~T~At~ I ETHIOPIA - Handicap International€¦ · Closing Date for Application Submission:...

~T~At~ I ETHIOPIA Issuance Date: February 8, 2012 Deadline for Submission of Questions: Closing Date for Application Submission:

February 22, 2012, 17:00 Local Time March 23, 2012

Closing Time: 17:00 Local Time

Subject: Request for Applications (RFA) Number RFA-663-12-000003, Reading for Ethiopia's Achievement Developed (READ) Technical Assistance Project

The United States Agency for International Development (US AID) is seeking applications for an Assistance Agreement to provide funding in support of a program entitled "Reading for Ethiopia's Achievement Developed (READ) Technical Assistance Project" in Ethiopia. The main objective of this program is to support the Ethiopian Ministry of Education's (MOE's) efforts in developing a nationwide reading and writing program that will reach the vast majority of Ethiopian primary students. This project has a heavy focus on providing technical expertise in international best practices of teaching reading and writing; expertise that is to be applied to a variety of Ethiopian languages in order to develop syllabi, curricula and materials for both students and teachers. This project will provide direction, support, technical leadership and administrative support to the MOE at both national and local levels. The authority for the RFA is found in the Foreign Assistance Act of 1961, as amended.

The Recipient will be responsible for ensuring achievement of the program objectives as described in the Program Description. Please refer to the Program Description in Section I for a complete statement of goals and expected results.

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

Applicants under consideration for an award that have never received funding from US AID will be subject to a pre-award audit to determine fiscal responsibility, ensure adequacy of financial controls and establish an indirect cost rate.

Subject to the availability of funds, USAID intends to provide approximately $45,000,000 in total USAID funding to be allocated over a five year period. Applicants are encouraged to propose a cost share contribution under this program. USAID reserves the right to fund any or none of the application(s) submitted in response to this RFA.

This RF A consists of this cover letter and the following:

Funding Opportunity Description Award Information Eligibility Information Application and Submission Information Application Review Information A ward and Administration Information Agency Contacts Other Information Standard Provisions

Section I Section II Section III Section IV Section V Section VI Section VII Section VIII AnnexA AnnexB Certifications, Assurances and Other Statements of Applicants

u.s. Agency for International Development US Embassy Addis Ababa, Entoto Street P. O. Box 1014 Addis Ababa, Ethiopia

Tel.: 00251 -11 -1306001 Fax: 00251 -11 -1242438 Website: www.usaidethiopia.org

USA Address: 2030 Addis Ababa Place Washington, DC 20521 -2030

RFA-663-12-000003 READ Technical Assistance

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

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

This RFA and any future amendments to it can be downloaded from www.grants.gov. Select "Find Grant Opportunities" then click on "Browse by Agency", and select the "U.S. Agency for International Development" and search for the RFA. In the event of an inconsistency between the documents comprising this RFA, it shall be resolved at the discretion of the Agreement Officer.

Any clarification questions concerning this RFA should be submitted via email to Mr. Abdissa Woldeyohannes, Acquisition and Assistance Management Specialist at [email protected] and Mr. Alan Garceau, Agreement Officer at [email protected] by the date and time listed at the top of this cover letter.

An Applicant must submit its application in two separate parts: (a) technical, and (b) cost or business application. Applications must be emailed to only [email protected]. Email notification for submission without attachment shall be sent to [email protected] and [email protected]. Telegraphic or fax applications are not authorized for this RF A and will not be accepted.

An Applicant must submit its application by the closing date and time listed at the top of this cover letter. Applications must be directly responsive to the terms and conditions of this RFA. To be eligible for award, the applicant must provide all required information in its application, including all the requirements found in any attachments to this RF A.

Contracting/Agreement Officer Office of Acquisitions & Assistance USAIDlEthiopia Office Phone: 251-11-130-6002, Ext. 6023

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SECTION I – PROGRAM DESCRIPTION/FUNDING OPPORTUNITY 4 ACRONYMS 4 1. PURPOSE 5 2. BACKGROUND 5 3. JUSTIFICATION FOR THE READ PROJECT 8 4. PROGRAM DESCRIPTION 9 4.1 PROJECT GOAL AND OBJECTIVE 9 4.2 RESULTS FRAMEWORK, EXPECTED RESULTS, ILLUSTRATIVE ACTIVITIES AND 11 INDICATORS 11 4.2.1 EXPECTED RESULTS 11 4.2.2 ILLUSTRATIVE ACTIVITIES 11 4.3. ILLUSTRATIVE INDICATORS TO MEASURE RESULTS 13 4.3.1. OUTCOME INDICATORS FOR WHICH THE RECIPIENT WILL CONTRIBUTE 13 4.3.2. ILLUSTRATIVE INTERMEDIATE RESULT INDICATORS FOR WHICH THE RECIPIENT WILL

CONTRIBUTE 13 4.3.3. ILLUSTRATIVE OUTPUT INDICATORS FOR WHICH THE RECIPIENT SHALL BE

ACCOUNTABLE 14 5. IMPLEMENTING PARTNERS, TARGET BENEFICIARIES AND GEOGRAPHIC FOCUS 14 5.1. IMPLEMENTING PARTNERS 14 5.2. TARGET BENEFICIARIES 15 5.3. GEOGRAPHIC FOCUS 15 6. LINKS TO RELEVANT USAID AND NON-USAID PROJECTS 15 7. PROJECT SUSTAINABILITY 16 8. GENDER, DISABILITY, AND ENVIRONMENTAL CONDITIONS 17 9. DESIGNATION OF POSITIONS AND KEY PERSONNEL 18 9.1. KEY PERSONNEL 18 9.2. HEAD OFFICE AND REGIONAL REPRESENTATION 18 9.3. HEADQUARTERS’ SUPERVISION AND SUPPORT 19 10. PERFORMANCE MONITORING PLAN (PMP) 19

SECTION II – AWARD INFORMATION 21 SECTION III – ELIGIBILITY INFORMATION 22 SECTION IV – APPLICATION AND SUBMISSION INFORMATION 23 SECTION V – APPLICATION REVIEW INFORMATION 33 SECTION VI – AWARD AND ADMINISTRATION INFORMATION 38 SECTION VII – AGENCY CONTACTS 40 SECTION VIII – OTHER INFORMATION 41 ANNEX A – STANDARD PROVISIONS 42 ANNEX B - CERTIFICATIONS, ASSURANCES AND OTHER STATEMENTS OF APPLICANTS 54


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SECTION I – PROGRAM DESCRIPTION/FUNDING OPPORTUNITY

ACRONYMS

AOR Agreement Officer‘s Representative

AO Agreement Officer

BE Basic Education

BEO Bureau Environmental Officer

BES Basic Education Services

BIP Branding Implementation Plan

CCN Cooperating Country National

CDCS Country Development Cooperation Strategy

CFR Code of Federal Regulations

COP Chief of Party

CST Contractor Salary Threshold

CTE College of Teacher Education

DEC Development Experience Clearinghouse

DQA Data Quality Assessment

EFA Education for All

EGRA Early Grade Reading Assessment

EMMP Environmental Mitigation and Monitoring Plan

ENLA Ethiopian National Learning Assessment

ESDP Education Sector Development Program

ETP Education and Training Policy

FAA Foreign Assistance Act

FACTS Foreign Assistance Coordination and Tracking System

FSN Foreign Service National

ESR Environmental Status Report

GEQIP General Education Quality Improvement Program

GOE Government of Ethiopia

IEE Initial Environmental Examination

IFESH International Foundation for Education and Self-Help

IQPEP Improving Quality Primary Education Program

IR Intermediate Result

LOE Level of Effort

MLC Minimum Learning Competency

MOE Ministry of Education

NGO Non-Governmental Organization

OCI Organizational Conflict of Interest

OP Operational Plan

PPR Performance Plan & Report

PTA Parent-Teacher Association

READ Reading for Ethiopia‘s Achievement Developed

RSEB Regional State Education Bureau

SCC School Cluster Center

SES Senior Executive Service

SOW Statement of Work

STTA Short Term Technical Assistance

TCN Third Country National

TELL Teaching English for Life Learning

TWG Technical Working Group

USAID United States Agency for International Development

USG United States Government

VSO Voluntary Service Overseas

WEO Woreda (District) Education Office


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READING FOR ETHIOPIA’S ACHIEVEMENT DEVELOPED (READ)

TECHNICAL ASSISTANCE PROJECT

1. PURPOSE

The purpose of this Program Description is to obtain technical assistance and services proposals from

qualified institutions for implementation of “Reading for Ethiopia‘s Achievement Developed (READ) Technical Assistance project‖ in Ethiopia.

