or,
(ii)
if
this
is
a
cost-sharing
contract,
the
amount
then
allotted
by
the
Government
to
the
contract
plus
the
Contractor's
corresponding
share,
until
the
Contracting
Officer
notifies
the
Contractor
in
writing
that
the
amount
allotted
by
the
Government
has
been
increased
and
specifies
an
increased
amount,
which
shall
then
constitute
the
total
amount
allotted
by
the
Government
to
this
contract.
(g)
The
estimated
cost
shall
be
increased
to
the
extent
that
(1)
the
amount
allotted
by
the
Government
or,
(2)
if
this
is
a
cost-sharing
contract,
the
amount
then
allotted
by
the
Government
to
the
contract
plus
the
Contractor's
corresponding
share,
exceeds
the
estimated
cost
specified
in
the
Schedule.
If
this
is
a
cost-sharing
contract,
the
increase
shall
be
allocated
in
accordance
with
the
formula
specified
in
the
Schedule.
(h)
No
notice,
communication,
or
representation
in
any
form
other
than
that
specified
in
subparagraph
(f)(2)
above,
or
from
any
person
other
than
the
Contracting
Officer,
shall
affect
the
amount
allotted
by
the
Government
to
this
contract.
In
the
absence
of
the
specified
notice,
the
Government
is
not
obligated
to
reimburse
the
Contractor
for
any
costs
in
excess
of
the
total
amount
allotted
by
the
Government
to
this
contract,
whether
incurred
during
the
course
of
the
contract
or
as
a
result
of
termination.
(i)
When
and
to
the
extent
that
the
amount
allotted
by
the
Government
to
the
contract
is
increased,
any
costs
the
Contractor
incurs
before
the
increase
that
are
in
excess
of
(1)
the
amount
previously
allotted
by
the
Government
or,
(2)
if
this
is
a
cost-sharing
contract,
the
amount
previously
allotted
by
the
Government
to
the
contract
plus
the
Contractor's
corresponding
share,
shall
be
allowable
to
the
same
extent
as
if
incurred
afterward,
unless
the
Contracting
Officer
issues
a
termination
or
other
notice
and
directs
that
the
increase
is
solely
to
cover
termination
or
other
specified
expenses.
(j)
Change
orders
shall
not
be
considered
an
authorization
to
exceed
the
amount
allotted
by
the
Government
specified
in
the
Schedule,
unless
they
contain
a
statement
increasing
the
amount
allotted.
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
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159
Solicitation
#
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(k) Nothing in this clause shall affect the right of the Government to terminate this contract. If this contract is terminated, the Government and the Contractor shall negotiate an equitable distribution of all property produced or purchased under the contract, based upon the share of costs incurred by each. (l) If the Government does not allot sufficient funds to allow completion of the work, the Contractor is entitled to a percentage of the fee specified in the Schedule equalling the percentage of completion of the work contemplated by this contract. END OF SECTION I
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Solicitation
#
SOL-615-13-000012
PART III LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS SECTION J LIST OF DOCUMENTS EXHIBITS AND OTHER ATTACHMENTS Attachment Number J.1 J.2 J.3 J.4 J.5 J.6 J.7 J.8 J.9 J.10 J.11 J.12 END OF SECTION J Title Budget Template Local Compensation Position Description Guidelines Branding Implementation Plan and Marking Plan Format USAID Form 1420-17 Contractor Biographical Data Sheet SF LLL Disclosure of Lobbying Activities Past performance Questionnaire Identification of Principal Geographic Code Acronyms and Abbreviations used in this RFP Reporting Template Initial Environmental Examination Assessments on Devolution in Kenya List of Government Property
The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 103 of 159
Solicitation # SOL-615-13-000012
PART
III
REPRESENTATIONS
AND
INSTRUCTIONS
SECTION
K
REPRESENTATIONS,
CERTIFICATIONS
AND
OTHER
STATEMENTS
OF
OFFERORS
OR
RESPONDENTS
K.1
NOTICE
LISTING
SOLICITATION
PROVISIONS
INCORPORATED
BY
REFERENCE
The
following
solicitation
provisions
pertinent
to
this
section
are
hereby
incorporated
by
reference
(by
Citation
Number,
Title,
and
Date)
in
accordance
with
the
FAR
provision
at
FAR
"52.252-1
SOLICITATION
PROVISIONS
INCORPORATED
BY
REFERENCE"
in
Section
L
of
this
solicitation.
See
FAR
52.252-1
for
an
internet
address
(if
specified)
for
electronic
access
to
the
full
text
of
a
provision.
NUMBER
TITLE
DATE
FEDERAL
ACQUISITION
REGULATION
(48
CFR
Chapter
1)
52.203-11
CERTIFICATION
AND
DISCLOSURE
REGARDINGPAYMENTS
TO
INFLUENCE
CERTAIN
FEDERAL
TRANSACTIONS
SEPT
2007
52.237-8
RESTRICTION
ON
SEVERANCE
PAYMENTS
TO
FOREIGN
NATIONALS
AUG
2003
K.2
FAR
52.204-8
ANNUAL
REPRESENTATIONS
AND
CERTIFICATIONS
(FEB
2012)
(a)(1)
The
North
American
Industry
Classification
System
(NAICS)
code
for
this
acquisition
is
641611.
(2)
The
small
business
size
standard
is
$7.0
million.
(3)
The
small
business
size
standard
for
a
concern
which
submits
an
offer
in
its
own
name,
other
than
on
a
construction
or
service
contract,
but
which
proposes
to
furnish
a
product
which
it
did
not
itself
manufacture,
is
500
employees.
(b)(1)
If
the
clause
at
52.204-7,
Central
Contractor
Registration,
is
included
in
this
solicitation,
paragraph
(d)
of
this
provision
applies.
(2)
If
the
clause
at
52.204-7
is
not
included
in
this
solicitation,
and
the
Offeror
is
currently
registered
in
CCR,
and
has
completed
the
ORCA
electronically,
the
Offeror
may
choose
to
use
paragraph
(d)
of
this
provision
instead
of
completing
the
corresponding
individual
representations
and
certifications
in
the
solicitation.
The
Offeror
shall
indicate
which
option
applies
by
checking
one
of
the
following
boxes:
[
]
(i)
Paragraph
(d)
applies.
[
]
(ii)
Paragraph
(d)
does
not
apply
and
the
Offeror
has
completed
the
individual
representations
and
certifications
in
the
solicitation.
(c)(1)
The
following
representations
or
certifications
in
ORCA
are
applicable
to
this
solicitation
as
indicated:
(i)
52.203-2,
Certificate
of
Independent
Price
Determination.
This
provision
applies
to
solicitations
when
a
firm-fixed- price
contract
or
fixed-price
contract
with
economic
price
adjustment
is
contemplated,
unless
(A)
The
acquisition
is
to
be
made
under
the
simplified
acquisition
procedures
in
Part
13;
(B)
The
solicitation
is
a
request
for
technical
proposals
under
two-step
sealed
bidding
procedures;
or
(C)
The
solicitation
is
for
utility
services
for
which
rates
are
set
by
law
or
regulation.
(ii)
52.203-11,
Certification
and
Disclosure
Regarding
Payments
to
Influence
Certain
Federal
Transactions.
This
provision
applies
to
solicitations
expected
to
exceed
$150,000.
(iii)
52.204-3,
Taxpayer
Identification.
This
provision
applies
to
solicitations
that
do
not
include
the
clause
at
52.204- 7,
Central
Contractor
Registration.
(iv)
52.204-5,
Women-Owned
Business
(Other
Than
Small
Business).
This
provision
applies
to
solicitations
that
(A)
Are
not
set
aside
for
small
business
concerns;
(B)
Exceed
the
simplified
acquisition
threshold;
and
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
104
of
159
Solicitation # SOL-615-13-000012
(C)
Are
for
contracts
that
will
be
performed
in
the
United
States
or
its
outlying
areas.
(v)
52.209-2,
Prohibition
on
Contracting
with
Inverted
Domestic
CorporationsRepresentation.
This
provision
applies
to
solicitations
using
funds
appropriated
in
fiscal
years
2008,
2009,
or
2010.
(vi)
52.209-5,
Certification
Regarding
Responsibility
Matters.
This
provision
applies
to
solicitations
where
the
contract
value
is
expected
to
exceed
the
simplified
acquisition
threshold.
(vii)
52.214-14,
Place
of
PerformanceSealed
Bidding.
This
provision
applies
to
invitations
for
bids
except
those
in
which
the
place
of
performance
is
specified
by
the
Government.
(viii)
52.215-6,
Place
of
Performance.
This
provision
applies
to
solicitations
unless
the
place
of
performance
is
specified
by
the
Government.
(ix)
52.219-1,
Small
Business
Program
Representations
(Basic
&
Alternate
I).
This
provision
applies
to
solicitations
when
the
contract
will
be
performed
in
the
United
States
or
its
outlying
areas.
(A)
The
basic
provision
applies
when
the
solicitations
are
issued
by
other
than
DoD,
NASA,
and
the
Coast
Guard.
(B)
The
provision
with
its
Alternate
I
applies
to
solicitations
issued
by
DoD,
NASA,
or
the
Coast
Guard.
(x)
52.219-2,
Equal
Low
Bids.
This
provision
applies
to
solicitations
when
contracting
by
sealed
bidding
and
the
contract
will
be
performed
in
the
United
States
or
its
outlying
areas.
(xi)
52.222-22,
Previous
Contracts
and
Compliance
Reports.
This
provision
applies
to
solicitations
that
include
the
clause
at
52.222-26,
Equal
Opportunity.
(xii)
52.222-25,
Affirmative
Action
Compliance.
This
provision
applies
to
solicitations,
other
than
those
for
construction,
when
the
solicitation
includes
the
clause
at
52.222-26,
Equal
Opportunity.
(xiii)
52.222-38,
Compliance
with
Veterans
Employment
Reporting
Requirements.
This
provision
applies
to
solicitations
when
it
is
anticipated
the
contract
award
will
exceed
the
simplified
acquisition
threshold
and
the
contract
is
not
for
acquisition
of
commercial
items.
(xiv)
52.223-1,
Biobased
Product
Certification.
This
provision
applies
to
solicitations
that
require
the
delivery
or
specify
the
use
of
USDAdesignated
items;
or
include
the
clause
at
52.223-2,
Affirmative
Procurement
of
Biobased
Products
Under
Service
and
Construction
Contracts.
(xv)
52.223-4,
Recovered
Material
Certification.
This
provision
applies
to
solicitations
that
are
for,
or
specify
the
use
of,
EPAdesignated
items.
(xvi)
52.225-2,
Buy
American
Act
Certificate.
This
provision
applies
to
solicitations
containing
the
clause
at
52.225-1.
(xvii)
52.225-4,
Buy
American
ActFree
Trade
AgreementsIsraeli
Trade
Act
Certificate.
(Basic,
Alternate
I,
and
Alternate
II)
This
provision
applies
to
solicitations
containing
the
clause
at
52.225-3.
(A)
If
the
acquisition
value
is
less
than
$25,000,
the
basic
provision
applies.
(B)
If
the
acquisition
value
is
$25,000
or
more
but
is
less
than
$50,000,
the
provision
with
its
Alternate
I
applies.
(C)
If
the
acquisition
value
is
$50,000
or
more
but
is
less
than
$67,826,
the
provision
with
its
Alternate
II
applies.
(xviii)
52.225-6,
Trade
Agreements
Certificate.
This
provision
applies
to
solicitations
containing
the
clause
at
52.225- 5.
(xix)
52.225-20,
Prohibition
on
Conducting
Restricted
Business
Operations
in
SudanCertification.
This
provision
applies
to
all
solicitations.
(xx)
52.225-25,
Prohibition
on
Contracting
with
Entities
Engaging
in
Sanctioned
Activities
Relating
to
Iran Representation
and
Certification.
This
provision
applies
to
all
solicitations.
(xxi)
52.226-2,
Historically
Black
College
or
University
and
Minority
Institution
Representation.
This
provision
applies
to
(A)
Solicitations
for
research,
studies,
supplies,
or
services
of
the
type
normally
acquired
from
higher
educational
institutions;
and
(B)
For
DoD,
NASA,
and
Coast
Guard
acquisitions,
solicitations
that
contain
the
clause
at
52.219-23,
Notice
of
Price
Evaluation
Adjustment
for
Small
Disadvantaged
Business
Concerns.
(2)
The
following
certifications
are
applicable
as
indicated
by
the
Contracting
Officer:
[Contracting
Officer
check
as
appropriate.]
__
(i)
52.219-22,
Small
Disadvantaged
Business
Status.
__
(A)
Basic.
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
105
of
159
Solicitation # SOL-615-13-000012
__ (B) Alternate I. __ (ii) 52.222-18, Certification Regarding Knowledge of Child Labor for Listed End Products. __ (iii) 52.222-48, Exemption from Application of the Service Contract Act to Contracts for Maintenance, Calibration, or Repair of Certain Equipment Certification. __ (iv) 52.222-52, Exemption from Application of the Service Contract Act to Contracts for Certain Services Certification. __ (v) 52.223-9, with its Alternate I, Estimate of Percentage of Recovered Material Content for EPADesignated Products (Alternate I only). __ (vi) 52.227-6, Royalty Information. __ (A) Basic. __(B) Alternate I. __ (vii) 52.227-15, Representation of Limited Rights Data and Restricted Computer Software. (d) The Offeror has completed the annual representations and certifications electronically via the Online Representations and Certifications Application (ORCA) website accessed through https://www.acquisition.gov. After reviewing the ORCA database information, the Offeror verifies by submission of the offer that the representations and certifications currently posted electronically that apply to this solicitation as indicated in paragraph (c) of this provision have been entered or updated within the last 12 months, are current, accurate, complete, and applicable to this solicitation (including the business size standard applicable to the NAICS code referenced for this solicitation), as of the date of this offer and are incorporated in this offer by reference (see FAR 4.1201); except for the changes identified below [Offeror to insert changes, identifying change by clause number, title, date]. These amended representation(s) and/or certification(s) are also incorporated in this offer and are current, accurate, and complete as of the date of this offer. FAR Clause # Title Date Change ____________ _________ _____ _______ Any changes provided by the Offeror are applicable to this solicitation only, and do not result in an update to the representations and certifications posted on ORCA. K.3 AIDAR 752.226-01 DISADVANTAGED ENTERPRISE REPRESENTATION (APR 1991) (a) Representation The Offeror represents that: (1) it [ ] is, [ ] is not a small disadvantaged business. (2) it [ ] is, [ ] is not a historically black college or university, as designated by the Secretary of education pursuant to 34 CFR 608.2. (3) it [ ] is, [ ] is not a college or university having a student body in which more than 40 percent of the students are Hispanic American. (4) it [ ] is, [ ] is not a private voluntary organization which is controlled by individuals who are socially and economically disadvantaged. (b) Definitions (1) "Asian Pacific Americans," as used in this provision, means United States citizens whose origins are in Japan, China, the Philippines, Vietnam, Korea, Samoa, Guam, the U.S. Trust Territory of the Pacific Islands (Republic of
The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 106 of 159
Solicitation # SOL-615-13-000012
Palau),
the
Northern
Mariana
Islands,
Laos,
Kampuchea
(Cambodia),
Taiwan,
Burma,
Thailand,
Malaysia,
Indonesia,
Singapore,
Brunei,
Republic
of
the
Marshall
Islands,
or
the
Federated
States
of
Micronesia.