Recipients should develop technical and financial descriptions for a five-year project that begins on or

about May 2012 and ends no later than June 2017. This project will provide an innovative approach to

supporting the Ethiopian Ministry of Education‘s (MOE‘s) efforts in developing a nationwide reading and

writing program that will reach the vast majority of Ethiopian primary students. This project has a heavy

focus on providing technical expertise in international best practices of teaching reading and writing;

expertise that is to be applied to a variety of Ethiopian languages in order to develop syllabi, curricula and

materials for both students and teachers. This project will provide direction, support, technical leadership

and administrative support to the MOE at both national and local levels.

The READ Technical Assistance project will be led by USAID and performed in direct collaboration with

the Ministry of Education (MOE), Regional State Education Bureaus (RSEBs), Colleges of Teacher

Education (CTEs), and Universities. The goal is to revise grades One through Eight syllabi and the

corresponding Minimum Learning Competencies (MLCs) and to develop reading and writing curriculum

and training materials for eight Ethiopian languages (Affan Oromo, Somali, Amharic, Tigrinya, Sidama,

and two additional languages to be identified by the MOE and USAID) and English. The curricular

materials will be designed to be appropriate for primary classrooms (Grades One through Eight), teacher

training and the practice of effective methodologies and strategies of language teaching that are focused on

helping students learn to read and write.

The development of these new materials will reflect a shift to a reading and writing curriculum and a move

away from a traditional language curriculum – a shift that the MOE has initiated in response to recent

studies and assessments. The MOE will provide appropriate experts in language development, curriculum

and materials development and teacher training that will produce the materials needed with the support of

READ‘s international reading experts to ensure that materials are focused on reading and writing. The

Ethiopian MOE has initiated this revision process and is ready to begin the project with strong support

from USAID‘s READ program.

The READ Technical Assistance project will also i) provide technical expertise, guidance, coordination,

and capacity building for the CTEs, Universities, RSEBs and the MOE to develop a reading faculty at the

public CTEs and improve the pre- and in-service teacher training and capacity at the CTEs related to

language-specific, evidence-based, quality reading and writing instruction; ii) identify gaps and find means

of availing reading and writing technology support and teaching aids in schools and CTEs; and iii) provide

technical input to USAID, the education community including other donors, district education offices, and

RSEBs about community-based campaigns and co-curricular activities on reading and writing.

The total estimated budget to execute this project for five years, through an assistance agreement, will not

be more than USD $45,000,000. The major partner to the recipient will be the MOE and the relationship

between the two shall be facilitated by USAID leadership and the USAID Agreement Officer‘s Technical

Representative (AOTR). Ultimately the recipient will contribute to a nationwide effort to improve learning

outcomes in Ethiopia. The end goal is literacy for 15 million children. The READ project will provide

necessary inputs to improving the reading and writing skills of children, which will lead them to literacy.

2. BACKGROUND

In 1994, the Government of Ethiopia (GoE) introduced a new Education and Training Policy (ETP), which

among other aspects, declared the use of mother tongue in primary education. The ETP states that English

will be the medium of instruction for secondary and higher education and will be taught as a subject

beginning from grade one. After the new ETP, a number of policy and strategy changes were made

governing the planning, management and delivery of education services, including decentralization.


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The Ethiopian decentralization policy gave important decision-making power to the communities, and

today Parent-Teacher Associations (PTAs) play a part in managing schools. Further, decentralization has

brought educational access to nearly all children. Ethiopia is on the verge of fulfilling its pledge for

Education for All (EFA). In 2009-10, student enrollment at the primary level reached 93.4%.

Currently, the MOE has developed a five-year (2011-2015) Education Sector Development Program IV

(ESDP IV) that emphasizes producing democratic, efficient and effective, knowledge-based, inspired and

innovative citizens who can contribute to the realization of the long term vision of making Ethiopia a

Middle Income Country. One of the ESDP‘s important priorities is improving and ensuring the quality and

efficiency of education at all levels. To realize this, the MOE has developed the General Education

Quality Improvement Program (GEQIP). GEQIP‘s impact on improving student achievement, in terms of

knowledge, skills and attitudes, will be verified through regular monitoring and evaluation schemes and

through the Ethiopian National Learning Assessments (ENLAs) which are conducted every three years

throughout the country. Recently, the MOE conducted Ethiopia‘s fourth ENLA for grade Four and grade

Eight students. USAID will also support the Ministry of Education to undertake an early grade reading

assessment (EGRA) in English in 2011. The lessons learned from the ENLAs and EGRAs (EGRA in both

mother tongue and English) will be used as inputs to further enrich GEQIP, increase achievements in

education excellence, and improve access to quality education for all. This program will work in

coordination with GEQIP and support improvement to the quality of education in Ethiopia. Components of

GEQIP will also support READ.

Although enrollment and completion rates are important, learning outcomes in early grade education in the

country have not yet met the expectations of the GOE. The MOE has established MLCs across the

curriculum. According to these competencies, by the end of grade one, students are expected to read at a

―fluent‖ rate (although this is not defined in terms of words per minute) and are expected to be ―readers.‖

However, an EGRA conducted in 2010 shows that most students are not ―readers‖ well past grade one.

The READ Technical Assistance project will analyze these education standards and curricular documents

to provide input, technical expertise and revisions.

The READ Technical Assistance project will contribute to the ESDP IV which is part of Ethiopia‘s overall

Growth and Transformation Plan 2011 to 2015. The key intervention of this program is to improve

children‘s reading and writing achievements in primary grades nationwide – skills that will lead to literacy.

The intervention will directly support the Development Objective for the USAID/Ethiopia Country

Development Cooperation Strategy addressing education: Improved Learning Outcomes and the

USAID/Ethiopia Education Strategy Intermediate Result 1: Increased achievement in basic education,

particularly in reading. The program will also support USAID‘s global Education Strategy Objective 1:

Improved reading skills for 100 million children in primary grades by 2015.

As Ethiopia has more than 20 languages being used as mediums of instruction, the eight languages that

will be targeted by this project are those that cover approximately 90% of the population in the country.

The reading and writing curriculum and training materials that will be developed in the eight main local

languages will serve as a model to be replicated by the MOE for the remaining local languages with

technical assistance from this project.

It is necessary to note possible factors that might affect the implementation of the READ Technical

Assistance project. Community awareness on learning outcomes and the capacity to support education

remains low; capacity at all levels of the education system is low; staff turnover is endemic throughout the

education system; teachers are undertrained and overburdened; school sessions are normally shifted

meaning that students spend less than 4.5 hours per day in the classroom and; overall education

infrastructure is below minimum standards. It is, therefore, critical to identify and implement innovative

approaches to increase reading and writing learning outcomes for primary education students. Background

on Ethiopia and USAID programs in Ethiopia is available at ―Ethiopia‖ in USAID‘s Development

Experience Clearinghouse (DEC) at www.dec.org.

http://www.dec.org/


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USAID/Ethiopia’s New Approach to Education Development

Previously, the main challenges of the Ethiopian education system were low access, high gender and

regional disparity in enrollment, high dropout and repetition rates, low quality and low capacity of the

education system. USAID/Ethiopia has been supporting the Ethiopian education system to address all

these challenges with a focus on equity and quality of education. The results of the three learning

assessments and the 2010 EGRA have shown that children are not learning the required skills and hence

are not achieving the MOE‘s MLC in all subjects.

The MOE took a leadership role in developing, administering, and disseminating the results of the 2010

EGRA. The MOE and Regional State Education Bureaus (RSEBs) are taking swift action on the findings

and recommendations of EGRA and READ technical assistance will bring the necessary support to the

MOE to develop materials and approaches to reading that are necessary for the Ethiopia. The MOE and

RSEBs are ready to make policy reforms to improve reading fluency in early grades and thereby learning

achievements in all grades.

USAID/Ethiopia and other donors and stakeholders have been working with the MOE and RSEBs on

mapping out the necessary steps to improve early grade reading in the short term and learning outcomes in

the medium term. This endeavor will require policy reform and coordination of a variety of stakeholders.

USAID will continue to engage in the reform process with the MOE and READ will provide relevant

information to USAID and the MOE as the process unfolds. The recipient implementing READ will be

responsible for providing technical assistance to the MOE in order for the MOE to realize policy reforms

in which they have set into motion. The MOE will remain in the forefront of undertaking policy reforms

and working with all stakeholders, including READ implementers, to realize these efforts. USAID will

continue to lead this process.

Based on the findings of EGRA and negotiations with MOE and RSEBs, USAID/Ethiopia‘s programs will

focus entirely on those elements of the teaching and learning process that directly bring improved learning

outcomes for students. The USAID/Ethiopia education program will measure and determine all success on

the basis of improved learning outcomes at the student level. The READ Project is designed in line with

this objective and will contribute to the overall USAID/Ethiopia goal. READ‘s success will ultimately

depend on the inputs and efforts of a variety of actors in the education development sector in Ethiopia.

Overall READ Program

With Millennium Development Goal #2, Achieve universal primary education, nearly being met,

USAID/Ethiopia is focusing on quality of curriculum and instruction and evidence-based early grade

reading and writing improvement. Improving the quality of curriculum and instruction in primary schools

has a remarkably large impact on student reading in a relatively limited amount of time.

The Education Office of USAID/Ethiopia has developed a five-year, $100 million reading and writing

program, ―READ‖, composed of four separate projects: Technical Assistance, Institutional Improvement,

Community Outreach and Impact Evaluation. The READ Technical Assistance Program will have four

components: curriculum improvement and evaluation, pedagogical techniques, appropriate technology and

teaching aids, and technical assistance support to MOE and RSEBs. This solicitation is for the first project,

READ Technical Assistance, which will work in coordination with the other projects that are part of this

interconnected program, in particular providing support for the READ Institutional Improvement project.

The Impact Evaluation project will conduct a baseline, mid-term and final evaluationsof the complete

READ program to determine the impact of the program intervention. The 2010 EGRA will serve as part of

the baseline for the mid-term and final evaluations. The Impact Evaluation project will be a separate

solicitation in the future.

The READ Institutional Improvement project is expected to be a four-year project, starting about one year

after the READ Technical Assistance project, once the reading curriculum and training materials are

developed, consisting of direct grants from USAID/Ethiopia to the MOE and RSEBs to develop a reading

faculty at each public CTE and improve the teacher training, pre-service training and capacity at CTEs

related to language-specific, evidence-based, quality reading and writing instruction. This project will be

managed by USAID/Ethiopia. The READ Institutional Improvement project interventions will include the


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following activities led by the RSEBs and MOE:

Development of a reading faculty at each CTE;

Development of targeted, evidence-based reading and writing pre-service teacher training

programs;

Institutionalization of pre-service instruction on reading and writing using improved curricula;

Training of all primary school (grades One through Four) language teachers (for the target eight

languages) in teaching reading and writing (starting the beginning of year 2);

Teacher and school supervisor trainings and monitoring of the use of reading and writing

assessment tools;

Support for the development of language teaching technology and aids and resource centers; and

Teacher and support personnel trainings on the development of low-cost technology and

supplemental instructional language materials.

The READ Community Outreach project will also be a four year project, which will start one year after the

READ Technical Assistance project. It will develop and roll-out community-based campaigns on reading

and writing. There is expected to be a separate solicitation for the READ Community Outreach project in

the future.

3. JUSTIFICATION FOR THE READ PROJECT

Although the GoE‘s capacity building efforts and USAID‘s work over the past ten years have helped

teachers to rethink the way they teach, the vast majority of instructors employ traditional methodologies of

teaching. These methodologies are based on rote learning as opposed to inclusive, participatory

methodologies that have been proven effective at achieving desired learning outcomes throughout the

world. The three ENLAs conducted in the last ten years have shown low academic achievement for

children in grade Four and grade Eight. The mean scores for grade Four children were 47.9% and 48.5% in

the baseline ENLA conducted in 2000 and the second ENLA conducted in 2004 respectively. In the third

ENLA conducted in 2007, however, the mean score for grade 4 children went down to 40.9%. It is clear

that while enrollment is rising, learning outcomes for students in Ethiopian primary schools, as measured

by the ENLA‘s, are decreasing.

Looking at the reading comprehension scores of Ethiopian students, the grade Four reading mean score in

2007 was 43.9%, which was much lower than the previous two national learning assessments‘ results, i.e.

64.3% in 2000 and 64.5% in 2004. In addition, in 2007, only 14.6% of the grade Four children surveyed

were proficient in reading comprehension; over 51.7% of the children achieved below the basic level in

reading comprehension, and 33.7% only demonstrated basic knowledge in reading comprehension.

In the ENLA in 2004, the mean score for grade four English language was 38.7%, and 41.1% for grade

eight. Further, the mean scores for English language in the ENLA in 2007 declined to 36.5% and 38.4%

for grade Four and grade Eight, respectively.

However, the 2007 grade Eight ENLA showed a positive impact on achievement when children were

taught in the same language that they speak at home. Children who took the tests in certain mother tongue

languages (e.g. Tigrinya and Affan Oromo) performed better than those who took the tests in English. In

Biology, for example, there was a mean difference of 13 percentage points between those who took the test

in Tigrinya and those who took the test in English.

In 2009, a study done by DeStefano and Elaheebocus in Wolliso area of Oromiya regional state showed

that there is a consistent lack of instruction in reading and writing at the early grade level, little student

exposure to text in the classroom and a lack of opportunity for students to spend time reading both inside

and outside the classroom.

A year later in 2010, USAID conducted an EGRA in six local languages, covering eight regions of the

country, in collaboration with USAID‘s Improving the Quality of Primary Education Program (IQPEP),

Research Triangle Institute (RTI) and the MOE. The EGRA is considered to be the foremost international

comprehensive assessment by experts in reading. The Ethiopian assessment shows shocking results in oral


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reading fluency and reading comprehension, indicating that students are both slow readers and do not

comprehend what they read. It also finds that in Oromiya, Somali, Benishangul-Gumuz, and Sidama only

one in six children had any reading materials to learn from. The assessment results also find that providing

books to children and encouraging families and communities to have books at home improves reading

skills for students in Ethiopia.

The primary concern related to the EGRA results is that a significant percentage of children in grade Two

read zero words correctly. The results show Sidama zone with the most zero-word readers, at 69.2%, and

Harar region and Addis Ababa with the least zero-word readers at 17.9% and 10.1% respectively. In some

regions more than half of the children in grade Two did not understand at all the story that they were asked

to read. The findings show that even though the purpose of mother tongue instruction is to ensure that

children understand what they read, the children‘s inability to decode the words means that they were

unable to understand the text. The gap between the reading comprehension and listening comprehension

scores is consistently large, and shows that the problems identified by the EGRA are specific to the

teaching of reading and having a lack of access to materials to read.

The EGRA results also show that in grade Three, a significant number of children remained nonreaders in

their mother tongue: 54.0% in Sidama, 21.4% in Somali, 20.6% in Oromiya, and 17.0% in Amhara. In

each of the eight regions, at least 80% of children, and in the case of Sidama, 100%, were not reading at

the expected oral reading fluency rate.

Among the critical factors that have contributed to low reading fluency as well as reading comprehension

of Ethiopian children is the lack of reading materials at home or tied to lesson plans at school, lack of an

established time for reading in the schools, and lack of families‘ support to their children with reading and

homework. Further, the lack of language media technologies and teaching aids coupled with the teacher-

centered teaching methodology in most schools has negatively affected all subjects in general and language

subjects in particular. Teachers focus mainly on correcting the grammar of students; and the pedagogy

encourages memorization rather than the nurturing of students‘ writing, reading, listening, speaking and

decoding skills.

4. PROGRAM DESCRIPTION

4.1 PROJECT GOAL AND OBJECTIVE

GOAL: Improve reading and writing skills of children in grades One through Eight in their mother tongue

and English as measured by improvements in learning outcomes.

The initial focus of the project will be grades One through Four. The project will continue with grades

Five through Eight in years Two through Five of the program.

OBJECTIVE: Institute, with the MOE, curricular materials with effective methodologies and strategies

for learning to read and write in the majority of Ethiopian languages. Materials will be appropriate for

primary classroom level reading and writing instruction and teacher training. Support stated elements of

the reading and writing initiatives of the MOE with USAID.


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READ Technical Assistance Results Framework

Goal: Improve reading and writing skills of children in grades 1 to 8 in their mother tongue and English as measured by improvements in student learning outcomes.

Objective: Institute, with the MOE, curricular materials with effective methodologies and strategies for learning to read and write that are appropriate for primary classroom level reading instruction and teacher training.

IR 1: Reading and writing materials appropriate for primary classrooms and pre and in-service teacher training developed.

IR2: Language specific teaching and learning methodologies and strategies that focus on helping students learn to read and write effectively are applied.

IR 3: Language teaching and learning supported by appropriate technology and teaching aids.

IR 4: Technical Assistance support to RSEBs &MOE for the READ Institutional Improvement.

Illustrative Activities:

Review current language learning materials to see gaps in the reading curriculum: content, pedagogy and assessment areas;

Develop reading and writing curriculum and textbooks for grades 1-8 with MOE and RSEBs;

Develop learning materials to enrich existing materials with emphasis on early grade reading proficiency and comprehension;

Build capacity of teachers to teach using improved materials and utilize reading assessment tools;

Follow-up use of learning materials and tools in classroom.


Assess current teaching methods, learning culture, initial reading level of students, and practice;

Identify new teaching-learning methods and practices;

Train master trainers and teacher trainers;

Follow-up use of the new methodologies/strategies;

Utilize innovative approaches to support the RSEBs to institute a systemic change to improve reading and writing teacher training and support systems.