(2)
"Controlled
by
socially
and
economically
disadvantaged
individuals"
means
management
and
daily
business
are
controlled
by
one
or
more
such
individuals.
(3)
"Native
Americans,"
as
used
in
this
provision,
means
American
Indians,
Eskimos,
Aleuts,
and
Native
Hawaiians.
(4)
"Owned
by
socially
and
economically
disadvantaged
individuals"
means
at
least
51
percent
owned
by
one
or
more
individuals
who
are
both
socially
and
economically
disadvantaged,
or
a
publicly
owned
business
having
at
least
51
percent
of
its
stock
owned
by
one
or
more
socially
and
economically
disadvantaged
individuals.
(5)
"Small
Business
Concern,"
as
used
in
this
provision,
means
a
U.S.
concern
[as
defined
in
FAR
19.001],
including
its
affiliates
[as
defined
in
FAR
19.101],
that
is
independently
owned
and
operated,
not
dominant
in
the
field
of
operation
in
which
it
is
bidding
on
Government
contracts,
and
qualifies
as
a
small
business
under
the
criteria
and
size
standards
in
13
CFR
12110.
(6)
"Small
Disadvantaged
Business,"
as
used
in
this
provision,
means
a
small
business
concern
that
(a)
is
at
least
51
percent
owned
by
one
or
more
individuals
who
are
both
socially
and
economically
disadvantaged,
or
a
publicly
owned
business
having
at
least
51
percent
of
its
stock
owned
by
one
or
more
socially
and
economically
disadvantaged
individuals
and
(b)
has
its
management
and
daily
business
controlled
by
one
or
more
such
individuals.
(7)
"Subcontinent
Asian
Americans,"
as
used
in
this
provision,
means
United
States
citizens
whose
origins
are
in
India,
Pakistan,
Bangladesh,
Sri
Lanka,
Bhutan,
or
Nepal.
(c)
Qualified
Groups
The
Offeror
shall
presume
that
socially
and
economically
disadvantaged
individuals
include
Black
Americans,
Hispanic
Americans,
Native
Americans,
Asian
Pacific
Americans,
Subcontinent
Asian
Americans,
and
women.
K.4
INSURANCE
-
IMMUNITY
FROM
TORT
LIABILITY
The
Offeror
represents
that:
[
]
it
is,
[
]
it
is
not
a
State
agency
or
charitable
institution,
and
that
[
]
it
is
not
immune,
[
]
it
is
partially
immune,
[
]
it
is
totally
immune
from
tort
liability
to
third
persons.
K.5
AGREEMENT
ON,
OR
EXCEPTIONS
TO,
TERMS
AND
CONDITIONS
The
Offeror
has
reviewed
the
solicitation
(Sections
B
through
J
of
which
will
become
the
contract)
and
[
]
agrees
to
the
terms
and
conditions
set
forth
therein;
or
The
USAID/Kenya
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
(AHADI)
Project
Page
107
of
159
Solicitation # SOL-615-13-000012
[ ] has the following exceptions (continue on a separate attachment page, if necessary): __________________________________________________________ __________________________________________________________ __________________________________________________________ __________________________________________________________ K.6 SIGNATURE By signature hereon, or on an offer incorporating these Representations, Certifications, and Other Statements of Offerors, the Offeror certifies that they are accurate, current, and complete, and that the Offeror is aware of the penalty prescribed in 18 U.S.C. 1001 for making false statements in offers. Solicitation No. __________________________________________________ Offer/Proposal No. _______________________________________________ DUNS No. _______________________________________________________ Date of Offer ____________________________________________________ Name of Offeror__________________________________________________ Typed Authorized Officials Name____________________________________ Typed Authorized Officials Title_____________________________________ Signature____________________________ Date_______________________ END OF SECTION K
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Solicitation
#
SOL-615-13-000012
SECTION L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE The following Provisions and/or Contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this RFP. See FAR 52.252-2 for an internet address (if specified) for electronic access to the full text of a clause. NUMBER TITLE DATE 52.204-6 DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (DEC 2012) 52.204-7 CENTRAL CONTRACTOR REGISTRATION (APR 2008) 52.209-7 INFORMATION REGARDING RESPONSIBILITY MATTERS (FEB 2012) 52.214-34 SUBMISSION OF OFFERS IN THE ENGLISH LANGUAGE (APR 1991) 52.215-22 LIMITATIONS ON PASS-THROUGH CHARGES IDENTIFICATION OF SUBCONTRACT EFFORT (OCT 2009) 52.219-24 SMALL DISADVANTAGED BUSINESS PARTICIPATION PROGRAMTARGETS (OCT 2000) 52.222-24 PREAWARD ON-SITE EQUAL OPPORTUNITY COMPLIANCE EVALUATION (FEB 1999) 52.222-46 EVALUATION OF COMPENSATION FOR PROFESSIONAL EMPLOYEES (FEB 1993) L.2 52.215-1 INSTRUCTIONS TO OFFERORS-COMPETITIVE ACQUISITION (JAN 2004)
(a)
Definitions.
As
used
in
this
provision
Discussions
are
negotiations
that
occur
after
establishment
of
the
competitive
range
that
may,
at
the
contracting
officers
discretion,
result
in
the
Offeror
being
allowed
to
revise
its
proposal
In
writing,
writing,
or
written
means
any
worded
or
numbered
expression
that
can
be
read,
reproduced,
and
later
communicated,
and
includes
electronically
transmitted
and
stored
information.
Proposal
modification
is
a
change
made
to
a
proposal
before
the
solicitations
closing
date
and
time,
or
made
in
response
to
an
amendment,
or
made
to
correct
a
mistake
at
any
time
before
award.
Proposal
revision
is
a
change
to
a
proposal
made
after
the
solicitation
closing
date,
at
the
request
of
or
as
allowed
by
a
contracting
officer
as
the
result
of
negotiations.
Time,
if
stated
as
a
number
of
days,
is
calculated
using
calendar
days,
unless
otherwise
specified,
and
will
include
Saturdays,
Sundays,
and
legal
holidays.
However,
if
the
last
day
falls
on
a
Saturday,
Sunday,
or
legal
holiday,
then
the
period
shall
include
the
next
working
day.
(b)
Amendments
to
solicitations
If
this
solicitation
is
amended,
all
terms
and
conditions
that
are
not
amended
remain
unchanged.
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Offerors shall acknowledge receipt of any amendment to this solicitation by the date and time specified in the amendment(s). (c) Submission, modification, revision, and withdrawal of proposals (1) Unless other methods (e.g., electronic commerce or facsimile) are permitted in the solicitation, proposals and modifications to proposals shall be submitted via email (i) addressed to the office specified in the solicitation, and (ii) showing the time and date specified for receipt, the solicitation number, and the name and address of the Offeror. Paper media submission is not allowed. (2) The first page of the proposal must show (i) The solicitation number; (ii) The name, address, and telephone and facsimile numbers of the Offeror (and electronic address if available); (iii) A statement specifying the extent of agreement with all terms, conditions, and provisions included in the solicitation and agreement to furnish any or all items upon which prices are offered at the price set opposite each item; (iv) Names, titles, and telephone and facsimile numbers (and electronic addresses if available) of persons authorized to negotiate on the Offerors behalf with the Government in connection with this solicitation; (v) Name, title, and signature of person authorized to sign the proposal. Proposals signed by an agent shall be accompanied by evidence of that agents authority, unless that evidence has been previously furnished to the issuing office. (3) Submission, modification, revision, and withdrawal of proposals. (i) Offerors are responsible for submitting proposals, and any modifications or revisions, so as to reach the Government office designated in the solicitation by the time specified in the solicitation. If no time is specified in the solicitation, the time for receipt is 05:00 p.m., local time, for the designated Government office on the date that proposal or revision is due. (ii) (A) Any proposal, modification, or revision received at the Government office designated in the solicitation after the exact time specified for receipt of offers is late and will not be considered unless it is received before award is made, the contracting officer determines that accepting the late offer would not unduly delay the acquisition; and (1) If it was transmitted through an electronic commerce method authorized by the solicitation, it was received at the initial point of entry to the Government infrastructure not later than 5:00 p.m. one working day prior to the date specified for receipt of proposals; or (2) There is acceptable evidence to establish that it was received at the Government installation designated for receipt of offers and was under the Governments control prior to the time set for receipt of offers; or (3) It is the only proposal received.
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(B) However, a late modification of an otherwise successful proposal that makes its terms more favorable to the Government, will be considered at any time it is received and may be accepted. (iii) Acceptable evidence to establish the time of receipt at the Government installation includes the time/date stamp of that installation on the proposal wrapper, other documentary evidence of receipt maintained by the installation, or oral testimony or statements of Government personnel. (iv) If an emergency or unanticipated event interrupts normal Government processes so that proposals cannot be received at the office designated for receipt of proposals by the exact time specified in the solicitation, and urgent Government requirements preclude amendment of the solicitation, the time specified for receipt of proposals will be deemed to be extended to the same time of day specified in the solicitation on the first work day on which normal Government processes resume. (v) Proposals may be withdrawn by written notice received at any time before award. Oral proposals in response to oral solicitations may be withdrawn orally. If the solicitation authorizes facsimile proposals, proposals may be withdrawn via facsimile received at any time before award, subject to the conditions specified in the provision at 52.215-5, Facsimile Proposals. Proposals may be withdrawn in person by an Offeror or an authorized representative, if the identity of the person requesting withdrawal is established and the person signs a receipt for the proposal before award. (4) Unless otherwise specified in the solicitation, the Offeror may propose to provide any item or combination of items. (5) Offerors shall submit proposals in response to this solicitation in English, unless otherwise permitted by the solicitation, and in U.S. dollars, unless the provision at FAR 52.225-17, Evaluation of Foreign Currency Offers, is included in the solicitation. (6) Offerors may submit modifications to their proposals at any time before the solicitation closing date and time, and may submit modifications in response to an amendment, or to correct a mistake at any time before award. (7) Offerors may submit revised proposals only if requested or allowed by the contracting officer. (8) Proposals may be withdrawn at any time before award. Withdrawals are effective upon receipt of notice by the contracting officer. (d) Offer expiration date. Proposals in response to this solicitation will be valid for the 6 months specified on the solicitation coversheet (unless a longer period is proposed by the Offeror). (e) Restriction on disclosure and use of data. Offerors that include in their proposals data that they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall (1) Mark the title page with the following legend: This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosedin whole or in partfor any purpose other than to evaluate this proposal. If, however, a contract is awarded to this Offeror as a result ofor in connection withthe submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction
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does
not
limit
the
Government's
right
to
use
information
contained
in
this
data
if
it
is
obtained
from
another
source
without
restriction.
The
data
subject
to
this
restriction
are
contained
in
sheets
[insert
numbers
or
other
identification
of
sheets];
and
(2)
Mark
each
sheet
of
data
it
wishes
to
restrict
with
the
following
legend:
Use
or
disclosure
of
data
contained
on
this
sheet
is
subject
to
the
restriction
on
the
title
page
of
this
proposal.
(f)
Contract
Award
(1)
The
Government
intends
to
award
a
contract
or
contracts
resulting
from
this
solicitation
to
the
responsible
Offeror
whose
proposal
is
most
advantageous
in
accordance
with
Section
M,
Evaluation
Factors
for
Award.
(2)
The
Government
may
reject
any
or
all
proposals
if
such
action
is
in
the
Governments
interest.
(3)
The
Government
may
waive
informalities
and
minor
irregularities
in
proposals
received.
(4)
The
Government
intends
to
evaluate
proposals
and
award
a
contract
without
discussions
with
Offerors
(except
clarifications
as
described
in
FAR
15.306(a)).
Therefore,
the
Offerors
initial
proposal
should
contain
the
Offerors
best
terms
from
a
cost
or
price
and
technical
standpoint.
The
Government
reserves
the
right
to
conduct
discussions
if
the
contracting
officer
later
determines
them
to
be
necessary.
If
the
contracting
officer
determines
that
the
number
of
proposals
that
would
otherwise
be
in
the
competitive
range
exceeds
the
number
at
which
an
efficient
competition
can
be
conducted,
the
contracting
officer
may
limit
the
number
of
proposals
in
the
competitive
range
to
the
greatest
number
that
will
permit
an
efficient
competition
among
the
most
highly
rated
proposals.
(5)
The
Government
reserves
the
right
to
make
an
award
on
any
item
for
a
quantity
less
than
the
quantity
offered,
at
the
unit
cost
or
prices
offered,
unless
the
Offeror
specifies
otherwise
in
the
proposal.
(6)
The
Government
reserves
the
right
to
make
multiple
awards
if,
after
considering
the
additional
administrative
costs,
it
is
in
the
Governments
best
interest
to
do
so.
(7)
Exchanges
with
Offerors
after
receipt
of
a
proposal
do
not
constitute
a
rejection
or
counteroffer
by
the
Government.
(8)
The
Government
may
determine
that
a
proposal
is
unacceptable
if
the
prices
proposed
are
materially
unbalanced
between
line
items
or
subline
items.
Unbalanced
pricing
exists
when,
despite
an
acceptable
total
evaluated
price,
the
price
of
one
or
more
contract
line
items
is
significantly
overstated
or
understated
as
indicated
by
the
application
of
cost
or
price
analysis
techniques.
A
proposal
may
be
rejected
if
the
contracting
officer
determines
that
the
lack
of
balance
poses
an
unacceptable
risk
to
the
Government.
(9)
If
a
cost
realism
analysis
is
performed,
cost
realism
may
be
considered
by
the
source
selection
authority
in
evaluating
performance
or
schedule
risk.
(10)
A
written
award
or
acceptance
of
proposal
mailed
or
otherwise
furnished
to
the
successful
Offeror
within
the
time
specified
in
the
proposal
shall
result
in
a
binding
contract
without
further
action
by
either
party.