In collaboration with MOE and RSEB officials, develop and share innovative models, resources, and tools for reading curriculum development for grades 1-8;

Support the facilitation of teacher training by RSEBs;

Provide support related to best practices and innovative approaches in developing and rolling out reading faculty in specific CTEs (grades 1-8); and


Assess teaching and learning technology resources in the schools;

Identify gaps and find means of availing modest level of technology support and teaching aids that improve early primary grade level reading and writing skills;

Help organize existing language resource centers;

Build the capacity of education officials to assess learning technology needs and determine appropriate options for addressing the need.


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4.2 RESULTS FRAMEWORK, EXPECTED RESULTS, ILLUSTRATIVE ACTIVITIES AND

INDICATORS

4.2.1 EXPECTED RESULTS

The results of this project will be measured in terms of student outcomes using several methods. It is

expected that the following data will be utilized to determine success of the project: reading achievement

among the target audience, national exam achievement, literacy rate increase among the target population,

comparison of EGRA and the ENLA as baselines with subsequent mid-term and final assessments in

reading. Results measurement will also include the provision of curriculum and training in literacy for

teachers, teacher trainers, and the quality of reading instruction delivered.

In order to contribute to USAID/Ethiopia‘s Education Development Objective, Improved Learning

Outcomes, and USAID/Ethiopia‘s Education Intermediate Result 1, Increased Achievement in Basic

Education, Particularly in Reading, the READ Technical Assistance project will focus on one result:

Improved achievement of children in primary grade level reading and writing.

Intermediate results (IRs) from this project that will contribute to attaining this result as depicted in the

chart below are:

Reading and writing materials appropriate for primary classrooms(grades One through Eight with

the main focus on grades One through Four)and pre-and in-service teacher training developed;

EGRA developed and instituted by READ Technical Assistance project (estimated in year Two)

Language specific teaching and learning methodologies and strategies that focus on helping

students learn to read and write effectively are applied;

Language teaching and learning supported by appropriate technology and teaching aids; and

Technical Assistance support to RSEBs and MOE for the READ Institutional Improvement

Project.

4.2.2 ILLUSTRATIVE ACTIVITIES

The achievement of the project objective and the four expected intermediate results will depend on the

recipient‘s innovativeness, suggested activities and strategies. There is an urgent need to develop quality

reading and writing materials for millions of Ethiopian students, therefore the recipient must be ready to

initiate a large program working simultaneously on a variety of activities, especially in the first year. Those

related milestones and targets that will be achieved over the project period shall be refined when the

recipient is in place. The activities listed below are illustrative and not exhaustive. While this project‘s

overall activities are the same throughout the regions of Ethiopia, given regional differences and

preferences, this project is expected to have different specific activities and approaches across the regions,

so that the project will have a slightly different appearance in different regions.

i) Illustrative Activities for IR 1–Reading and writing materials appropriate for primary

classrooms and pre-and in-service teacher training developed.

Analyze current reading teaching-learning materials (grades One through Eight) to

identify gaps in the reading and writing curriculum (content, pedagogy and assessment

areas);

Review the Ethiopian reading and writing minimum learning competencies and syllabi

for grades One through Eight and provide technical expertise to lead the revisions (year

One);

In collaboration with the MOE develop new and culturally appropriate reading and

writing curricula (grades One through Eight; year 1), textbooks (grades One through Four

in year One; and grades Five through Eight year Two); and teacher resource books

(grades One through Four in year One; and grades Five through Eight year Two) in


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target eight languages and teacher training materials in target languages and

English1(grades One through Four; year One);

Build the capacity of relevant MOE and RSEB staff to develop appropriate new and

culturally appropriate reading and writing curricula, teacher resource books, and training

materials in the remaining non-targeted languages used as a medium of instruction for

grades One through Eight (years Two and Three);

Provide technical assistance to improve pre-service and in-service reading and writing

teaching and instruction; and

Develop student reading and writing assessment tools, which will be used by used by

teachers regularly.

ii) Illustrative Activities for IR 2– Language specific teaching and learning methodologies and

strategies that focus on helping students learn to read and write effectively are applied.

Assess current language teaching methods, initial reading and writing level of students,

learning culture, and practice for grades One through Eight through review of relevant

documents and classroom observation;

Identify innovative student-centered reading and writing teaching-learning methods and

practices and effectively incorporate them in new curricula;

Train master trainers and teacher trainers (beginning of year Two);

Utilize innovative approaches to support the RSEBs to institute a systemic change to

improve reading and writing teacher training and support systems; and

Suggest innovative and best practices to USAID, WEOs, and RSEBs on the development

and roll-out of community-based campaigns and co-curricular activities to improve

reading and writing.

iii) Illustrative Activities for IR 3 – Language teaching and learning supported by appropriate

technology and teaching aids.

Assess reading teaching and learning technology resources and teaching aids in the

primary schools and CTEs (grades One through Four);

Identify gaps and find means of availing modest level of reading learning technology

support and teaching aids in the School Cluster Centers (SCCs) and CTEs for grades One

through Four;

Develop Global Development Alliances and Public Private Partnerships as relevant with

traditional and nontraditional partners;

Help organize existing reading and writing resource centers in schools for teachers and

for grades One through Four; and

Build the capacity of education officials to assess learning technology needs and

determine appropriate options for addressing the needs.

iv) Illustrative Activities for IR 4 - Technical Assistance support to RSEBs and MOE for the

READ Institutional Improvement. The recipient shall support USAID/Ethiopia‘s direct grants

to the MOE and RSEBs with technical and administrative assistance for quality

implementation of the READ Institutional Improvement project.

In collaboration with MOE and RSEB officials, develop and share innovative models,

resources, and tools for reading curriculum development for grades One through Eight;

Support the facilitation of teacher training by RSEBs;

Provide support related to best practices and innovative approaches in developing and

rolling out reading faculty in specific CTEs (grades One through Eight); and

Provide mentoring and support for developing and actualizing a specific, individualized

vision for systemically addressing reading and writing teacher training needs at individual

CTEs for primary level education to RSEBs (and as designated, directly with specified

CTEs), particularly addressing the critical components of a quality reading and writing

program that uses evidence-based and innovative approaches specific to the target local

languages (years One and Two).

1 English language curriculum and textbooks will be revised and developed according to the schedule of the MOE and

continued dialogue on the subject.


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Although a bulk of the activities will be completed in the first three years of the project, years Four and

Five of the READ Technical Assistance project will undertake follow on activities including revisions to

materials based on learning throughout the project, conducting EGRA studies and other nontraditional

reading and writing assessments, and providing technical support to MOE, RSEBs and CTEs.

4.3. ILLUSTRATIVE INDICATORS TO MEASURE RESULTS

USAID is committed to measuring the learning outcomes of students as its highest level impact. The

USAID/Ethiopia education portfolio is focusing entirely on the elements of the teaching and learning

process that directly yield improved learning outcomes for students. The education program will no longer

measure success based on number and quality of inputs provided to the education system. All measures of

impact and success will be directly related to achievement and outcomes at the student level. Some of

these outcomes will not be directly attributable solely to USAID‘s efforts but will be a result of intense

coordination between the MOE and other donors and stakeholders. In terms of early grade reading

USAID‘s programs will serve as a catalyst to bring improved student level outcomes to fifteen million

children.

Below is a list of indicators; however, a final list of indicators and measurable learning outcomes shall be

reflected in the recipient‘s five-year plan. The recipient shall focus on those indicators that show real

impact rather than lower-level indicators and shall include relevant standard learning outcome indicators.

The outcome and intermediate result indicators require the efforts of various stakeholders. Therefore, the

READ Technical Assistance project will not be accountable to the achievements of these indicators; it will

only contribute to the achievement of these indicators. The READ Technical Assistance project will be

mainly responsible for the achievement of the output indicators.

4.3.1. OUTCOME INDICATORS FOR WHICH THE RECIPIENT WILL CONTRIBUTE

Number of grade One through Four students with improved scores on reading and writing

assessments(in medium of instruction);

Percentage of students in grades Two and Three who are proficient in reading (in medium of

instruction);

Percentage of children in grades Two and Three who have proficiency in reading

comprehension;

Mean scores of standardized learning achievement test in grade Four and grade Eight;

Student achievement in English language learning in grades Two, Four, Six and Eight; and

Proportion of students reading English with fluency and comprehension after two years of

English language instruction.

4.3.2. ILLUSTRATIVE INTERMEDIATE RESULT INDICATORS FOR WHICH THE

RECIPIENT WILL CONTRIBUTE

Number of schools with teacher reading and writing resource books for every grade One

through Eight teacher and reading and writing texts for every grade One through Eight

student;

Percent of teachers observed using reading and writing materials provided by the project;

Percent of teachers observed using interactive and communicative methodologies in the

classroom;

Percent of teachers who use formative continuous assessment methods using sound tools.