(11)
If
a
post-award
debriefing
is
given
to
requesting
Offerors,
the
Government
shall
disclose
the
following
information,
if
applicable:
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(i) The agencys evaluation of the significant weak or deficient factors in the debriefed Offerors offer. (ii) The overall evaluated cost or price and technical rating of the successful and the debriefed Offeror and past performance information on the debriefed Offeror. (iii) The overall ranking of all Offerors, when any ranking was developed by the agency during source selection. (iv) A summary of the rationale for award. (v) For acquisitions of commercial items, the make and model of the item to be delivered by the successful Offeror. (vi) Reasonable responses to relevant questions posed by the debriefed Offeror as to whether source-selection procedures set forth in the solicitation, applicable regulations, and other applicable authorities were followed by the agency. L.3 52.233-2 SERVICE OF PROTEST (SEP 2006)
(a) Protests, as defined in section 33.101 of the Federal Acquisition Regulation, that are filed directly with an agency, and copies of any protests that are filed with the Government Accountability Office (GAO), shall be served on the Contracting Officer by obtaining written and dated acknowledgment of receipt from: Mr. Sunil Xavier Contracting Officer Email: sxavier@usaid.gov USAID/East Africa Regional Acquisition and Assistance Office P.O. Box 629, Village Market 00621 Nairobi, Kenya Fax Number: U.S. 202-716-3055 A copy of any protest shall also be provided to William Buckhold at Fax Number: 202-216-3058. (b) The copy of any protest shall be received in the office designated above within one day of filing a protest with the GAO. L.4 GOVERNMENT OBLIGATION
Issuance of this solicitation does not constitute a commitment on the part of the U.S. Government to make an award nor does it commit the U.S. Government to pay for any costs incurred in the preparation and submission of a proposal. Further, the U.S. Government reserves the right to reject any or all proposals received. L.5 INSTRUCTIONS TO OFFERORS
(a)
RFP
Instructions:
If
an
Offeror
does
not
follow
the
instructions
set
forth
herein,
the
Offerors
proposal
may
be
eliminated
from
further
consideration
or
the
proposal
may
be
down-graded
and
not
receive
full
or
partial
credit
under
the
applicable
evaluation
criteria.
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(b)
Accurate
and
Complete
Information:
Offerors
must
set
forth
full,
accurate
and
complete
information
as
required
by
this
RFP.
The
penalty
for
making
false
statements
to
the
Government
is
prescribed
in
18
U.S.C.
1001.
(c)
Length
and
Format
of
Proposals
(1)
Technical
proposals
are
strictly
limited
to
no
more
than
40
pages
in
length
excluding
annexes.
They
must
be
written
in
English
and
be
readable.
Each
page
must
be
numbered
consecutively.
Those
pages
that
exceed
the
page
limitation
will
not
be
evaluated.
(2)
The
appendices
listed
below
should
be
annexed
to
the
proposal
and
do
not
count
against
the
40
page
limit:
(i)
Draft
work
plan
(ii)
Resumes
and
completed
SF
1420-17s
of
key
personnel
with
three
references.
Full
contact
information
to
be
provided
for
each
reference:
name,
position,
relationship,
e-mail
address,
mobile
and
telephone
numbers.
Resumes
shall
be
an
annex
to
the
Technical
Proposal,
whereas
SF
1420-17s
shall
be
part
of
Cost
proposal.
(iii)
Resumes
and
completed
SF
1420-17s
of
other
proposed
long-term
personnel.
Resumes
shall
be
an
annex
to
the
Technical
Proposal,
whereas
SF
1420-
17s
shall
be
part
of
Cost
proposal.
(iv)
Signed
letters
of
commitment
from
key
and
other
long-term
personnel
(includes
availability,
intention
to
serve
stated
term,
agreement
to
compensation
level
set
forth
in
proposal
and
prior
work
experience
with
Offeror
[if
applicable]).
(v)
Organizational
chart
(vi)
Subcontractors
information
(Maximum
of
1
page
per
subcontractor).
(vii)Proposed
subcontractors
signed
letters
of
commitment
(on
their
letterheads)
as
part
of
your
Technical
Proposal.
(viii)
Performance
Monitoring
Plan
as
part
of
Technical
Proposal.
(ix)
Initial
Branding
Implementation
Plan
(BIP)
and
a
Marking
Plan
(MP).
(x)
Past
performance
details
as
described
in
this
Section.
(3)
Unnecessarily
elaborate
brochures
or
other
presentations
beyond
those
sufficient
to
present
a
complete
and
effective
proposal
in
response
to
this
RFP
are
not
desired
and
may
be
construed
as
an
indication
of
the
Offerors
lack
of
cost
consciousness.
Elaborate
art
work,
expensive
paper
and
bindings,
and
expensive
visual
or
other
presentation
aids
are
neither
necessary
nor
wanted.
(4)
Alternate
Proposals:
Alternate
proposals
will
not
be
accepted.
(5)
Submission
of
Proposals:
Offerors
are
to
submit
via
email.
Technical
and
cost
proposals
must
be
kept
separate.
The
electronic
version
of
proposals
must
be
sent
by
internet
email,
with
attachments
compatible
with
Adobe
Acrobat
(PDF)
and
Excel
MS
Office
2010
in
an
MS
Windows
environment
to
the
following
address:
csigner@usaid.gov,
and
jkibabu@usaid.gov.
Each
email
must
not
exceed
5mb
in
size
and
all
files
are
to
be
in
PDF
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except for cost spreadsheets which are to be provided as Excel files with cell formulas intact. All emails containing proposal files should, in the address line, state SOL-615-13-000012 Technical or Cost Proposal, email no. X. Email is the only method for submitting proposals. An email submission received before the submission deadline by either contact listed above will be considered received. Zip files are not permitted. Offerors must take into account the expected delivery time required by their preferred proposal transmission and are responsible for ensuring that their proposals are received at USAID by the due date and time. Offerors are encouraged to obtain confirmations of receipt of their proposals. USAID will not be held responsible for lost proposals. Offerors should retain one copy of their complete proposal for their records. L.6 INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL PROPOSAL
The Statement of Work (SOW), included in Section C of this RFP provides USAIDs overall objectives (along with illustrative activities), and the Offerors minimum requirements to achieve those objectives. The Offeror shall ensure all aspects of the SOW are addressed, along with any other requirements detailed in other sectors of the RFP. The Technical Proposal in response to this solicitation should address how the Offeror intends to carry-out the Statement of Work contained in Section C. The technical proposal shall be specific, complete, presented concisely, and responsive to the instructions contained herein. It should clearly demonstrate how the proposed approach will meet the goals and objectives of the program, and fulfill the Contractors program implementation responsibilities. The technical proposal will be organized by the technical evaluation criteria listed in Section M as clarified further below. EXECUTIVE SUMMARY One page maximum, followed by the sections below as detailed in Section M.2. The Executive Summary does count towards the 40-page limit. 1) TECHNICAL APPROACH The technical approach in response to this solicitation must address how the Offeror intends to achieve the objectives in the Statement of Work contained in Section C. The technical proposal shall be specific, complete and organized by the objectives and tasks listed in Section C. The technical approach shall reflect a clear understanding of the scope and significance of the project. Taking into consideration the evaluation criteria, the Offerors proposal must describe the proposed approach and methodology for achieving the project objectives in a sustainable and innovative manner. USAID is interested in more than a simple identification of problems restating the priority areas identified in this solicitation. Offerors must demonstrate a clear understanding of the local context in which this project is being implemented, and propose innovative strategies and specific tactics that will have the greatest chance of success. The approach must demonstrate clearly that the Offeror understands, and is prepared to deal with, the prevalent challenges, constraints, and risks in each proposed activity. The Offeror shall focus especially on its plan for engaging and building the capacity of local organizations (CSOs, Counties, and other bodies) supported by the project. This shall include the following 5 considerations:
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(1) Partner
Engagement,
Planning,
Monitoring:
How
shall
the
Offeror
select
organizations,
accurately
assess
their
needs,
develop
a
detailed
and
collaborative
plan
for
enhancing
capacity,
set
milestones
for
organizational
development,
provide
incentives
for
meeting
those
milestones,
measure
progress
over
time,
and
ensure
that
targets
are
met?
(2) Tools
and
Methodologies:
What
tools
and
methodologies
shall
the
Offeror
use
for
capacity
building?
Though
training
is
an
important
aspect
of
any
such
effort,
Offerors
are
encouraged
to
propose
creative
capacity-building
methodologies
that
go
beyond
traditional
one-off
trainings.
(3) Subgrants/Support:
How
shall
the
projects
system
for
funding
local
organizations
be
designed
and
managed?
As
funding
for
local
institutions
shall
be
a
key
aspect
of
the
project,
the
Offeroror
shall
describe
in
detail
how
it
shall
develop
a
rigorous,
but
nonetheless
nimble
and
responsive
system
that
shall
enable
AHADI
to
rapidly
fund
a
large
number
of
diverse
organizations.
(4) Low
Capacity
Areas:
What
shall
be
the
projects
strategy
when
faced
with
County
institutional
systems
that
dont
already
have
local
entities
to
partner
with?
In
high
institution-deficit
Counties,
new
organizations
might
need
to
be
fostered
and
catalyzed,
and
the
Offeror
is
expected
to
describe
in
detail
how
it
shall
incubate
new
organizations
or
networks
in
areas
that
have
little
to
no
governance
infrastructure.
(5) Sustainability:
How
shall
the
project
enhance
the
sustainability
of
partnering
institutions
and
help
them
to
diversify
funding
and
break
the
cycle
of
donor
dependency?
Item
a)
in
the
above
list
will
require
special
focus
with
regards
to
Counties.
The
Offeror
shall
further
detail
how
it
plans
to
formally
engage
and
partner
with
County
governments,
and
to
adapt
that
engagement
to
match
political
will
and
stakeholder
interest.
For
example,
in
Counties
with
a
strong
executive,
the
Offeror
will
likely
work
very
closely
with
the
Governor;
while
in
Counties
with
an
executive
less
interested
in
citizen
engagement,
the
project
would
be
served
by
focusing
more
on
building
up
the
County
Assembly
as
a
countervailing
force
for
accountable
leadership.
In
Counties
where
no
political
will
exists
among
senior
leadership,
working
with
civil
servants
and/or
civil
society
will
offer
an
alternative
that
could
achieve
significant
results.
It
is
likely
that
the
project
will
work
with
all
of
these
groups
to
some
extent
in
every
County,
but
as
the
perceived
commitment
of
leaders
and
stakeholders
changes
over
time,
the
Offeror
shall
describe
its
plans
for
periodically
assessing
and
adjust
each
County
engagement
strategy
for
maximum
effect.
2)
KEY
PERSONNEL
AND
STAFFING
Considerable
leeway
and
creativity
is
allowed
to
Offerors
to
propose
management
staff,
technical
team,
and
support
staff
that
can
most
effectively
carry
out
the
project
within
the
available
budget.
Careful
consideration
should
be
given
to
the
Contract
requirements,
results
to
be
achieved
and
unique
aspects
associated
with
the
requirements
of
Section
C.
The
proposed
staff
should
have
sufficient
capacity
to
adequately
manage
a
large
project
with
a
substantial
budget
for
grants
under
contract.
The
staff
should
also
have
sufficient
local
government
and
civil
society
strengthening
experience.
In
addition,
the
staff
should
have
sufficient
technical
expertise
in
the
targeted
sectors
of
Food
Security,
Climate
Change,
Education
and
Youth,
though
this
expertise
need
not
be
in
the
form
of
a
full-time
position
devoted
to
each
sector
(full-time
staff
may
have
the
capacity
to
cover
more
than
one
sector,
or
consultants/part-time
short
term
technical
assistance
may
be
sufficient).
The
core
team
should
be
composed
of
long-term
US
and
Kenya
professionals
and
can
be
supplemented
by
local
and/or
international
short-term
consultants.
Greater
use
of
local
expertise
is
generally
preferred
where
feasible.
The
key
personnel
must
include,
at
a
minimum,
a
Chief
of
Party,
Deputy
Chief
of
Party,
Finance
Manager,
Grants
Manager,
and
Monitoring
and
Evaluation
Specialist.
Minimum
qualifications
must
be
provided
for
all
key
and
long-term
personnel
positions.
See
Section
F
for
minimal
qualifications
and
additional
information
pertaining
to
Key
and
Long-term
personnel.
The
Offeror
shall
identify
its
key
personnel
by
name,
and
shall
do
the
same
with
long-term
technical
personnel
whenever
possible.
The
Offeror
must
justify
why
each
person
designated
as
Key
Personnel
and
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Long-Term Personnel where chosen, making linkages to their strategic contribution to project results. Please refer to Section L.5 for further information detailing resume and letter of commitment requirements. 3) MANAGEMENT PLAN As part of its proposal, the Offeror must submit a detailed Management Plan for USAIDs review. Management Plans must, as a minimum, address the following (with further guidance on a number of these items detailed below the bulleted list): (a) Staffing/Office Structure: the structure that will best allow the Offeror to deliver its technical vision, and allow it to adequately cover targeted Counties and clusters. (b) Geographic Focus: The Offers proposed target counties and clusters as further elaborated in section C.3.4 and in the detailed paragraphs below. (c) Local Partnership Plan: The Offerors clear and detailed plan on how it will effectively transfer management responsibility and leadership to its local partner(s), as described above in section C.3.3 and in the detailed paragraphs below. (d) USAID/Kenya Partnership Plan: The Offers proposed process for close coordination with USAID/Kenya allowing it respond rapidly to technical advice, guidance and direction as described above in section C.3.1. (e) Coordination Plan: The Offerors plan for how it will integrate with other relevant efforts funded by the USG and other donors, as described above in section C.4. (f) Performance Management Plan: The Offerors monitoring, evaluation, reporting learning and adapting plan including proposed indicators and targets of sufficient quality and relevance to ensure that the project remains on track and adapts to changing donor activities, funding requirements, County government commitment, and other factors that will affect the operating environment of the project and require a flexible approach, as described in section C.3.2.. Further guidance is also described above in section C.7 (g) Program Modifier: Offeror shall outline in their technical proposal how they plan to rapidly mobilize if modifier is invoked Geographic Focus: As further described in Section C.3.4, the Offeror shall identify clusters of Counties for potential focus that have similar concerns achieving economies of scale in programming and facilitating opportunities for cross-County cooperation. One required cluster shall be the five Arid Counties targeted by the REGAL project: Turkana, Marsabit, Wajir, Isiolo and Garissa. The Offeror should be aware that as of the time of the drafting of this RFP, Garissa is a non-permissive area for travel and operations for entities under Chief of Mission Authority. Therefore, the Offeror shall articulate plans for obtaining waivers or otherwise implementing the project in this County. As the security situation in Kenya evolves, the Offeror shall continue to adapt the project to fit changing restrictions and security concerns. A second cluster could be the conflict-prone, marginalized and under-developed areas of the Coast, since devolved governance in those areas could either help address historic drivers of conflict, or further exacerbate them. Counties in this cluster could include Tana River, Lamu, Kilifi, Kwale, Taita Taveta, and Mombasa. The urban Counties of Nairobi, Mombasa, Kisumu, Machakos and Kiambu offer unique opportunities to affect large numbers of citizens, as well as to rapidly improve services, implement reforms, and learn replicable lessons due to existing municipal governance capacity. As another example, AHADI could also focus on Counties such as Lamu, Isiolo, Marsabit, Tana River and Samburu that are likely to receive much more funding per capita through the Commission on Revenue Allocation (CRA) formula relative to other Counties. Beyond the 5 Arid Counties identified, the above listing of Counties is not meant to indicate definitive geographic areas of focus. Should the Offeror wish to propose alternate target Counties beyond those illustratively listed above, these suggestions would be considered. The justification and rationale for the Offerors proposed areas of
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geographic
focus
shall
be
made
clear
in
its
response,
but
final
selection
of
target
counties
(and
any
changes
thereof
over
the
life
of
the
project)
will
require
USAID/Kenya
approval.
c)
Local
Partnership
Plan:
Though
USAID
anticipates
at
least
two
partners
(prime
and
local)
in
a
management
role
for
the
project,
it
is
open
to
creative
proposals
from
Offerors
for
alternate
arrangements
that
may
offer
more
effective
management
and
broader
sustainability.
For
example,
it
may
make
sense
to
build
up
a
cadre
of
local
partners
assigning
management
responsibilities
for
them
by
geography
(County
clusters),
by
function
(management
of
grants
under
contract,
financial
management,
technical
assistance,
etc.),
and/or
by
the
other
institutions
whose
capacity
they
focus
on
(government
vs.
civil
society).
The
Offeror
shall
lay
out
a
clear
plan
for
handling
relationships
with
partners
who
shall
take
on
additional
management
responsibility
over
time.
This
shall
include
plans
for
mentoring,
the
delineation
of
responsibility,
and
especially
the
transfer
of
responsibility.
This
transfer
will
likely
be
challenging,
and
USAID/Kenya
is
interested
in
creative
ideas
for
handling
this
important
aspect
of
the
project
(e.g.,
transferring
or
seconding
key
personnel
from
the
prime.)
In
its
proposal,
the
Offeror
shall
address:
How
shall
the
project
differentiate
between
its
plans
for
enhancing
the
capacity
of
organizations
whose
role
shall
be
primarily
sub-recipients
supported
to
conduct
advocacy,
and
those
that
shall
also
take
on
increased
management
responsibility
of
the
project
overall?
What
is
the
division
of
responsibility
who
shall
be
responsible
for
which
aspect
of
the
project
and
how
that
shall
change
over
time?
And
what
is
the
plan
for
a
smooth
transfer
of
responsibility?
How
shall
the
project
identify
which
local
organizations
are
able
to
take
on
additional
management
responsibilities,
and
work
with
them
to
develop
capacity
building
plans
and
incentives
that
help
them
achieve
that
goal?
How
shall
the
project
ensure
unity
and
complementarity
(e.g.,
aligning
compensation,
co-location)?
And
how
shall
the
project
ensure
healthy
competition
for
increased
funding
and
responsibility,
and
avoid
creating
negative
competitive
practices
in
which
partner
organizations
undermine
each
other?
How
shall
the
project
encourage
retention
of
trained
staff
to
maximize
sustainability
of
capacity
building
interventions
and
minimize
the
need
for
retraining?
4)
PAST
PERFORMANCE
(PRIME
AND
MAJOR
SUBCONTRACTORS)
Offerors
shall
include
a
concise
narrative
(part
of
the
maximum
page
count)
describing
their
and
any
major
subcontractors
relevant
past
performance,
successes,
and
how
lessons
learned
in
the
implementation
of
similar
projects.
If
the
Offeror
encountered
problems
on
any
of
the
referenced
projects,
a
short
explanation
and
the
corrective
action
taken
must
be
described.
Please
provide
the
following
information
as
Annex:
a)
The
Offerors
(including
all
partners
of
a
joint
venture)
must
provide
performance
information
for
itself
and
each
sub-Contractor
whose
total
estimated
cost
exceeds
5%
of
the
total
proposed
offer.
To
meet
this
requirement,
please
provide
the
following:
1.
Five
(5)
of
the
most
recent
and
relevant
contracts
for
efforts
similar
to
the
work
in
the
subject
proposal.
The
most
relevant
indicators
of
performance
are
contracts
of
similar
size,
type
of
work,
scope
of
work
and
complexity/diversity
of
tasks.
2.
Provide
for
each
of
these
contracts
a
list
of
contact
names,
job
titles,
mailing
address,
phone
numbers,
e-mail
address,
and
a
description
of
performance
to
include:
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o o o o o o Scope of Work or complexity/diversity of tasks, Primary location(s) of work, Term of performance, Skills/expertise required, Dollar value, and Contract type, i.e., fixed price, cost reimbursement, etc.
(USAID recommends that Offerors alert the contacts that their names have been submitted and that they are authorized to provide performance information concerning the listed contracts if and when USAID requests it.) b) If extraordinary problems impacted any of the referenced contracts, provide a short explanation and the corrective action taken. (Required by FAR 15.305(a)(2)) c) Describe any quality awards or certifications that indicate exceptional capacity to provide the service or product described in the statement of work. This information is not included in the page limitation. d) Performance in Using Small Business (SB) Concerns (as defined in FAR 19.001) This section (d) is not applicable to offers from small business concerns. As part of the evaluation of performance in Section M.3 of this solicitation, USAID will evaluate the extent you used and promoted the use of small business concerns under current and prior contracts. The evaluation will assess the extent small business concerns participated in these contracts relative to the size/value of the contracts, the complexity and variety of the work small business concerns performed, and compliance with your SB subcontracting plan or other similar small business incentive programs set out in your contract(s). In order for USAID to fully and fairly evaluate performance in this area, all Offerors who are not small business concerns must do the following: Provide a narrative summary of your organization's use of small business concerns over the past three years. Describe how you actually use small businesses-as subcontractors, as joint venture partners, through other teaming arrangements, etc. Explain the nature of the work small businesses performed--substantive technical professional services, administrative support, logistics support, etc. Describe the extent of your compliance with your SB subcontracting plan(s) or other similar SB incentive programs set out in your contract(s) and explain any mitigating circumstances if goals were not achieved. To supplement the narrative summary in (A) , provide a list of the recent ________________. Contracts for which you submitted subcontract reports to eSRS (FAR52.219-9(d)(10) and a copy of any similarly recent subcontracting reports if they were not submitted to eSRS. Provide the names and addresses of three SB concerns for us to contact for their assessment of your performance in using SB concerns. Provide a brief summary of the type of work each SB concern provided to your organization, and the name of a contact person, his/her title, phone number, and e-mail address for each.
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L.7
COST PROPOSALS
Offerors
will
submit
cost
proposals
which
will
be
reviewed
as
part
of
the
overall
evaluation
as
indicated
in
Section
M.
(a)
The
cost
proposal
must
be
submitted
under
separate
cover
from
the
technical
proposal.
While
there
is
no
page
limit,
Offerors
must
provide
the
necessary
detail
and
supporting
information
to
address
the
solicitation
requirement
and
to
allow
a
complete
analysis
of
each
line
item
cost.
Provide
workable
(Excel)
detailed
budget
(breakdown)
with
narratives
explaining
the
basis
for
the
estimate
for
each
category
of
cost
in
sufficient
detail
to
facilitate
determination
of
cost
reasonableness.
Certified
cost
or
pricing
data
is
not
required
for
this
proposal.
(b)
The
cost
proposal
has
two
parts:
(1)
the
completed
Standard
Form
(SF)
33,
and
(2)
the
proposed
costs/prices.
(1)
Offerors
must
submit
the
cover
page
[Standard
Form
(SF)33
Solicitation,
Offer
and
Award],
Section
A
of
this
Solicitation,
with
Blocks
12
through
18
completed,
with
the
original
signature
of
a
person
authorized
on
behalf
of
the
Offeror
to
sign
the
offer.
(2)
The
proposed
costs
consists
of
the
Offerors
estimated
price
to
perform
the
required
effort
as
set
forth
in
the
Statement
of
Work
and
must
be
prepared
in
a
manner
that
is
current,
accurate
and
complete.
The
cost
proposal
for
the
five-year
period
must
be
presented
in
the
following
manner:
(i)
As
a
summary
budget
with
1)
totals
for
overall
expected
expenditures
for
each
of
the
three
program
objectives
described
in
Section
C,
as
well
as
2)
the
budget
line
items
below,
and
(ii)
The
detailed
budget
provided
through
the
use
of
spreadsheets,
budget
narratives
and
footnotes.
(c)
The
detailed
budget,
at
a
minimum,
must
include
the
following:
(1)
Direct
Labor
Salaries
&
Wages:
FAR
31.205-6,
AIDAR
732.205-46
and
AIDAR
752.7007
provides
for
compensation
for
personal
services.
Direct
labor
salary
and
wages
should
be
proposed
in
accordance
with
the
Offerors
personnel
policies
and
must
meet
the
regulatory
requirements.
Costs
of
long-term
and
short-term
personnel
should
be
broken
down
by
person
years,
months,
days
or
hours.
A
detailed
Level
of
Effort
(LOE)
estimate
with
a
separate
line
item
for
each
proposed
individual
identifying
each
individual
by
name
and
title
as
well
as
a
consolidated
LOE
chart,
including
subcontractors
LOE,
must
be
provided.
A
copy
of
this
chart
should
be
presented
as
an
annex
to
the
technical
proposal.
Completed
biographical
data
sheets,
Form
AID
1420-17
(see
Attachment
J.4),
must
be
provided
for
all
Key
and
Long-term
personnel.
Minimum
qualifications
of
key
personnel
(See
Section
F)
must
be
provided.
Bio-data
forms
must
be
properly
completed,
certified
and
signed
by
both
employee
and
Contractor
in
the
appropriate
spaces
with
all
blocks
completed,
as
appropriate.
Salaries
of
TCN
and
CCN
personnel
must
be
reflected
on
the
bio-data
form
in
U.S.
dollar
and
Offerors
will
state
the
exchange
rate
used
if
the
proposed
personnel
salary
histories
include
salaries
in
currency
other
than
U.S.
dollar.
Labor
cost
for
TCNs
and
CCNs
shall
not
exceed
the
thresholds
in
the
US
Embassys
local
employee
compensation
plan
(LCP).
Offerors
are
to
state
the
FSN
grade
equivalent
for
all
TCN
and
CCN
positions
using
the
guide
in
Attachment
J-2.
The
intent
for
requesting
the
FSN
grade
equivalent
for
proposed
positions
is
to
gain
an
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understanding of the skills proposed. It is understood that the project may require levels of expertise beyond the FSN grades, but for equivalent positions, the FSN grade is considered a reasonable tool for measuring cost reasonableness. Proposed annual salary escalation (see Section I) must be provided. A certification that the proposed personnel were not suggested or requested by USAID must be included in the cost proposal. (2) Fringe Benefits: FAR 31.205-6 provides for allowances and services provided by the Contractor to its employees as compensation in addition to regular wages and salaries. If fringe benefits are provided for as part of a firms indirect cost rate structure, see FAR 42.700. If not part of an indirect cost rate, a detailed cost breakdown by benefits types should be provided. (3) Consultants: FAR 31.205-33 provides for services rendered by persons who are members of a particular profession or possess a special skill and who are not officers or employees of the Contractor. Costs of consultants should be broken down by person years, months, days or hours. (4) Travel, Transportation, and Per diem: FAR 31.205-46, AIDAR 731.205-46 and AIDAR 752-7032 provide for costs for transportation, lodging, meals and incidental expenses. Costs should be broken down by the number of trips, domestic and international, cost per trip, per diem and other related travel costs. Specify the origin and destination, purpose for each proposed trip, duration of travel, and number of individuals traveling. In addition, Offeror shall provide a consolidated travel chart (including subcontractor travel). Per diem should be based on the Offeror's normal travel policies or may choose to refer to the Federal Standardized Travel Regulations for cost estimates. (5) Equipment and Supplies: FAR 2.101 provides for supplies as all property except land or interest in land, FAR 31.205-26 provides for material costs, and FAR 45 prescribes policies and procedures for providing Government property to contractors, contractors use and management of Government property, and reporting, redistributing, and disposing of Contractor inventory. Costs should be broken down by types and units, and include an analysis that it is more advantageous to purchase than lease. PLEASE NOTE: Government Furnished Property will be provided. Offerors shall review the list in Attachment J.12 and consider these items when developing costs for equipment and supplies. (6) Subcontracts: FAR 44.101 provides for any contract entered into by a subcontractor to furnish supplies or services for performance of a prime contract or a subcontract. Information sufficient to determine the reasonableness of the cost of each specific subcontract and consultant expected to be hired must be included. Similar information should be provided for all consultants provided under the category for personnel. Provide the subcontracting plan using SF-294 if not registered in eSRS (please inform of such). All costs for local organizations and local personnel MUST be denominated in local currency. A US$ equivalent column should be included. State the exchange rate used. All costs for local organizations must be budgeted as direct costs. NOTE: Individual subcontractors proposed as part of the offer should include the same cost element break-downs in their budget as the primes, as applicable. (7) Grants: This line item will be for all costs for the actual grant facility which includes, but is not limited to actual grants awarded, cost of advertising grant solicitations, pre-application conferences, pre-award surveys, grantees training and capability strengthening, annual audits, program reviews, etc. A minimum of $15,000,000 of project
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funding shall be allocated over the five-year program for the Grants under Contract program (with even higher amounts encouraged). (8) Allowances: AIDAR 752.7028 provides for differentials and allowances with further references to Standardized Regulations. Allowances must be broken down by specific type and by person, and must be in accordance with Offerors policies and these regulations. (9) Participant training: AIDAR 752.7019 and ADS 253 provides for participant training and training in development. Costs are to be broken down by types and participants. Training cost per participant must be provided. (10) Other training and conferences for other than participant training: Provide number of training sessions, length and number of participants. Include training cost per participant and provide name for each training. If seminars and conferences are included, the Offeror 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. (11) Program Modifier: The Program Modifer CLIN described in section C.5.4 should be budgeted using a plug-in figure of $5,000,000. (12) Other direct costs: FAR 31.202 provides for the allowability of direct costs. Costs should be broken down by types and units. 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 types of costs. This can also include report preparation costs, passports and visas fees, medical exams and inoculations, insurance (other than insurance included in the Offeror's fringe benefits), as well as any other miscellaneous costs, which directly benefit the program proposed by the Offeror. The narrative should provide a breakdown and support for all other direct costs. Costs of Branding and Marking (ADS 320.3.6.3) must be included under this line item. These costs are eligible for financing if reasonable, allocable, and allowable in accordance with the applicable cost principles. (13) Indirect costs (overhead, G&A, material & handling): FAR 31.203 and FAR 42.700 provides for those remaining costs (indirect) that are to be allocated to intermediate or two or more final cost objectives. Indirect costs and bases as provided for in an Offerors indirect cost rate agreement with the Government or if approved rates have not been previously established with the Government, a breakdown of bases, pools, method of determining the rates and description of costs. The Offeror and each proposed subcontractor will include a complete copy of its most current Negotiated Cost Rate Agreement (NICRA) or other documentation from your cognizant U.S. Government audit agency, if any, stating the most recent final indirect cost rates. The proposal must include the name and address of the Government Audit Agency, and the name and telephone number of the auditor. Indirect cost ceiling rates must be included in cost proposal. If the Offeror does not have a NICRA or a cognizant Government Audit Agency, the proposal shall include: o Financial statements, balance sheets and profit and loss statements, for the last two complete years, and the current year-to-date financial statements (or such lesser period of time if the Offeror is a newly-formed organization), must be included in the proposal. The profit and loss statements should include detail of the total cost of goods and services sold, including a listing of the various indirect administrative costs, and be supplemented by information on the prime Contractors customary indirect cost allocation method, together with supporting computations of the basis for the indirect cost rate(s) proposed; and
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Detailed indirect cost rate calculations for the most recent two fiscal years that include the major cost elements in both the pool of expenses and base of application. The rate calculations must be supported by the applicable financial statements.