Percentage of teachers using technologies to support reading and writing learning in their

classrooms; and

Percent of education officials capable of assessing reading learning technology needs and

determine appropriate options for addressing the needs built.


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4.3.3. ILLUSTRATIVE OUTPUT INDICATORS FOR WHICH THE RECIPIENT SHALL BE

ACCOUNTABLE

Number of syllabi and MLCs revised;

Number of reading and writing materials for teachers developed;

Number of textbooks developed;

Number of teacher training manuals developed;

Number of formative continuous assessment tools developed;

Number of teacher trainers trained;

Number of teacher educators trained;

Number of teachers trained;

Number of administrators and officials trained;

Two nationwide EGRA‘s administered (years Two and Five)

Number and type of technologies to support new reading and writing texts and learning

materials provided to Colleges of teacher education (CTEs), schools and cluster resource

centers; and

Percentage of regions with RSEB-led and managed quality, institutionalized reading and

writing teacher training in-service program.

5. IMPLEMENTING PARTNERS, TARGET BENEFICIARIES AND GEOGRAPHIC

FOCUS

5.1. IMPLEMENTING PARTNERS

The MOE, with USAID, will be the major partner and the lead in implementing the READ program. The

MOE and RSEBs staff will be working with READ Technical Assistance project in revising the syllabi

and MLCs, developing textbooks and teacher training manuals. MOE will also coordinate with other

donors the development and printing of supplementary reading materials, and printing of textbooks

developed through the support of the READ Technical Assistance project.

Within the READ program, it is expected that RSEBs and the MOE will implement the Institutional

Improvement project. The READ Technical Assistance project shall directly support and coordinate with

the Institutional Improvement project, ensuring that a sustainable and effective reading and writing

program is in place. The READ Technical Assistance project shall coordinate closely with the planned

READ Community Outreach project to ensure synergies and achievement of the overarching program

goal. In addition, the READ Technical Assistance project will need to coordinate with the READ

evaluation implementers to ensure reliable and timely data. Moreover, the READ Technical Assistance

project shall coordinate with the USAID-funded IQPEP project which focuses on overall quality education

and has developed reading modules for teacher training. Through the USAID/Ethiopia office, this project

will also coordinate with the multi-donor pooled fund GEQIP which also addresses quality education and

will be working in conjunction with this project.

Similarly, the READ Technical Assistance project‘s results require close collaboration and coordination

with the various partners including USAID, SCCs, WEOs, CTEs, RSEBs, and the MOE. By involving key

stakeholders in this process, mutual understanding of all aspects of the project will develop, which will

lead to better collaboration and results, and enhanced prospects for sustainability. The READ Technical

Assistance project shall work to ensure the use of resources available in the SCCs and CTEs by teachers in

the school cluster groups (satellite schools), help roll out early grade reading and writing teaching aids and

methodologies, and promote use of reading and writing materials developed for both teachers and students.

Currently, the Ethiopian education system benefits from volunteers from many different countries. The

volunteers from Peace Corps‘ Improving Teaching English Language in Ethiopia program (funded by

USAID), the International Foundation for Education and Self-Help (IFESH) support (funded by USAID),

and Voluntary Service Overseas (VSO) cover different subject areas, working primarily with the CTEs and

universities. The Japan International Cooperation Agency (JICA), Philippines, and China provide

volunteers in the technical and vocational areas, while the Korea International Cooperation Agency focuses

on technical faculties of the universities and secondary schools.


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The USAID-funded U.S. Peace Corps program focuses on improving English language teaching in

Ethiopia. Peace Corps Volunteers are being placed in selected CTEs and primary schools and will teach

English language in primary schools and work with their counterparts in the CTEs to increase availability

and use of teaching resources, help roll out new teaching aids and methodologies, promote supplemental

reading materials for both teachers and students, and promote an English speaking and reading

environment. Support of and collaboration with the Peace Corps will be coordinated with the READ

Technical Assistance project through the Language Departments (English Language Improvement Centers)

of the CTEs and the MOE‘s English Language Teaching Improvement Program.

In order to maximize the potential for project sustainability, USAID strongly encourages the recipient to

incorporate participation of Ethiopian NGOs and/or Ethiopian civil society organizations in its plan to

achieve the project results.

USAID strongly encourages recipients to submit innovative approaches to the READ technical

assistance program. However, keep in mind that the core of the program has been pre-negotiated

with the MOE and therefore innovations should fall within the existing structure of the program. If

the recipient suggests alternate methods to achieve the same outcomes they must be realistic, cost

effective, sustainable and achievable within the advised time period to be considered valuable.

5.2. TARGET BENEFICIARIES

The READ Technical Assistance project will benefit Ethiopian students (projected 15 million), teachers,

teacher trainers, curriculum development officers, school directors, school cluster coordinators/supervisors,

woreda, regional and national education officers, and the MOE. By the end of the project, it is expected

that all students in all CTEs and primary schools across Ethiopia will receive improved reading and writing

instruction.

Selection of beneficiaries for training should be based on a strategic approach to the overall project,

including collaboration with the MOE and RSEB‘s. USAID/Ethiopia has supported training of thousands

of individuals annually. Lessons learned from the past show that careful selection of training recipients is

necessary to facilitate implementation of the project and sustainability of the capacity building efforts.

More importantly, building the capacity of Ethiopian Institutions to provide training in a sustainable

fashion is the end goal. The recipient will propose a Human and Institutional Training and Capacity plan

(with a strong and measurable focus on women) per school, CTE, university, woreda, RSEB, and MOE to

feed into the Performance and Monitoring Plan.

5.3. GEOGRAPHIC FOCUS

The project will have national impact. Regions that use one of the following eight languages, Affan

Oromo, Aff Somali, Amharic, Tigrinya, Sidama, and three other identified local languages as their medium

of instruction for primary education will be targeted. The MOE will be supported in scaling up and

expanding the intervention to additional languages for long-term language teaching-learning improvement

throughout Ethiopia. The project is expected to reach 15 million children in all schools and all regions of

Ethiopia.

6. LINKS TO RELEVANT USAID AND NON-USAID PROJECTS

The recipient shall, at each design and implementation phase, assess applicable community and external

resources available to beneficiaries and facilitate linkages to wrap additional services that would help to

improve reading fluency in early grades. In addition to working closely with the other project components

of the READ program, the READ Technical Assistance project will need to coordinate their activities with

other existing programs. The Peace Corps‘ Improving Teaching English Language in Ethiopia program,

IFESH, and VSO provide volunteers to CTEs and schools. USAID‘s Teaching English for Life Learning

(TELL) and IQPEP provide continuous capacity building at the primary schools and CTEs. USAID/IQPEP

has already developed four early grade reading training modules for use in schools and is in the process of

printing. To be effective, it is important that the new project is well coordinated with all these resources.


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The recipient shall assure that all research or data collection under the READ Technical Assistance project

are coordinated with USAID BES partners and/or other Ethiopian or Mission entities. In this regard, the

recipient will utilize existing resources of collaborating partners; including libraries, documentation centers,

and field personnel, to the extent practical in the collection of selected datasets, as opposed to generating

parallel data and/or hiring separate staff.

USAID encourages broad Private Voluntary Organization/NGO and private sector networking and

collaboration in all activity undertakings. The recipient will participate in periodic seminars and conferences

to share and disseminate experiences among key actors in the public and private sectors.

7. PROJECT SUSTAINABILITY

In development work, an NGO should not act as beneficiary-donor intermediary. It must build the capacity

of the targeted beneficiary and stimulate them to identify problems and devise local solutions. This is the

essence of sustainability.

A one off training or workshop on sustainability does not ensure sustainability. Furthermore, uncertainty

over government commitment and lack of explicit plan for transferring responsibility put education

projects‘ sustainability/initiatives at risk. Other aspects that affect sustainability are:

If there is no official agreement among stakeholders (in the case of this Project, the Recipient,

CTEs, RSEBs and woredas) or plan to maintain the results of the project interventions/initiatives;

Frequent staff turnover at regional, woreda, and CTEs levels result in interruption of project

activities and decelerate the momentum generated;

Transfer of core personnel (deans of CTEs, teachers, woreda education officers, curriculum

experts, RSEBs heads, etc.) affect maintaining the skills and knowledge acquired through the

project;

If training materials are not made available for future reference; and

If orientation for new staff on the overall project principles, objective, practices/process and

understanding that foster sustainability do not exist (if new staffs assume responsibility without

catch-up training on project activities).

In an attempt to ensure the continuation of the initiatives of the READ Technical Assistance project

beyond its life, the Recipient together with the SCCs, CTEs, WEOs, RSEBs, and MOE shall employ the

following and other similar mechanisms:

Develop an effective organization and management in-service structure/system;

Plan activities at a regional level such that RSEBs can have control over their own development;

At the woreda level, foster sustainability through the design and implementation of policy that

integrates the principles and practices of the Project into everyday woreda work plans;

WEOs and RSEBs to allocate adequate recurring budgets to support and sustain in-service

activities at the SCCs –for training, supervision, equipment maintenance, etc.;

Establish a system of accountability through supervision and evaluation;

Establish an incentive system such as recognition and certificates or points that will have

implications for promotions or position upgrading and scholarships;

Strengthen the capacity of WEOs, CTEs, RSEBs, and MOE staff to actively participate in

developing new curriculum materials - conducting needs assessment, training, carrying out follow

up support; and

Assign capable and responsible personnel (coordinators, supervisors, school directors) for

organizing trainings and analyzing curricular materials; etc.

The recipient shall work with stakeholders to identify and document best practices of the project to provide

for sustainability and to scale up a primary grade level reading and writing program. The recipient shall

also provide technical assistance and build the capacity of the Ethiopian MOE and RSEBs to develop

similar curricular materials appropriate for primary classroom instruction and teacher training that are

focused on helping students learn to read and write.


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8. GENDER, DISABILITY, AND ENVIRONMENTAL CONDITIONS

USAID/Ethiopia has a priority to target underserved groups, including and people with disabilities.

According to the United Nations Convention on the Rights of People with Disabilities, a person with

disability is defined as someone who has ―long term physical mental and intellectual or sensory

impairments which in interaction with various barriers may hinder their full and effective participation in

society in an equal basis with others.‖

Every effort will be made to accommodate the needs of people with disabilities in this project.

Furthermore, the recipient/applicant shall include a disability inclusion plan specifically delineating how

the project will address barriers for people with disabilities relevant to the project and ensure equal access

and disability inclusive development practices. The applicant should illustrate how the project will include

people with disabilities, including women and girls with disabilities, in the design, implementation,

monitoring, and evaluation phases. The recipient/applicant must ensure people with disabilities, including

women and girls with disabilities, will participate in and benefit from activities. The recipient/applicant

should show evidence of linkages to local Disabled People‘s Organizations (organizations managed and

led by people with disabilities) and local community structures illustrating how they will work in

partnership with them.

USAID/Ethiopia‘s Basic Education Services (BES) Office has a priority to target underserved groups,

including women and girls and people with disabilities and supports the GoE in reducing gender inequality

and disparity levels between men and women. The BES Office will apply a gender analysis in reviewing

the recipient‘s proposal, designing baselines and impact assessments, and tracking indicators. It will also

work to minimize unintended consequences, including an increase of burden on people with disabilities,

female teachers, and education experts at the different levels of the education system. USAID will work

with the recipient to consider gender issues as well as to ensure maximum female teachers and education

experts are targeted for trainings during the work plan preparation. Finally, all materials will be developed

with specific attention to gender, including specific analysis and attention to the ways in which girls and

women are portrayed in the materials in order to promote positive and healthy gender roles.

USAID/Ethiopia will also work with the recipient to ensure that all curricula, materials and training are

promoting teaching techniques known to be inclusive for all students, including those with disabilities.

This includes provisions for student and teacher materials development in both braille and sign language.

Every effort will be made to accommodate the needs of people with disabilities in this project.

Furthermore, the recipient shall include a disability inclusion plan specifically delineating how the project

will address barriers for people with disabilities relevant to the project and ensure equal access and

disability inclusive development practices.

Additionally, this project complies with USAID‘s environmental regulations, found at 22 CFR, Part 216. It

falls under the Initial Environmental Examination (IEE) for USAID/Ethiopia, BES Office (663-SO 14.3,

August 26, 2004).

Categorical Exclusions from environmental examination are recommended for the following activities

covered by the following citations in Reg. 216, by subparagraph of 22 CFR 216.2(c) (2):

(i) Activities involving education, training, technical assistance or training programs;

(ii) Activities involving controlled experimentation exclusively for the purpose of research and

field evaluation and carefully monitored;

(iii) Activities involving analyses, studies, academic or research workshops and meetings;

(iv) Activities involving document and information transfers;

(v) Studies, projects or programs intended to develop the capacity of recipient countries and

organizations to engage in development planning.

Based on the project activities and pursuant to 22 CFR 216.2(c) (2) (i, ii, iii, v, and xiv), the READ

Technical Assistance project is Categorically Excluded from environmental review. If additional

activities not described in this document are added to this project, an amended environmental examination

will be required.


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9. DESIGNATION OF POSITIONS AND KEY PERSONNEL

The recipient shall have limited technical staff; they shall have a strong capacity to implement, monitor,

evaluate and develop teacher resource books, primary grade level reading and writing teaching and

learning materials, and student reading and writing assessment tools.

Existing staff and resources of the Ethiopian Government and its partners will be drawn upon through

partnerships to implement a linkage approach, and creative ways will be identified to reach those local

languages not presently covered by this READ Technical Assistance project.

The recipient will work with the MOE and RSEB‘s to create teams composed of international and local

language experts for each of the target eight languages that will be working directly with and among the

MOE and RSEBs staff.

Based on: (a) an understanding of the issues/problems and the challenges and opportunities and activities

described herein; and (b) the recipient‘s proposed activities, milestones, and targets to be accomplished

over the life-of-the-READ Technical Assistance project, USAID/Ethiopia strongly encourages the

employment of host country nationals, in particular women, who can bring appropriate technical expertise,

language and cultural experience to these key personnel.

The recipient is advised that appropriate gender balance of proposed professional personnel and

commitment to maintaining 50% women and 10% disabled personnel throughout the life of plan is highly

desired. Further, the recipient should include a discussion of proposed headquarters‘ supervision.

The recipient is advised to strongly support diversity in the workforce, equal employment opportunity and

appropriate gender balance, and highly encourages qualified female professionals and hiring professional

of physical challenged personnel throughout the life of the project.

9.1. KEY PERSONNEL

Approval of specified key personnel: Only those positions which are considered to be essential to the

successful implementation of the Grant shall be designated as key personnel. USAID‘s policy limits this to

a reasonable number of positions, generally no more than five positions or five percent of recipient

employees working under the Grant, whichever is greater. Before assignment of key personnel, his/her bio

data shall be communicated to USAID and approval will be made in writing by the USAID Agreement

Officer. Further, no diversion or replacement of key personnel will be made by the recipient without prior

written consent of the USAID Agreement Officer.

Prior to diverting any of the time of the a) CoP, b) two Deputy CoPs or c) Financial and Human Resources

Manager to other duties, the recipient will notify the USAID Agreement Officer and the AOR reasonably

well in advance, and will submit a justification and explanation, including proposed substitutions, in

sufficient detail to permit evaluation of the impact on the Contract (including budget implications).

The recipient will indicate a staffing structure that includes other full-time or regular part-time project

positions in specific priority technical areas that are clearly defined (by the recipient) and accepted by

USAID within the Contract. USAID anticipated that the recipient will hire senior reading and writing

experts for each targeted language that will work with local experts in each of the target regions.

Within one month upon contract signature, those designated as Chief of Party (CoP), Deputy Chiefs of

Party, Senior Reading Experts, Financial and Human Resources Manager, Monitoring and Evaluation

Officer and other staff of the Project must be hired and available to commence work in Ethiopia.

9.2. HEAD OFFICE AND REGIONAL REPRESENTATION

The recipient shall register with the Government of Ethiopia and establish an office in Addis Ababa equal

to the requirements needed to provide necessary support for management and technical assistance activities

under the Grant. It will operate under the general supervision of the CoP.


19

The recipient should plan to provide all administrative and management support necessary to the

functioning of the READ Technical Assistance project and for the selected languages of intervention as it

is phased in. This includes support to visiting recipient staff, implementation of financial and accounting

systems for local commodity procurement, arranging for and supporting local training and events,

provision of all travel and support for long- and short-term personnel, etc.

In addition to the long-term technical positions necessary to the achievement of Grant outputs, the

recipient is expected to propose adequate technical and support staff for the central office. Further, the

recipient is encouraged to maintain a low budget and minimal administrative costs, and to define in detail

its proposed arrangements and staffing.

The recipient may at its option establish some mode of permanent representation as necessary in regions

and zones (woredas) of interventions. The recipient is encouraged to consider "least-cost" possible means

of achieving such representation, i.e., obtaining office space from the relevant RSEBs, WEOs, or CTEs.

9.3. HEADQUARTERS’ SUPERVISION AND SUPPORT

Given provisions for designation of a fully authorized CoP, and provision for project-funded full-time staff

at the local office, any direct level of effort attributable to headquarters activities is expected to be focused

primarily on that required for sourcing information and technical expertise to support the field team.