(14) Total Fixed fee (if any): FAR 15.404-4 provides for establishing the profit or fee portion of the Government pre-negotiation objective, and provides profit-analysis factors for analyzing profit or fee. Propose fee with rationale supported by application of the profit-analysis factors. It is not expected that fee will be applied to other than direct costs for sub-awards (i.e., not profit or indirect costs). (d) Cost Proposal Format Please refer to the budget template under ATTACHMENT J.1 BUDGET TEMPLATE for the cost proposal format. (e) The Cost Proposal will also include the following: (1) A compensation plan for project professional and administrative staff for Contracting Officer approval. (2) The procurement plan for equipment to be purchased under the Contract. The Offeror should include a detailed procurement plan containing explicit information on how procurements will be accomplished. 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. PLEASE NOTE: Government Furnished Property will be provided. Offerors shall review the list in Attachment J.12 and consider these items when developing costs for equipment and supplies. (3) A statement that the Offeror has registered in SAM - System for Award Management (https://www.sam.gov/). A successful registration in SAM means the Offeror has obtained a DUNS number, has registered in CCR (Central Contractor Registration) and has secured an NCAGE number to successfully complete the Online Representation & Certifications Application (ORCA). (4) Sufficient evidence of responsibility for the contracting officer to make an affirmative determination of responsibility pursuant to the requirements of FAR 9.104-1. If the Offeror fails to submit sufficient evidence for the contracting officer to make an affirmative determination of responsibility, then the contracting officer may make a determination of non-responsibility and be precluded from awarding a contract to that Offeror. However, in the case of a small business Offeror, the contracting officer will comply with FAR 19.6. Accordingly, prime Offerors should seriously address each element of responsibility. To be determined responsible, a prospective Contractor must: (i) Have adequate financial resources to perform the contract, or the ability to obtain them (see FAR 9.104-3(a)); (ii) Be able to comply with the required or proposed delivery or performance schedule, taking into consideration all existing commercial and governmental commitments; (iii) Have a satisfactory performance record (See FAR 9.104-3(b) and Subpart 42.15). A prospective Contractor shall not be determined responsible or non-responsible solely on the basis of a lack of relevant performance history, except as provided in FAR 9.104-2; (iv) Have a satisfactory record of integrity and business ethics; (v) Have the necessary organization, experience, accounting and operational controls, and technical skills, or the ability to obtain them (including, as appropriate, such elements as production control procedures, property control
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systems, quality assurance measures, and safety programs applicable to materials to be produced or services to be performed by the prospective Contractor and subcontractors). (See FAR 9.104-3(a)); (vi) Have the necessary production, construction, and technical equipment and facilities, or the ability to obtain them (See FAR 9.104-3(a)); and (vii) Be otherwise qualified and eligible to receive an award under applicable laws and regulations (See also inverted domestic corporation prohibition at FAR 9.108). (5) If the Offeror has no prior Federal contracting experience, a copy of its personnel policies, especially regarding salary and wage scales, fringe benefits, merit increases, promotions, leave, differentials, travel and per diem regulations, etc. These documents will allow the Contracting Officer to determine if a Pre-Award Survey is necessary to determine responsibility. (See FAR 9.106). (6) The information set forth below shall be provided for each subcontractor, if any, proposed. A separate sheet shall separate each element of subcontractor information, as well as each subcontractor. Each page shall have the subcontractors name clearly marked. (i) A letter, on subcontractor letterhead, and signed by an authorized representative of each subcontractor, which specifically indicates the subcontractor's agreement to be included in the Offeror's proposed teaming arrangement. (ii) The Offeror must address each of the elements in FAR 44.202-2 in order for proposed subcontractor(s) to be considered by the contracting officer for consent of subcontractor(s) to be granted with the award. (iii) A discussion and arrangement on type(s) of subcontract(s) to be used, and approximate percentage of each type of work to be subcontracted. (iv) The Offeror and each proposed major subcontractor shall indicate the number of hours and days in its normal work-day and its normal work-week, both domestically and overseas, for employees and consultants. In addition, the Offeror and each proposed major Subcontractor shall indicate how paid absences (US holidays, local holidays, vacation and sick) shall be covered. (v) A normal work-year, including paid absences (holidays, vacations, and sick leave) is 2,080 hours (260 days x 8 hours per day). However, some organizations do not have an 8-hour workday, and some accounting systems normally provide for direct recovery of paid absences by using a work-year of less than 2,080 hours to compute individuals' unburdened daily rates. Accordingly, the Offeror and major subcontractors shall describe their work day and work week policies. (7) A detailed budget narrative in support of all the budget items. L.9 OFFER VALIDITY
Offerors proposals shall be valid for 6 months from date of receipt (unless a longer period is proposed by the Offeror). L.10 INSTRUCTIONS FOR THE PREPARATION OF BRANDING IMPLEMENTATION AND MARKING PLANS
As part of USAIDs branding initiative and to ensure that implementing partners communicate that the assistance is from the American People, the New Marking and Branding Policy Requirements for USAID direct acquisitions were
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issued
on
January
08,
2007
per
the
revised
ADS
320
Branding
and
Marking
that
can
be
found
at:
http://www.usaid.gov/branding/ADS
320.pdf.
In
accordance
with
ADS
320,
Branding
and
Marking,
Offerors
will
submit
an
initial
Branding
Implementation
Plan
(BIP)
and
a
Marking
Plan
(MP)
based
on
the
Agile
and
Harmonized
Devolved
Institutions
(AHADI)
Project
Branding
Strategy
found
in
Section
D
of
this
RFP.
These
will
be
submitted
as
a
separate
annex
to
the
Technical
Proposal.
These
will
be
evaluated
for
sufficiency
but
will
not
be
scored.
The
detailed
Branding
Implementation
and
Marking
plans
will
be
submitted
for
final
review
in
the
competitive
range
or
before
award.
(a)
Branding
Implementation
Plan
(BIP)
The
Offeror
will
develop
a
BIP
that
describes
how
the
program
will
be
communicated
to
the
beneficiaries
and
promoted
to
host-country
citizens.
It
outlines
the
events
(press
conferences,
site
visits,
etc.)
and
materials
(success
stores,
public
service
announcements
etc.)
the
Contractor
will
organize
and
produce
to
assist
USAID
deliver
the
message
that
the
assistance
is
from
the
American
people.
The
BIP
(see
ADS
320.3.2.2)
should
specifically
address
the
following:
(1)
How
to
incorporate
the
message,
This
assistance
is
from
the
American
people,
in
communications
and
materials
directed
to
beneficiaries,
or
provide
an
explanation
if
this
message
is
not
appropriate
or
possible.
(2)
How
to
publicize
the
program,
project,
or
activity
in
the
host-country
and
a
description
of
the
communications
tools
to
be
used.
Such
tools
may
include
the
following:
o Press
releases,
o Press
conferences,
o Media
interviews,
o Site
visits,
o VIP
visits,
o Success
stories,
o Beneficiary
testimonials,
o Professional
photography,
o Public
Service
Announcements,
o Videos,
and
o Webcasts,
e-invitations,
or
other
e-mails
sent
to
group
lists,
such
as
participants
for
a
training
session,
blast
e-mails,
or
other
Internet
activities,
etc.
(c)
The
key
milestones
or
opportunities
anticipated
to
generate
awareness
that
the
program,
project,
or
activity
is
from
the
American
people,
or
an
explanation
if
this
is
not
appropriate
or
possible.
Such
milestones
may
be
linked
to
specific
points
in
time,
such
as
the
beginning
or
end
of
a
program,
or
to
an
opportunity
to
showcase
publications
or
other
materials,
research
findings,
or
program
success.
These
include,
but
are
not
limited
to,
the
following:
o Launching
the
program;
o Announcing
research
findings;
o Publishing
reports
or
studies;
o Spotlighting
trends;
o Highlighting
success
stories;
o Featuring
beneficiaries
as
spokespeople;
o Showcasing
before-and-after
photographs;
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(b) Marking Plan (MP) The Offerors will develop a Marking Plan that enumerates the public communications, commodities, and program materials and other items that visibly bear or will be marked with USAID Identity (see ADS 320.3.2.3). USAIDs policy is that programs, projects, activities, public communications, or commodities implemented or delivered under contracts and subcontracts exclusively funded by USAID are marked exclusively with USAID Identity. Where applicable, a host-country symbol or ministry logo, or another U.S. Government logo may be added. Except for the manufacturers trademark on a commercial item, the corporate identities or logos of Contractors or subcontractors are not permitted on USAID-funded program materials and communications. Please refer to section 320.3.2.3 that describes what the Marking Plan must address and 320.3.2.4 Marking Requirements for Specific Contract Deliverables. Note that marking is not required for Contractors offices, vehicles, and non-deliverable items, such as office supplies used primarily for administration of USAID funded program (ADS 320.3.5). END OF SECTION L
o o o o
Marketing agricultural products or locally-produced crafts or goods; Securing endorsements from ministry or local organizations; Promoting final or interim reports; and Communicating program impact/overall results.
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1. The Government may award a Contract without discussions with Offerors in accordance with FAR 52.215-1. Therefore, Offerors are to submit their best technical and cost proposals with their initial submissions. However, the Government reserves the right to conduct discussions if the Contracting Officer determines it to be necessary. 2. Alternative proposal(s) will not be accepted. 3. The Government intends to evaluate Offerors proposals in accordance with this section. For overall evaluation purposes, all technical factors combined are considered significantly more important than cost/price factors though cost is a key factor in making a best value decision. Best value is defined as the offer that results in the most advantageous solution for the Government, in consideration of technical, cost, and other factors. 4. The submitted technical information will be scored by a technical evaluation committee using the technical criteria shown below. Where sub-factors are not weighted specifically, the technical evaluation team will evaluate and assign points against the total weight for the respective evaluation criteria with relative consideration of all the sub-factors as described in section M.2. The evaluation committee may include industry experts who are not employees of the Federal Government. When evaluating the competing Offerors, the Government will consider the written qualifications and capability information provided by the Offerors, and any other information obtained by the Government through its own research. 5. Proposals received in response to this solicitation will be evaluated by USAID pursuant to the Federal Acquisition Regulations (FAR) and the Agency for International Developments Acquisition Regulation (AIDAR). 6. Cost has not been assigned a numerical weight. Offerors are reminded that the Government is not obligated to award a negotiated contract on the basis of lowest proposed cost, or to the Offeror with the highest technical evaluation score. Although for this procurement technical proposal merits are considered substantially more important than cost relative to deciding which Offeror might best perform the work, cost factors and USAIDs budget may also be considered. As technical scores converge, cost may become a deciding factor in the award. Therefore, after the final evaluation of proposals, the contracting officer will make the award to the Offeror whose proposal offers the best value to the Government considering both technical and cost factors. 7. Past performance of the offering organization is evaluated separately from the experience of proposed Key Personnel. M.2 EVALUATION FACTORS
The
technical
evaluation
factors
described
below
are
considered
significantly
more
important
than
cost
factors.
These
criteria
have
been
tailored
to
the
requirements
of
this
RFP
and
serve
to
(a)
identify
the
significant
matters
that
the
Offerors
will
address
in
their
proposals
and
(b)
set
standards
against
which
all
Offerors
will
be
evaluated.
The
specific
evaluation
criteria
are
as
follows
in
order
of
importance:
a) Technical
Approach
b) Key
Personnel
and
Staffing
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c) Management Plan d) Past Performance Technical evaluation of proposals will be based on the extent and appropriateness of the proposed approaches and feasibility of achieving the strategic objectives, in accordance with the evaluation criteria. Offerors will note that these criteria serve as the standard against which all technical information will be evaluated, and serve to identify the significant matters which Offerors will address. M.3 TECHNICAL PROPOSAL EVALUATION CRITERIA
Technical proposals will be evaluated by a technical evaluation committee using the following criteria. Criteria Maximum Points 1. Technical Approach 40 points 2. Key Personnel and Staffing 25 points 3. Management Plan 25 points 4. Past Performance 10 points Total 100 points (1) TECHNICAL APPROACH (40 POINTS) (1) Implementation: The extent to which the Offeror details its plans and approaches in way that is clear, integrated, logical, and technically sound. These plans and approaches should reflect an expert understanding of USAID/Kenyas program priorities (e.g. maximizing support to local entities), and the complex context and dynamics of the devolution process in Kenya. (30 points) (2) Innovation: The extent to which the Offers methodology demonstrates a high degree of program innovation and creativity. (10 points) (2) KEY PERSONNEL AND STAFFING (25 points) (1) Key Personnel: The extent to which the proposed key personnel meet or exceed the minimum qualifications outlined in the RFP and collectively can successfully implement the proposed program. (20 points) (2) The extent to which the composition of the proposed non-key personnel, with an effective staffing pattern with clearly delineated roles and responsibilities among different positions, convincingly demonstrates the potential to successfully implement the proposed program. (5 points) (3) MANAGEMENT PLAN (25 POINTS) (1) Management: The extent the Offeror articulates an effective management and office structure to allow it to rapidly and responsively deliver its technical vision, as well as successfully coordinate, and eventually transfer project functions, to its partners and consortium members and ability to mobilize rapidly if modifier is invoked. (15 points)
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(2)
Project
Coordination
and
Adaptation:
The
extent
the
Offeror
articulates
its
process
for
close
planning
and
coordination
with
USAID/Kenya
and
other
relevant
actors
in
a
way
that
allows
it
to
integrate
the
project
with
other
devolution
efforts
and
respond
rapidly
to
technical
advice,
direction,
and
changing
operating
realities.
(10
points)
(4)
PAST
PERFORMANCE
(10
POINTS)
(a) Performance
information
will
be
used
for
both
the
responsibility
determination
and
best
value
decision.
USAID
may
use
performance
information
obtained
from
other
than
the
source
identified
by
the
Offeror/subcontractor.
USAID
will
utilize
existing
databases
of
contractor
performance
information
and
solicit
additional
information
from
the
references
provided
in
Section
L
of
this
RFP
and
from
other
sources
if
and
when
the
Contracting
Officer
finds
the
existing
databases
to
be
insufficient
for
evaluating
an
Offerors
performance.
(b) Adverse
past
performance
information
to
which
the
Offeror
previously
has
not
had
an
opportunity
to
respond,
will
be
addressed
in
accordance
with
the
policies
and
procedures
set
forth
in
FAR
15.3.
(c) USAID
will
initially
determine
the
relevance
of
similar
performance
information
as
a
predictor
of
probable
performance
under
the
subject
requirement.
USAID
may
give
more
weight
to
performance
information
that
is
considered
more
relevant
and/or
more
current.