10. PERFORMANCE MONITORING PLAN (PMP)

The recipient shall describe and specify the project goal, intermediate results, and outputs. The PMP

should specify each indicator (with explicit definition and justification, data collection and verification

method, data sources, frequency of data collection, and indication of data quality limitations and proposal

of data), and targets. To ensure reliability and accuracy of progress towards expected results and that

monitoring and evaluation systems are as cost-effective as possible, the recipient is encouraged to cross

reference results and indicators of the READ Technical Assistance project with results and indicators of

host government and other USAID/Ethiopia education programs. Further, the recipient shall establish the

necessary project baseline data as per the agreed upon indicators at the commencement of the project. The

recipient must demonstrate methods and approaches to capture data for project beneficiaries and people

targeted for outreach, disaggregated by sex and type of disability and geographic operation area

(region/district).

The READ Technical Assistance Contract shall contribute to the achievement of the USAID/Ethiopia

Education Development Objective. Therefore, the recipient is expected to coordinate with the overall

READ Program on impact assessments, evaluation, and learning.

The PMP should allow USAID to gauge the recipient‘s performance and understand any unforeseen

changes in strategy to achieve intended results. Standard indicators from various agency frameworks, such

as the USAID Basic Education Program results framework, the Foreign Assistance Coordination and

Tracking System (FACTS), will be incorporated into the PMP to show the contribution made by READ

Technical Assistance Project. Indictors should be sex disaggregated where appropriate, and recipients

should propose amendments to the proposed illustrative indicators provided under the above READ

Technical Assistance Project Results Framework and Indicators section (see C.4.2).

The PMP shall also indicate the various evaluations planned to be undertaken with their purpose,

illustrative research question, and schedules the major M&E undertakings. Wherever possible and

appropriate, these shall be presented in tabular and/or graphical forms that portray progress over time,

presentable to an executive audience an immediate sense of progress or the lack thereof. The PMP will be

a living document and will be updated based on changing context and program assumptions. The PMP

should be linked to the various projects coming up during life of the project. Thus, all projects under

READ program will have their own PMP logically connected and contributing to the bigger program. A

draft PMP must be submitted with the technical proposals; the draft PMP will be finalized after project

start-up and submitted for USAID‘s approval. Any subsequent changes in the PMP will require

concurrence from USAID.


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Within three months of the Contract signing, the recipient shall submit a comprehensive Performance

Monitoring Plan (PMP), directly related to the results and standardized performance indicators of the

READ Technical Assistance project, to the designated USAID/Ethiopia COR for approval.

USAID, using an external evaluator, will undertake evaluations at the beginning of the program and at the

end of the third and fifth years to assess the overall implementation of the full READ program. The

evaluation that will be conducted at the end of the third year will inform the project and contribute to

improved methods of implementation during the fourth and fifth years of the project. Similarly, the

evaluation that will be conducted at the end of the fifth year will determine the level of impact of the entire

READ program, including the READ Technical Assistance project.

[END OF SECTION I]


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SECTION II – AWARD INFORMATION

1) Subject to the availability of funds, USAID intends to provide approximately $45,000,000 in total

funding for this program and expects to make one award as a result of this RFA. However, USAID

reserves the right to fund any or none of the applications submitted.

Funding for accepted application(s) shall be provided on an incremental basis subject to the

availability of funds and successful performance. USAID reserves the right to change the funding

amounts, cycle, and terms of the grant agreement as a result of availability of funding and US

Government requirements. Should such changes occur, recipients will be appropriately notified.

2) The anticipated period of the award is for five years beginning in approximately June 2012 through

June 2017.

3) USAID anticipates that the award will be a Cooperative Agreement. In accordance with ADS

303.3.11, Cooperative Agreements permit the ―substantial involvement‖ of USAID in certain aspects

of the supported program. Specifically, USAID substantial involvement will include:

a) Approval of the Recipient’s Implementation Plans

b) Approval of Specified Key Personnel

c) Agency and Recipient Collaboration or Joint Participation - Approval of the recipient‘s

monitoring and evaluation plans.

[END OF SECTION II]


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SECTION III – ELIGIBILITY INFORMATION

1) USAID policy encourages competition in the award of Grants and Cooperative Agreements. In

response to this RFA, any U.S. or non-U.S. organization, non-profit, or for-profit entity is eligible to

apply.

2) USAID encourages applications from potential new partners.

3) Applicants are encouraged to propose a cost share contribution under this program. Type of costs

acceptable for cost share are consistent with 22 CFR 226, including overhead and/or indirect costs.

4) There are no additional minimum qualifications other than those described herein.

[END OF SECTION III]


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SECTION IV – APPLICATION AND SUBMISSION INFORMATION

(1) Applications and modifications thereof shall be submitted either via:

a) ELECTRONICALLY – Option 1. Package in email(s) with attachments shall be sent only to

the following: [email protected]. Email notification for submission without attachment shall

be sent to [email protected] and [email protected]. The attachments shall be in

software compatible with MS Word and MS Excel or Adobe Portable Document Format (PDF).

Please note that Excel worksheet shall allow calculations to be displayed on formula bar. Do

not send right protected or locked excel worksheets that doesn‘t allow formula on formula bar.

If you send your application by multiple emails, please indicate in the subject line of the email

whether the email relates to the technical or cost proposal, and the desired sequence of multiple

emails (if more than one is sent) and of attachments (e.g. ―no. 1 of 4‖, etc.). For example, if

your organization's name is ABXY Consulting, and your cost proposal is divided and being sent

in as two emails, the first email should have a subject line which says: ―USAID/Ethiopia-RFA-

663-12-000003: ABXY, Cost Proposal, Part 1 of 2‖. If you do not do this clearly, we may not

be sure of the correct order of the separate parts of your applications. Our preference would be

that each technical and each cost proposal be submitted as a single email attachment, e.g. that

you consolidate the various parts of a technical proposal into a single document before sending

it. But if this is not possible, please provide instructions on how the multiple parts are supposed

to fit together, especially the sequence.

What is obvious to you as the preparer of the document may not be obvious to us. Your

application may not get optimal treatment if we are confused regarding the order and

composition of your application.

b) ELECTRONICALLY – Option 2: - The federal grant process is now web-enabled, allowing

for applications to be received on-line. This RFA and any future amendments can be

downloaded from the following web site: http://www.grants.gov. In order to use this method,

an applicant must first register on-line with Grants.gov. If you have difficulty registering,

please contact the Grants.gov. Helpdesk at 1-800-518-4726 or via e-mail at

[email protected] for technical assistance. The Contact Center hours of operation are

Monday-Friday, 7 a.m. to 9 p.m., Eastern Time; help is unavailable on Federal Holidays.

USAID bears no responsibility for data errors resulting from transmission or conversion

processes associated with electronic submissions. If this option is selected, please send an email

of information or notification to [email protected].

c) COURIER/HAND DELIVERY: The hard copies of applications and modifications thereof

shall be submitted in sealed envelopes or packages addressed to the office specified in the cover

letter of this RFA, with the RFA number, the name and address of the applicant, and whether

the contents contain technical and/or cost proposals noted on the outside of the

envelopes/packages. One (1) original and four (4) identical paper copies of Technical

Applications, and an original (1) and two (2) copies of the Cost Application with a CD-ROM

(as per the instruction in above) to: OAA Office, referencing ―USAID/Ethiopia-RFA-663-12-

000003‖.

i. Via regular mail to US Postal Address: Sending one original (1) and four (4) copies of

technical applications and one (1) original and two (2) copies of a cost application including

both technical and cost application on CD-ROM to: USAID/Ethiopia-RFA-663-12-

000003, Office of Acquisition and Assistance, USAID/Ethiopia, 2030 Addis Ababa Place,

Washington D.C. 20521-2030.

NOTE: Pouch can take up to two (2) weeks; also all mail is subject to US Embassy

electronic imagery scanning methods, physical inspections, and is not date and time

stamped prior to receipt by USAID/Ethiopia Office of Acquisition & Assistance Office; or

mailto:[email protected]



http://www.grants.gov/




24

ii. Local - Hand delivery/Int’l Courier Address (including commercial courier) to:

USAID/Ethiopia-RFA-663-12-000003, Office of Acquisition and Assistance, USAID-

Ethiopia US Embassy Addis Ababa, Entoto Street, P. O. Box: 1014, Addis Ababa, Ethiopia.

The hard copies of applications and modifications thereof shall be submitted in sealed

envelopes or packages addressed to the office specified in the cover letter of this RFA, with

the RFA number, the name and address of the applicant, and whether the contents contain

technical and/or cost proposals noted on the outside of the envelopes/packages.

iii. Address to Request Application Packages or questions:

This application is found on the internet at www.grants.gov . Potential applicants that

cannot download application materials electronically may request an electronic copy of the

RFA by contacting the following persons:

(2) Applicants must submit budget applications using the SF-424 series which includes the:

SF-424, Application for Federal Assistance,

SF-424A, Budget Information – Non-construction Programs, and

SF-424B, Assurances – Non-construction Programs.