(d) The
contractor
performance
information
determined
to
be
relevant
will
be
evaluated
in
accordance
with
the
elements
below:
1) Quality
of
product
or
services,
including
consistency
in
meeting
goals
and
targets
2) Cost
control,
including
forecasting
costs
as
well
as
accuracy
in
financial
reporting
3) Schedule,
including
the
timeliness
against
the
completion
of
the
contract,
task
orders,
milestones,
delivery
schedules,
and
administrative
requirements
(e.g.
efforts
that
contribute
to
or
affect
the
schedule
variance).
4) Business
relations,
addressing
the
history
of
professional
behavior
and
overall
business-like
concern
for
the
interest
of
the
customer,
including
the
contractors
history
or
reasonable
and
cooperative
behavior
(to
include
timely
identification
of
issues
in
controversy),
customer
satisfaction,
timely
award
and
management
of
subcontracts,
cooperative
attitude
in
remedying
problems,
and
timely
completion
of
all
administrative
requirements:
5) Management
of
key
personnel,
including
appropriateness
of
personnel
for
the
job
and
prompt
and
satisfactory
changes
in
personnel
when
problems
with
clients
where
identified:
6) For
prime
Offerors
who
are
not
small
business
concerns
as
subcontractors,
including
efforts
in
achieving
small
business
participation
goals:
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(e) An Offerors performance will not be evaluated favorably or unfavorably when: (1) The Offeror lacks relevant performance history, (2) Information on performance is not available, or (3) The Offeror is a member of a class of Offerors where there is provision not to rate the class against a sub factor. When this occurs, an Offeror lacking relevant performance history is assigned a neutral rating. For example, a small business prime Offeror will not be evaluated on its performance in using small business concerns. If this sub factor is worth a possible 10 points out of a total possible point value of 100 for the technical proposal, then the small business prime Offerors technical proposal will have a maximum possible points, its total technical score for evaluation against the other Offerors would be 88.89 (i.e., 80/90). USAID understands that there may be minor arithmetic differences in percentage terms as a result; however, it considers these differences to be minor and that they will not impact any best-value decision made under this solicitation. An exception to this neutral rating provision is when a non-small businesses prime has no history of subcontracting with small business concerns. Prior to assigning a neutral past performance rating, the contracting officer may take into account a broad range of information related to an Offerors performance. M.4 COST PROPOSAL EVALUATION
USAID will also evaluate the proposed costs to determine if they are fair and reasonable using proposal analysis techniques consistent with FAR 15.404. Each cost proposal will be evaluated but will not be assigned a rating. The evaluation of cost will include a determination of cost realism, completeness, and reasonableness. An analysis of the proposed cost will be conducted to determine the validity and the extent to which it reflects performance addressed in the technical proposal. An assessment will be made of the Offeror's capability to accomplish the contract objectives within the estimated cost proposed. The cost proposal will be used as an aid to determine the Offeror's understanding of Technical Requirements. Cost Realism: Cost realism is the degree to which all costs for the total contract reflect the proposed approach to achieving the technical objectives. M.5 SOURCE SELECTION
(a) The overall evaluation methodology set forth above will be used by the Contracting Officer as a guide in determining which proposal(s) offer the best value to the U.S. Government. In accordance with FAR 52.215-1, and as set forth in Section L of this solicitation, award will be made by the Contracting Officer to the responsible Offeror(s) whose proposal(s) represents the best value to the U.S. Government after evaluation in accordance with all factors in the solicitation. (b) This procurement utilizes the tradeoff process set forth in FAR 15.101-1. If the Contracting Officer determines that competing Technical Proposals are essentially equal, cost/price factors may become the determining factor in source selection. Conversely, if the Contracting Officer determines that competing cost/price proposals are essentially equal, technical factors may become the determining factor in source selection. Further the Contracting
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Officer may award to a higher priced Offeror if a determination is made that the higher technical evaluation of that Offeror merits the additional cost/price. No points are assigned to the cost proposal evaluation. While technical evaluation criteria are significantly more important than cost, cost may be the determining factor where proposals are considered essentially technically equal. Cost will primarily be evaluated for allowability, reasonableness and realism. The results of the cost realism analysis will be used as part of the Agencys best value/tradeoff analysis. M.6 DETERMINATION OF THE COMPETITIVE RANGE
(a) The competitive range of Offerors with whom negotiations will be conducted (if necessary) will be determined by the Contracting Officer pursuant to FAR 15.306(c) (1). A competitive range determination (if necessary) may take place at any point in the evaluation process. (b) Offerors are advised that, in accordance with FAR 52.215-1, if the Contracting Officer determines that the number of proposals that would otherwise be in the competitive range exceeds the number at which an efficient competition can be conducted, the Contracting Officer may limit the number of proposals in the competitive range to the greatest number that will permit an efficient competition among the most highly rated proposals. If the Contracting Officer determines that discussions are necessary, s/he will establish a competitive range composed of only the most highly rated proposals. In certain circumstances, the Contracting Officer may determine that the number of the most highly rated proposals that might otherwise be included in the competitive range exceeds the number at which an efficient competition can be conducted; should that be the case, the Contracting Officer may then limit Offerors in the competitive range to the greatest number that will permit an efficient competition among the most highly rated Offerors. The Government may exclude an offer if it is so deficient as to essentially require a new technical proposal. The Government may exclude an offer so unreasonably priced, in relation to more competitive offers, as to appear that there will be little or no chance of it becoming competitive. The Government may exclude an offer requiring extensive discussions, a complete re-write, or major revisions such as to allow an Offeror an unfair advantage over those more competitive offers. M.7 AWARD
In accordance with FAR 52.215-1(f), the Government intends to award a contract resulting from this solicitation to a responsible Offeror whose proposal represents the best value after evaluation in accordance with the factors as set forth in this solicitation. END OF SECTION M
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ATTACHMENTS
ATTACHMENT
J.1
BUDGET
TEMPLATE
Electronic
version
is
uploaded
as
a
separate
Microsoft
Office
Excel
file
in
http://www.fedbizopps.gov/
AHADI Budget Template.xlsx
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ATTACHMENT J.2
The
General
Grade
Level
Guides
presented
on
the
following
pages
have
been
prepared
as
guidance
in
determining
the
grade
levels
of
positions
for
which
no
classification
standards
exist.
The
Guides
should
be
used
in
classifying
such
positions
in
conjunction
with
standards
for
other
positions
considered
to
have
characteristics
in
common
with
the
position
to
be
classified.
For
example,
in
classifying
an
administrative
assistance
or
administrative
specialist
position,
it
would
be
logical
to
examine
standards
for
positions
within
the
administrative
area,
e.g.,
budget
and
fiscal,
procurement,
supply,
etc.
In
classifying
professional
positions,
it
would
be
logical
to
examine
standards
for
professional
positions.
The
Guides
define
the
level
of
work
appropriate
to
each
grade,
indicate
the
language,
education,
and
experience
desired
or
required
of
incumbents
of
positions
at
that
grade,
and
indicate
the
occupations
for
which
standards
have
been
prepared
at
each
grade.
The
current
Maximum
LCP
annual
salary
limit
is
Kenya
Shillings
7,595,361
equivalent
to
USD
87,303
per
year.
FSN-1
This
is
the
entrance
level
for
routine,
unskilled
types
of
work.
It
includes
the
most
routine
custodial
and
manual
positions
found
at
this
level.
Most
positions
require
no
more
than
Level
1
English
ability
(rudimentary
knowledge).
Classification
standards
depicting
the
FSN-1
level
has
been
prepared
for:
Janitor/Janitress;
Laborer
and
Watchman.
FSN-2
This
level
includes
positions
the
duties
of
which
are
to
perform
entrance
level
trade
or
craft
tasks,
manual
positions
involving
routine
maintenance
of
vehicular
equipment,
operation
of
simple,
low
pressure
heating
plant
equipment,
and
entrance
level
clerical
positions
performing
simple
filing,
record
keeping,
and
mail
sorting.
Up
to
six
months
of
experience
is
desirable.
Most
non-clerical
positions
require
little
formal
education
and
no
more
than
Level
1
English
ability
(rudimentary
knowledge).
Some
secondary
school
education
is
desirable
for
the
clerical
positions.
Level
2
English
ability
(limited
knowledge)
is
sufficient
for
most
clerical
positions
at
this
grade.
Classification
standards
depicting
the
FSN-2
level
have
been
prepared
for:
Duplicating
Equipment
Operator;
Gardener;
Guard;
Heating
Plant
Operator;
Janitor
Supervisor;
Trades
Helper;
Warehouseman,
etc.
FSN-3
This
level
is
characterized
by
the
performance
of
semi-skilled
trades
and
crafts
duties
and
routine
clerical
duties.
It
is
the
intermediate
level
(between
the
entrance
level
and
full
performance
or
skilled
journeyman
level)
for
trade
and
craft
positions.
In
addition
to
semi-skilled
trade
and
craft
positions,
other
manual
positions
involve
operation
of
the
simpler
utilities
equipment
and
driving
an
automobile
as
a
motor
pool
chauffeur.
Clerical
positions
involve
routine
clerical
duties
such
as
records
maintenance,
working
at
a
telephone
switchboard,
and/or
typing
a
variety
of
narrative
and
tabular
material.
Elementary
school
education
is
desirable
for
manual
positions
and
secondary
school
education
is
desirable
for
clerical
positions.
Manual
positions
require
Level
1
(rudimentary
knowledge)
to
Level
2
(limited
knowledge)
English
ability
and
clerical
positions
require
Level
2
to
Level
3
(good
working
knowledge)
English
ability.
Up
to
one
year
of
experience
is
required
for
both
manual
and
clerical
positions
at
this
level.
Classification
standards
depicting
the
FSN-3
level
have
been
prepared
for:
Chauffeur;
Operator;
Guard;
Mail
Clerk;
Maintenance
Man;
Power
Plant
Operator;
Sewage
Disposal
Plant,
etc.
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FSN-4
This
is
the
full
performance
or
skilled
journeyman
level
for
trade
and
craft
positions.
Employees
at
this
level
must
be
able
to
perform
the
full
scope
of
their
positions
with
a
minimum
of
supervisory
guidance.
Clerical
positions
require
familiarity
with
office
practices
and
procedures
and
the
ability
to
follow
through
in
order
to
obtain
the
required
results.
They
also
must
exercise
judgment
and
apply
pertinent
regulations.
Completion
of
secondary
school,
one
to
one
and
one-half
years
of
experience,
and
Level
3
(good
working
knowledge)
of
English
is
required
for
clerical
positions
at
this
level.
Trade
and
craft
positions
require
completion
of
an
apprenticeship,
vocational
training,
or
experience
recognized
as
producing
journeyman
level
skills
and
one
to
one
and
one-half
years
of
experience
at
the
journeyman
level.
Level
1
English
ability
(rudimentary
knowledge)
is
sufficient
for
most
manual
jobs,
although
a
few
positions
may
require
a
Level
2
(limited
knowledge)
English
ability.
Completion
of
elementary
school
is
required.
Classification
standards
depicting
the
FSN-4
level
have
been
prepared
for:
Automotive
Mechanic;
Automotive
Mechanic
(Body
&
Fender);
Boiler
Operator;
Clerk;
Chauffeur;
Dispatcher;
Distribution
Clerk;
Federal
Benefits
Clerk;
Furniture
Repairman;
Guard;
Guard/Receptionist;
Locksmith;
Machinist;
Mail
Clerk;
Maintenance
Man;
Mechanic
(Building
Trades);
Office
Machine
Repairman;
Offset
Press
Operator;
Power
Plant
Operator;
Receptionist;
Supply
Clerk
,
etc.
FSN-5
Clerical
positions
at
this
level
involve
the
performance
of
responsible
work
requiring
the
exercise
of
judgment,
knowledge
of
a
specialized
subject
matter
and
the
regulations
pertaining
thereto.
Journeyman
level
clerical
positions
in
various
program
areas
are
at
this
level.
Manual
positions
are
working
supervisors
of
three
to
six
skilled
and
semiskilled
employees
in
trade
and
craft
positions.
Manual
positions
require
some
secondary
school
education,
plus
an
apprenticeship,
vocational
training
or
experience
recognized
as
providing
journeyman
level
skills,
and
one
and
one-half
years
of
journeyman
and
six
months
of
supervisory
experience.
Level
2
English
ability
(limited
knowledge)
is
sufficient
for
most
manual
positions,
but
a
few
require
Level
3.
Level
3
English
ability
(good
working
knowledge),
and
one
and
one-half
to
two
years
of
experience
is
required
for
most
clerical
positions.
Classification
standards
depicting
the
FSN-5
level
has
been
prepared
for:
Clerk;
Secretary;
Supply
Clerk;
Utilities
Foreman
etc.
FSN-6
This
is
the
senior
or
top
clerical
level
involving
the
performance
of
the
most
difficult
clerical
work
requiring
the
exercise
of
judgment,
knowledge
of
a
specialized
subject
matter,
and
the
application
of
extensive
rules
and
regulations.
Included
also
in
this
class
are
supervisors
of
clerical
positions
and
secretaries
to
American
officials
performing
major
functions.
Manual
positions
are
supervisors
of
established
units
of
from
eight
to
fifteen
skilled
and
semi-skilled
employees,
and
have
continuing
management
responsibility
for
the
efficient
use
of
equipment,
materials,
and
manpower.
Manual
positions
require
some
secondary
school
education,
plus
vocational
training,
an
apprenticeship
or
experience
recognized
as
producing
journeyman
level
skills
and
one
and
one-half
years
of
journeyman
level
skills
and
supervisory
experience.
Level
2
English
ability
(limited
knowledge)
is
required
for
most
manual
positions
but
a
few
require
Level
3.
Clerical
positions
require
completion
of
secondary
school,
two
to
two
and
one-half
years
of
experience,
and
Level
3
English
ability
(good
working
knowledge).
Classification
standards
depicting
the
FSN-6
level
have
been
prepared
for:
Expeditor
etc.
FSN-7
This
level
includes
junior
assistant
positions
in
administrative,
technical,
and
program
areas
including
AID,
USIS,
FCS,
FAS,
and
other
associated
agency
program
areas.
Such
positions
require
a
good
general
knowledge
and
application
of
the
policies
and
procedures,
rules
and
regulations
of
a
particular
subject
matter
area,
or
substantive
knowledge
of
that
area,
and
work
under
general
instructions
with
work
reviewed
for
accuracy
of
results.
This
level
also
includes
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supervisors
of
clerical
functions
of
substantial
size,
and
employees
in
charge
of
the
maintenance
function
at
small
posts.
The
secretary
to
the
ranking
official
of
a
large
consulate
or
associated
agency
mission
is
also
placed
in
this
level
when
the
official
has
no
American
secretary.
In
addition
to
completion
of
secondary
school,
some
additional
technical
or
collegiate
education
is
desirable.
From
one
to
three
years
of
experience,
and
Level
3
English
ability
(good
working
knowledge)
are
required.
Classification
standards
depicting
the
FSN-7
level
have
been
prepared
for:
Cashier;
Purchasing
Agent;
Shipment
Assistant;
Travel
Assistant,
etc.
FSN-8
This
is
the
fully
qualified
level
for
assistant
positions
in
administrative,
technical,
and
program
areas
including
AID,
USIS,
and
other
associated
agency
program
areas.
The
difficulty
of
the
work
performed
requires
considerable
experience
and
training
and
a
thorough
knowledge
of
policies,
procedures,
rules
and
regulations,
and/or
extensive
subject
matter
knowledge
in
a
particular
field.
Employees
are
expected
to
resolve
most
problems
and
execute
assignments
with
supervision
limited
primarily
to
the
review
of
end
product
results.
The
secretary
to
the
ranking
officer
of
a
very
large
consulate
or
associated
agency
mission
is
also
placed
in
this
level
when
the
official
has
not
American
secretary.
These
positions
require
completion
of
secondary
school,
and
some
collegiate
or
technical
training
is
desirable.
Two
to
four
years
of
experience
is
necessary.
Level
3
English
ability
(good
working
knowledge)
is
required.
Classification
standards
depicting
the
FSN-8
level
have
been
prepared
for:
Personnel
Assistant;
Procurement
Administrative
Assistant;
Procurement
Agent;
Program
Assistant,
Supply
Supervisor,
etc.
FSN-9
This
is
the
senior
assistant
level
for
technical
and
administrative
management
positions.
No
supervisory
technical
positions
at
this
level
involve
fact
finding,
research,
analysis,
and
interpretation
of
factual
data
in
the
field
of
the
employees
expertise.
Administrative
management
positions
are
supervisory
and
typically
involve
management
of
a
function
and
personal
performance
of
the
most
difficult
work
of
the
function,
including
evaluation
of
complex
facts
and
the
interpretation
of
laws,
regulations,
and
instructions
in
their
application
to
specific
situations.
Incumbents
of
positions
at
this
level
are
expected
to
complete
assignments
with
a
minimum
of
supervision.
These
positions
require
completion
of
secondary
school,
and
some
collegiate
or
technical
education
is
desirable.
Three
to
five
years
of
progressively
responsible
experience
is
required.
Many
positions
at
this
level
require
Level
4
English
ability
(fluent).
Classification
standards
depicting
the
FSN-9
level
has
been
prepared
for:
Procurement
Agent;
Program
Assistant,
etc.
FSN-10
This
is
the
lowest
of
three
levels
of
professional
or
specialist
positions.
Incumbents
of
positions
at
this
level
personally
perform,
and
in
some
cases
supervise
other
employees
engaged
in,
a
major
segment
of
a
professional,
technical
or
program
area,
including
AID,
USIS,
FCS,
FAS,
and
other
associated
agency
program
areas.
Incumbents
of
such
positions
must
understand
and
apply
a
highly
technical
body
of
knowledge
usually
obtained
through
collegiate
study,
as
well
as
applicable
laws
and
agency
regulations
and
instructions.
This
level
also
includes
supervisory
positions
in
the
administrative
management
area
with
equivalent
requirements.
Incumbents
of
positions
at
this
level
are
expected
to
perform
difficult
duties
with
a
minimum
of
supervision.
A
collegiate
education
with
the
equivalent
of
an
A.B.
or
B.S.
degree
is
required,
with
only
rare
exceptions.
Four
to
six
years
of
progressively
responsible
experience
in
the
professional,
technical,
or
administrative
management
area
is
required.
Level
4
English
ability
(fluent)
is
usually
required.
Classification
standards
depicting
the
FSN-10
level
have
been
prepared
for:
Personnel
Specialist;
Accountants;
Program
Specialist,
etc.
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FSN-11 This is the middle of three levels of professional or specialist positions; however, it is the highest level usually attainable in a professional, technical, program, or administrative management area, even in a large overseas establishment. Under the direction of an American official, but with wide latitude for planning, organizing, and executing assigned responsibilities, supervises the accomplishment of or personally performs the most difficult and complex work involved in a professional, technical, or program area, including AID, USIS, FCS, AID, and other associated agency program areas. Incumbents of such positions must understand and apply a highly technical body of knowledge usually obtained through collegiate study, as well as applicable laws and agency regulations and instructions. This level also includes supervisory positions in the administrative management area with equivalent requirements. Guidance received from the American supervisory official is almost wholly related to policy, program objectives, and priorities. Within such guidelines, incumbents of positions at this level plan and undertake important projects and carry them to completion without significant supervision. Demands are heavy on initiative, resourcefulness, and sound judgment. Typically, incumbents of positions at this level have important contacts with senior business, government, and community officials. A collegiate education with the equivalent of an A.B. or B.S. degree and from five to seven years of progressively responsible experience in the professional, technical, or administrative management area are required Level 4 English ability (fluent) is usually required. Classification standards depicting the FSN-11 level has been prepared for: Acquisition & Assistance Specialist; Financial Analyst; General Services Specialist; Program Specialist, etc. FSN-12 This is the highest of three levels of professional or specialist positions and the highest grade in the Interagency Foreign Service National Position Classification Plan. Relatively few overseas establishments will warrant an FSN-12 position; the establishment of more than one FSN-12 position within the same broad professional, technical, or program area, e.g., political, economic, cultural, information, etc., is seldom warranted. Positions at this level are those of highly qualified and recognized experts. Under the direction of an American official, they supervise or personally perform difficult and complex work involving the full scope of a professional, technical or program area, including AID, USIS, FCS, FAS and other associated agency program areas, in one of the most important country programs of its kind in the world. Incumbents of such positions apply a highly technical body of knowledge of applicable laws and agency regulations and instructions. These positions often call for originality of ideas and creative thinking in dealing with problems or matters for which there is little precedent, and usually require that the employee be able to inter-relate the pertinent subject matter with a broader spectrum, as would be the case in considering the impact of important political developments on domestic and international economic developments. Where the emphasis is on reporting covering a broad spectrum of complex subject matter and requiring the exercise of independent judgment in projecting future developments or trends. Substantial reliance is placed upon the employees professional acumen and judgment, and his/her advice is sought on important and at times on extremely sensitive matters; in functional programs that involve comprehensive program planning, the employee participates actively in the planning process. Positions at this level are largely independent of technical supervision; guidance from American supervisors is primarily with regard to policy, priorities, results to be achieved, basic approaches to be followed, and in the case of positions involving reporting, the nature and basic content of reports. Employees at this level develop and maintain an extensive range of important contacts with senior level business and government officials and with community leaders for the purpose of obtaining or verifying information which is not otherwise available. Incumbents of these positions normally possess the equivalent of an A.B. or B.S. collegiate degree in a field of study closely related to their assigned responsibilities; in many instances, postgraduate education are needed. A minimum of six to eight years of progressively responsible experience in the area of their assignment is needed. Level 4 English ability (fluent) is usually required. Supervision over others is not normally a significant factor in justifying the classification of a position at the FSN-12 level. Classification Standards depicting the FSN- 12
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level have been prepared for: Senior Acquisition and Assistance Specialist; Chief Accountant; Development Project Specialist; Information Management Specialist; Project Management Specialist etc.
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ATTACHMENT J.3
The
Contractor
will
prepare
a
Branding
Implementation
Plan
describing
how
it
will
implement
the
Branding
Strategy.
The
Branding
Implementation
Plan
shall
describe
how
the
program
will
be
promoted
to
beneficiaries
and
host
country
citizens.
With
reference
to
ADS
Section
320.3.2.2
the
Contractor
shall
prepare
a
Branding
Implementation
Plan
containing
information
substantially
similar
to
the
sample
provided
below:
THIS
PORTION
IS
CREATED
BY
THE
CONTRACTOR
Branding
Implementation
Plan
for
the
__________
Project
From
Requesting
Office
(_______)
1.0 How
to
incorporate
the
message
__________
will
use
full
branding
and
the
USAID
tagline
From
the
American
People
on
materials
and
communications.
Co-branding
and
no
branding
will
only
be
considered
on
a
case-by-case
basis
as
considered
appropriate
by
the
Contracting
Officers
Representative
(COR)
and
Contracting
Officer
(CO).
1.1
Messages
In
all
materials
and
events
the
project
will
be
branded
as
from
USAID
and
prepared
by
_________________________
as
part
of
the
__________
project.
As
such,
all
materials
will
acknowledge
that
they
were
produced
with
support
from
the
American
people.
In
cases
where
a
local
language
predominates
above
English,
the
appropriate
translation
into
the
local
language
will
be
used
in
branding
the
program.
Additional
ideas
to
increase
awareness
that
the
American
people
support
this
program
are:
all
of
the
trainers
will
be
trained
to
include
in
each
presentation
or
training
session
a
statement
at
the
beginning
of
their
meeting
or
training
session
that
the
technical
assistance
that
they
provide
and
the
other
program
services
are
made
possible
as
a
result
of
the
assistance
from
the
American
people.
The_________
project
will
follow
specific
procedures
for
including
the
Branding
Implementation
Plan
requirements
as
stated
in
the
mandatory
internal
reference
Branding
and
Marking
in
USAID
Direct
Contracting
in
the
Automated
Directives
System,
Chapter
320.
2
.0
How
to
publicize
the
program,
project
or
activity
This
section
discusses
how
to
publicize
the
program
and
also
includes
a
description
of
the
communications
tools
to
be
used.
Such
tools
may
include
the
following:
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and
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for
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(AHADI)
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2
.1
Tools
The
following
communication
tools
will
be
used:
CHANGE
AS
NEEDED
Press
releases
N/A
Press
Conferences
N/A
Media
Interviews
N/A
Site
visits
YES
Success
stories
YES
Beneficiary
testimonials
YES
Professional
photography
YES
N/A
Public
Service
Announcements
(PSAs)
Videos
N/A
Webcasts,
e-invitations,
blast
e-mails,
or
other
internet
activities
YES
3
.0
Key
milestones
or
opportunities
The
following
key
milestones
or
opportunities
are
anticipated
to
generate
awareness
that
the
program
is
from
the
American
people.
These
milestones
may
be
linked
to
specific
points
in
time,
such
as
at
the
beginning
or
end
of
a
program,
or
to
an
opportunity
to
showcase
reports
or
other
materials.
These
include,
but
are
not
limited
to:
o Launching
the
program,
o Announcing
research
findings,
o Publishing
reports
or
studies,
o Spotlighting
trends,
o Highlighting
success
stories,
o Featuring
beneficiaries
as
spokespeople,
o Showcasing
before-and-after
photographs,
o Securing
endorsements
from
ministry
or
local
organizations,
o Promoting
final
or
interim
reports,
and
o Communicating
program
impact/overall
results.
4
.0
Audiences
Subject
to
approval
by
USAID,
the
_________
project
has
the
following
target
audiences
with
whom
it
will
promote
and
publicize
USAID
sponsorship:
4
.1
Primary
audiences:
The
primary
audience
for
all
materials
and
documents
produced
under
this
contract
is
USAID
staff
in
Washington
and
in
the
field.
4.1.2
Secondary
audience:
The
secondary
audience
for
materials
and
documents
produced
by
the
________
project
includes
USAID
Stakeholders
and
non-governmental
organizations,
contractors,
and
researchers
working
on
issues
of
gender
equality
in
education.
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5.0 Acknowledgements: 5.1 Acknowledging USAID and the funding mechanism: The following acknowledgment will be included on external USAID _________ project publications and internal publications, such as quarterly reports, as appropriate: This document was produced for review by the United States Agency for International Development. It was prepared by _____________ for the ___________ Project, contract number_____________________. 5.2 Acknowledging host-country governments All ______________ documents will follow USAID Branding Guidelines. If during the course of this program other major sponsors are involved, we will advise the COR of their involvement and request permission to include them as necessary. 5.3 Acknowledging OTHER HOST-COUNTRY PARTNERS Co-branding with civil society groups will occur when these organizations have contributed funds to the activity. Co-branding with in-country partners may also be desirable when trying to promote local ownership and capacity building. However, when products are fully funded by USAID, CO approval is required for any exceptions to full branding requirements. 5.4 Co-branding with other international organizations In such cases, the guidelines for co-branding will be followed, assuming the funding contributed is more than a token amount. GENERAL INSTRUCTIONS The Contractor shall prepare a Marking Plan that will enumerate all of the public communications, commodities and program materials that visibly bear or will be marked with the USAID identity. Contract deliverables to be marked with the USAID Identity must follow design guidance for color, type, and layout in the USAID Graphics Standard Manual. With reference to ADS Sections 320.3.2.3 and 320.3.2.4 the Contractor shall prepare a Marking Plan containing information substantially similar to the sample provided below: THIS PORTION IS CREATED BY THE CONTRACTOR Marking Plan for the ______________ Project (______________) From Requesting Office (______) With reference to Section 320.3.2.3 of ADS 320, below is the required Marking Plan: 1.0 Marking 1.1 Marking plan for materials to be produced
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Table
1
outlines
the
types
of
materials
that
may
be
produced
under
the
USAID
_________
project.
Any
materials
that
are
not
anticipated
below,
but
are
produced
under
the
initiative,
will
also
be
subject
to
branding
guidelines
and
CO
approval,
as
appropriate.
Please
note
that
marking
is
not
required
on
items
used
as
part
of
the
administration
of
the
contract,
such
as
stationery
products,
equipment,
and
offices.
The
goal
is
to
mark
programs
and
projects,
and
not
implementing
partners.
Thus,
letterhead,
name
tags,
business
cards,
office
space,
equipment,
and
supplies
are
not
subject
to
branding.
Every
contract
deliverable
that
is
marked
with
the
USAID
identity
for
the
________________
project
will
follow
design
guidance
for
color,
type,
and
layout
in
the
Graphic
Standards
Manual
as
related
to
equipment,
reports,
studies,
events,
and
public
communication
(including
printed
products,
audio,
visual,
and
electronic
materials).
The
USAID
logo
will
be
used
for
programmatic
correspondence.
_______
letterhead
will
be
used
for
administrative
matters
and
will
not
have
the
USAID
logo.
Business
cards
will
not
show
the
USAID
logo.
All
studies,
reports,
publications,
Web
sites,
and
all
informational
and
promotional
products
not
authored,
reviewed,
or
edited
by
USAID
will
contain
a
provision
substantially
as
follows:
This
study/report/_______
Website
is
made
possible
by
the
support
of
the
American
People
through
the
United
States
Agency
for
International
Development
(USAID.)
The
contents
of
this
study/report/_______
Website
are
the
sole
responsibility
of
________________
(name
of
organization)
and
do
not
necessarily
reflect
the
views
of
USAID
or
the
United
States
Government.
(This
portion
will
be
completed
by
the
Contractor)
Marking
Requirements
for
the
______________
Project
(_______________)
From
Requesting
Office
(_______)
With
reference
to
ADS
Section
320.3.2.2,
below
is
the
required
Marking
Plan:
TABLE
1.
Marking
Plan
for
materials
to
be
produced
change
as
needed
Category
Type
of
Marking
Remarks
Administrative
Stationery
products
USAID
standard
graphic
identity
will
Pertains
to
letterhead,
envelops,
and
(administrative
Business)
not
be
used.
mailing
labels
Stationery
products
(program
related)
Stationery
products
USAID
standard
graphic
identity
will
Pertains
to
letters
that
accompany
(program
related)
be
used
program
materials
Business
cards
USAID
standard
graphic
identity
will
not
be
used
on
business
cards.
The
Contractor
should
use
its
own
business
cards
but
include
the
line
"_______
project"
on
the
business
card.
Office
signs
USAID
standard
graphic
identity
will
not
be
used
to
mark
project
offices.
Project
deliverables
Follows
USAID
Graphics
Standard
Manual
guidelines
for
full
branding
(If
applicable)
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Government policies, strategies, plans, and guidelines (regional, national, and subnational levels) or other materials positioned as being from the host country government Organizations' policies, strategies, plans, and guidelines (e.g., an NGOs procedures manual for Malaria logistics, a workplace anti- discrimination policy) or other materials positioned as being from the host-country partner Training materials and manuals
The USAID identity will be printed on the cover of documents; design follows USAID Graphics Standard Manual guidelines for full branding unless co-branding is acceptable or an exception is granted for no branding. The USAID identity will be printed on the cover of documents; design follows USAID Graphics Standard Manual guidelines for full branding guidelines unless co-branding is acceptable or an exception is provided for no branding. Follows USAID Graphics Standard Manual guidelines for full branding (if applicable) Follows USAID Graphics Standard Manual guidelines for full branding (if applicable)
CDs-ROM
PowerPoint presentations
The USAID identity will be printed on the cover of documents; design follows guidelines for full branding unless co-branding is acceptable or an exception is granted for no branding. The USAID identity will be printed on the CD label, splash screen/menu, and packaging; design follows guidelines for full branding unless cobranding is acceptable or an exception is granted for no branding. The USAID identity is required on title breaker slides; design follows guidelines for the full branding unless co-branding is acceptable or an exception is granted for no branding. The USAID identity will be printed on the poster or presentation; design
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Project promotional materials (e.g., success stories, beneficiary announcement of research, testimonials, findings, or project results) Materials for policy launch Commodities
follows guidelines for professional meetings or full branding unless cobranding acceptable or an exception is granted for no branding Not applicable Not applicable Follows guidelines for co-branding; the USAID identity will be included on the homepage and sub-pages as appropriate The USAID identity will be printed on the materials; design follows guidelines for full branding unless co-branding is acceptable or an exception is granted for no branding. The USAID identity printed on the materials; design follows guidelines for full branding. Not applicable Not applicable
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ATTACHMENT J.4 - USAID FORM 1420-17 CONTRACTOR BIOGRAPHICAL DATA SHEET The form can be downloaded from the following web site: AID 1420-17 (Contractor Employee Biographical Data Sheet)
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OMB Control No. 0412-0520; Expiration Date: 02/28/2014
11. Names, Ages, and Relationship of Dependents to Accompany Individual to Country of Assignment
12. EDUCATION (include all college or university degrees) NAME AND LOCATION OF INSTITUTION MAJOR DEGREE DATE
13. LANGUAGE PROFICIENCY (see Instruction on Page 2) LANGUAGE Proficiency Speaking 2/S 2/S 2/S Proficiency Reading 2/R 2/R 2/R
Give last three (3) years. List salaries separate for each year. Continue on separate sheet of paper if required to list all employment related to duties of proposed assignment.
Salary definition basic periodic payment for services rendered. Exclude bonuses, profit-sharing arrangements, commissions, consultant fees, extra or overtime work payments, overseas differential or quarters, cost of living or dependent education allowances. POSITION TITLE EMPLOYERS NAME AND ADDRESS POINT OF CONTACT &TELEPHONE # Dates of Employment (M/D/Y) From To Annual Salary Dollars
15. SPECIFIC CONSULTANT SERVICES (give last three (3) years) SERVICES PERFORMED EMPLOYERS NAME AND ADDRESS POINT OF CONTACT &TELEPHONE # Dates of Employment (M/D/Y) From To Days at Rate Daily Rate In Dollars
To the best of my knowledge, the above facts as stated are true and correct. Date
17. CONTRACTOR'S CERTIFICATION (To be signed by responsible representative of Contractor) Contractor certifies in submitting this form that it has taken reasonable steps (in accordance with sound business practices) to verify the information contained in this form. Contractor understands that USAID may rely on the accuracy of such information in negotiating and reimbursing personnel under this contract. The making of certifications that are false, fictitious, or fraudulent, or that are based on inadequately verified information, may result in appropriate remedial action by USAID, taking into consideration all of the pertinent facts and circumstances, ranging from refund claims to criminal prosecution. Signature of Contractors Representative Date
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INSTRUCTION
Indicate your language proficiency in block 13 using the following numeric Interagency Language Roundtable levels (Foreign Service Institute Levels). Also, the following provides brief descriptions of proficiency levels 2, 3, 4, and 5. S indicates speaking ability and R indicates reading ability. For more in-depth description of the levels refer to USAID Handbook 28 or superseding policy directive. Limited working proficiency S R
General professional proficiency S R Able to speak the language with sufficient structural accuracy and vocabulary to participate effectively in most formal and informal conversations on practical, social, and professional topics. Able to read within a normal range of speed and with almost complete comprehension of a variety of authentic prose material on unfamiliar subjects.
S R S R
Advanced professional proficiency Able to use the language fluently and accurately on all levels normally pertinent to professional needs. Able to read fluently and accurately all styles and forms of the language pertinent to professional needs. Functional native proficiency Speaking proficiency is functionally equivalent to that of a highly articulate well-educated native speaker and reflects the cultural
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ATTACHMENT J.5 SF LLL - DISCLOSURE OF LOBBYING ACTIVITIES The form can be downloaded from the following web site: http://forms.sc.egov.usda.gov/efcommon/eFileServices/eFormsAdmin/SF-LLL_9707V01.pdf
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Approved
by
OMB
0348-0046
Disclosure
of
Lobbying
Activities
Complete
this
form
to
disclose
lobbying
activities
pursuant
to
31
U.S.C.
1352
(See
reverse
for
public
burden
disclosure)
1. Type
of
Federal
Action:
2. Status
of
Federal
Action:
3. Report
Type:
a.
contract
a.bid/offer/application
a.
initial
filing
____
b.
grant
_____
b.
initial
award
_____
b.
material
change
c.
cooperative
agreement
c.
post-award
d.
loan
For
material
change
only:
e.
loan
guarantee
Year
_______
quarter
_______
f.
loan
insurance
Date
of
last
report___________
4. Name
and
Address
of
Reporting
Entity:
5. If
Reporting
Entity
in
No.
4
is
Subawardee,
____
Prime
_____
Subaward
Tier______,
if
Enter
Name
and
Address
of
Prime:
Known:
Congressional
District,if
known:
Congressional
District,
if
known:
6. Federal
Department/Agency:
7. Federal
Program
Name/Description:
CFDA
Number,
if
applicable:
____________
8. Federal
Action
Number,
if
known:
9. Award
Amount,
if
known:
$
10.
a.
Name
and
Address
of
Lobbying
Registrant
b.
Individuals
Performing
Services
(including
address
(if
individual,
last
name,
first
name,
MI):
if
different
from
No.
10a)
(last
name,
first
name,
MI):
11.
Information
requested
through
this
form
is
authorized
by
title
31
U.S.C.
Section
1352.
This
Signature:
__________________________________
disclosure
of
lobbying
activities
is
a
material
representation
of
fact
upon
which
reliance
was
Print
Name:
_____
placed
by
the
tier
above
when
this
transaction
was
made
or
entered
into.
This
disclosure
is
required
Title:
_____
pursuant
to
31
U.S.C.
1352.
This
information
will
be
reported
to
the
Congress
semi-annually
and
will
be
Telephone
No.:
____________
Date:
_______
available
for
public
inspection.
Any
person
who
fails
to
file
the
required
disclosure
shall
be
subject
to
a
civil
penalty
of
not
less
than
$10,000
and
not
more
than
$100,000
for
each
such
failure.
Federal
Use
Only
Authorized
for
Local
Reproduction
Standard
Form
-
LLL
(Rev.
7-97)
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DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB 0348-0046 CONTINUATION SHEET Reporting Entity_________________________________________________________Page________of_______
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Solicitation
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ATTACHMENT
J.6
-
PAST
PERFORMANCE
QUESTIONNAIRE
REQUEST
FOR
PROPOSALS
No.:
SOL-615-13-000012
Please
fill
out
the
following
questionnaire
as
clearly
and
as
objectively
as
possible.
The
information
you
provide
will
be
used
for
source
selection
purposes.
Please
send
the
filled
out
questionnaire
directly
to
the
United
States
Agency
for
International
Development
(USAID),
East
Africa
Regional
Mission
in
Nairobi,
Kenya
by
email
at
csigner@usaid.gov
and
jkibabu@usaid.gov;
no
later
than
June
21,
2013,
05:00
PM,
Local
Time
(Nairobi,
Kenya).
SECTION
A:
(To
be
filled
by
the
Offeror)
Offeror's
Name:
________________________________________________________________________
Was
the
Offeror
the
Prime
or
Subcontractor
on
the
project:
____________________________________
Project
Name:
_________________________________________________________________________
Project
Scope/Description:
_______________________________________________________________
Period
of
Performance:
Dollar
Value
of
Contract:
_____________________________________________
Name
of
Contact
Person:
Phone:
_________________________________________________________
Date
Contacted:
Employer:
_______________________________________________________________
Contacts
Role
or
Knowledge
of
the
Project:
_________________________________________________
SECTION
B:
(To
be
filled
by
the
contact
person
named
in
section
A
above)
1.
Please
comment
on
your
satisfaction
with
the
Quality
of
Work:__________________________________________________________________________________________
_______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________
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2. Please comment on the Timeliness of Contract Performance:____________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ 3. Please comment on the quality of your Relations with the Contractor during contract performance:____________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ 4. Please comment on the Contractors Ability to Control costs:__________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ 5. Please provide comments on Contractors Key Personnel:______________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ Other comments:______________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ _______________________________________________________________________________________________ Signature of the Referee:__________________________________________________________________________
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ATTACHMENT J.7 - IDENTIFICATION OF PRINCIPAL GEOGRAPHIC CODE NUMBERS The USAID Geographic Code Book sets forth the official description of all geographic codes used by USAID in authorizing or implementing documents, to designate authorized source countries or areas. The following are summaries of the principal codes: Code 935--Any area or country including the cooperating country, but excluding the foreign policy restricted countries. Code 937 -- Any area or country including the United States, the recipient country and developing countries other than advanced developing countries, excluding any country that is a prohibited source. Code 941--The United States and any independent country (excluding foreign policy restricted countries), except the cooperating country itself and the following: Albania, Andorra, Angola, Armenia, Austria, Australia, Azerbaijan, Bahamas, Bahrain, Belgium, Bosnia and Herzegovina, Bulgaria, Belarus, Canada, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Gabon, Georgia, Germany, Greece, Hong Kong, Hungary, Iceland, Ireland, Italy, Japan, Kazakhstan, Kuwait, Kyrgyzstan, Latvia, Liechtenstein, Lithuania, Luxembourg, Macedonia*, Malta, Moldova, Monaco, Mongolia, Montenegro*, Netherlands, New Zealand, Norway, Poland, Portugal, Qatar, Romania, Russia, San Marino, Saudi Arabia, Serbia*, Singapore, Slovak Republic, Slovenia, South Africa, Spain, Sweden, Switzerland, Taiwan*, Tajikistan, Turkmenistan, Ukraine, United Arab Emirates, United Kingdom, Uzbekistan, and Vatican City. ----------------------------------------------------------------- * Has the status of a "Geopolitical Entity", rather than an independent country.
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ATTACHMENT
J.8
-
ABBREVIATIONS
AND
ACRONYMS
USED
IN
THIS
RFP
ABEO
Agriculture,
Business
and
Environment
Office
ADS
Automated
Directives
System
AHADI
Agile
and
Harmonized
Assistance
for
Devolved
Institutions
AIDAR
USAID
Acquisition
Regulation
AusAID
Australian
Agency
for
International
Development
CPFF
Cost-Plus-Fixed-Fee
CPST
Centre
for
Parliamentary
Studies
and
Training
CBO
Community-Based
Organization
CBNRM
Community-Based
Natural
Resource
Management
CLIN
Contract
Line
Item
Number
CO
Contracting
Officer
COP
Chief
of
Party
COR
Contracting
Officers
Representative
CRA
Commission
on
Revenue
Allocation
CSO
Civil
Society
Organization
DCOP
Deputy
Chief
of
Party
DFID
United
Kingdom
Department
for
International
Development
DRG
Democracy,
Rights
and
Governance
(Office)
EDY
Education
and
Youth
(Office)
EMACK
Education
for
Marginalized
Children
of
Kenya
program
FAR
Federal
Acquisition
Regulation
FBO
Faith-Based
Organization
FDKP
Fiscal
Decentralization
Knowledge
Program
FEWSNET
Famine
Early
Warning
Systems
Network
FTF
Feed
the
Future
GCC
Global
Climate
Change
GOK
Government
of
Kenya
HPP
Health
Policy
and
Planning
program
IP
Implementing
Partner
KCSSP
Kenya
Civil
Society
Strengthening
Program
KSG
Kenya
School
of
Government
LEDS
Low-Emissions
Development
Strategies
LMS
Leadership,
Management
and
Sustainability
program
M&E
Monitoring
and
Evaluation
MERLA
Monitoring,
Evaluation,
Reporting,
Learning
and
Adapting
MP
Member
of
Parliament
NCCRS
National
Climate
Change
Response
Strategy
NGO
Non-Governmental
Organization
NRM
Natural
Resource
Management
OPH
Office
of
Population
and
Health
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PFM PLHIV PMP PRIMR PSP PTA REGAL RFP SOW SUNY TA UN UNDP UNOPS US USAID USG YYC
Public Financial Management People Living With HIV/AIDS Performance Monitoring Plan Kenya Primary Math and Reading program Parliamentary Strengthening Program Parent Teacher Associations Resilience and Economic Growth in the Arid Lands Request for Proposal Scope of Work State University of New York Transition Authority United Nations United Nations Development Program United Nations Office of Project Services United States United States Agency for International Development United States Government Yes Youth Can program
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ATTACHMENT
J.9
REPORTING
TEMPLATE
Electronic
version
is
uploaded
as
a
separate
Microsoft
Office
Word
file
at
http://www.fedbizopps.gov/
kenya standardized reporting template.docx
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Assistance
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ATTACHMENT J.10 Initial Environmental Examination (IEE) Electronic version is uploaded as a separate PDF file at http://www.fedbizopps.gov/
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ATTACHMENT J.11 Assessments on Devolution in Kenya Electronic versions are uploaded as separate files at http://www.fedbizopps.gov/. These assessments can also be found publicly on the Development Experience Clearinghouse (DEC).
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ATTACHMENT J.12 List of Government Property Electronic version is uploaded as a separate Excel file at http://www.fedbizopps.gov/
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