(3) Applicants must submit all the required certifications described in ADS 303.3.8

(http://www.usaid.gov/policy/ads/300/303sad.pdf), and reproduced here below. These documents

are also found in Annex B to this RFA.

a. A signed copy of Certifications and Assurances, which includes:

1. Assurance of Compliance with Laws and Regulations Governing Nondiscrimination in Federally Assisted Programs (This assurance applies to Non-U.S. organizations, if any part of

the program will be undertaken in the U.S.);

2. Restrictions on Lobbying (22 CFR 227);

3. Prohibition on Assistance to Drug Traffickers (ADS 206); and,

4. Certification Regarding Terrorist Funding (AAPD 04-14).

b. Other certifications and statements found in Certifications, Assurances, and Other Statements of

the Recipient:

1. The Survey on Ensuring Equal Opportunity for Applicants;

2. A Data Universal Numbering System (DUNS) number (See Use of a Universal Identifier by

Grant Applicants for background information.);

3. A signed copy of Key Individual Certification Narcotics Offenses and Drug Trafficking,

(ADS 206.3.10) when applicable;

4. A signed copy of Participant Certification Narcotics Offenses and Drug Trafficking (ADS

206.3.10) when applicable; and

(4) Required Format for Applications:

To facilitate the competitive review of the applications, applications should conform to the format

prescribed below. Applications shall be submitted by e-mail in two separate parts: (a) technical, and (b)

cost or business application as described in the cover letter of this RFA.

Abdissa Woldeyohannes (Mr.)

Acquisition & Assistance Management

Specialist

USAID/Ethiopia

Tel: 00251-111-306117

Fax: 00251-111-242438

Email: [email protected]

Alan Garceau

Agreement Officer

USAID/Ethiopia

Tel: 00251-111-306013

Fax: 00251-111-242438

Email: [email protected]

http://www.grants.gov/

http://www.usaid.gov/policy/ads/300/303sad.pdf

http://www.whitehouse.gov/sites/default/files/omb/fedreg/062703_grant_identifier.pdf

http://www.whitehouse.gov/sites/default/files/omb/fedreg/062703_grant_identifier.pdf




25

Applicants are expected to review, understand, and comply with all aspects of this RFA. Failure to do so

will be at the applicant‘s risk.

Each applicant shall furnish the information required by this RFA. The applicant shall sign the application

and certifications and print or type its name on the Cover Page of the technical and cost applications.

Applications which include data that they do not want disclosed to the public for any purpose or used by

the U.S. Government except for evaluation purposes should:

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

―This application includes data that shall not be disclosed outside the U.S. Government and shall not

be duplicated, used, or disclosed - in whole or in part - for any purpose other than to evaluate this

application. If, however, a grant is awarded to this applicant as a result of - or in connection with - the

submission of this data, the U.S. Government shall have the right to duplicate, use, or disclose the data

to the extent provided in the resulting grant. This restriction does not limit the U.S. Government‘s

right to use information contained in this data if it is obtained from another source without restriction.

The data subject to this restriction are contained in pages___.‖; and

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

―Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this

application.‖

TECHNICAL APPLICATION FORMAT

Technical applications should be specific, complete and presented concisely. A lengthy application does

not in and of itself constitute a well thought out proposal. Applications shall demonstrate the applicant‘s

capabilities and expertise with respect to achieving the goals of this program.

The technical application may not exceed 50 pages while the minimum is 30 pages exclusive of the

annexes (curriculum vitae/resumes, past performance references, and letters of commitment from any

implementing partners, if any). PAGES EXCEEDING THESE PAGE LIMITS WILL NOT BE

EVALUATED. The application shall be typed on standard 8 ½" x 11" or A4 sized paper with each page

numbered consecutively. The technical application must follow the following format:

A. Cover Page (not included in page limit)

The cover page must include at a minimum the following information:

RFA Number

Project Title

Name of the organization(s) submitting the application

Name and title of contact person or position within the organization

E-Mail Address

Telephone and fax numbers

Postal and physical addresses

Applicants should also state clearly whether the identified contact person has the authority to negotiate

on behalf of the applicant, or, if not, the contact information for the appropriate person with the

authority to negotiate.

B. Table of Contents (optional, not included in page limit)

C. Acronym List (optional, not included in page limit)

D. Executive Summary (1-3 pages) This section should allow technical reviewers to quickly understand the critical elements of the application

including the most salient features of the applicants‘ technical vision and approach, the key personnel and


26

management plan proposed, and the capabilities of the partners to accomplish the desired results.

E. Technical Understanding and Proposed Approaches (maximum 30 pages)

Technical applications must be specific, complete and presented concisely. The applications must

demonstrate the applicant‘s capabilities and expertise with respect to achieving the goals for this program.

The application must take into account the technical selection criteria and evaluation procedures found in

Section B.

The technical approach will be evaluated on the overall merit and feasibility of the program approach and

strategies proposed to achieve the results. The technical approach must set forth the conceptual approach,

methodology, and techniques for the accomplishment of the stated objectives. It should reflect a thorough

understanding of the current context and policy environment in Ethiopia. The applicant should discuss

how resources will be organized to obtain expected results.

Proposals must demonstrate technically, culturally, and economically sound, appropriate, cost-effective

and feasible approaches to achieve the objective of the READ Technical Assistance project. Proposals

will be scored based on the degree to which they:

Demonstrate a sound, adequate analytical basis for proposed approaches, strategies, interventions

(including gender and disability) and an understanding of the cultural, demographic, and socio-

economic factors related to strengthening student outcomes in early grade reading and writing in

Ethiopian primary schools;

Provide a clear summary of what is to be accomplished, including:

a) the Grant outputs that will be achieved, with realistic milestones and targets defined, and

demonstrated linkages with the project objective;

b) how the Grant outputs, milestones and targets will be achieved, demonstrating innovative,

cost-effective, technically and culturally sound approaches;

c) discussions under each result that adequately explain and show the feasibility of how the

recipient will apply its preferred methods and strategies to achieve the project goal and

results, accounting for the different levels of education system development of the various

regions;

Demonstrate how the recipient will effectively bring reading and writing related skills, experience,

and data-informed choices to the local context, considering factors such as languages, and regional,

woreda and school contexts;

Demonstrate how the recipient will creatively and efficiently meet the stated and negotiated goals of

the MOE and USAID in terms of timing, quality and collaboration;

Ensure that all curricula, trainings and materials are promoting early grade reading and writing

teaching techniques known to be inclusive for all students, including those with disabilities;

Offer appropriate and feasible mechanisms to incorporate, mentor, and facilitate the capacity

development and participation of curriculum experts, CTEs, RSEBs, and MOE;

Demonstrate the capacity of the recipient to coordinate with the GoE, USAID partners, other donors,

local NGOs, schools, universities, and CTEs; and to build on the work done by the GoE, USAID

partners, other donors, local NGOs and schools;

Demonstrate a measurable commitment to the training and retention of women education

professionals throughout the life of the Grant;

Provide an approach that supports a host government-led effort; and

Provide an explicit, feasible and realistic "exit strategy‖ that provides a high likelihood of leaving in

place a sustainable, country-owned early grade reading program that can be scaled up at the end of

the life of the project.

Demonstrate a sound, adequate, analytically-based and culturally appropriate disability inclusion

plan that specifically delineates how the project will address barriers for people with disabilities

relevant to the project, ensure equal access and disability inclusive development practices, include

people with disabilities (including women and girls with disabilities) in all phases of the project, and

develop linkages/partnerships with Disabled People‘s Organizations and local community based

structures.


27

F. Qualifications and Experience of Proposed Key Personnel and Staffing Pattern

Individuals proposed as key personnel will be evaluated based on their sector specific qualifications,

professional competence, relevant academic background, demonstrated success in carrying out proposed

activities as well as their knowledge in implementing relevant technical areas.

The CoP should, at a minimum, have a Master‘s degree and eight years of relevant experience post degree,

including four years of relevant experience in developing countries; or a PhD/EdD degree plus six years of

relevant experience post degree, including three years of relevant experience in Africa (or similar

developing countries) directly related to educational development and management tasks described in this

SOW (curriculum development, teacher training, etc). Similarly, the two deputy CoPs (one who is a

reading expert for coordinating language experts and human capacity development and one for

administration, finance, and logistics) must have a Master‘s degree plus eight years of relevant experience

post degree. The Deputy CoP for Curriculum and Capacity Development must have complementary

experience working in human capacity development (training curriculum and reading experts, teacher

trainers, and teachers) and primary education management. The Deputy CoP for Administration must have

complementary experience working in administration and finance, particularly related to human resources

and logistics management. Both CoPs must also have demonstrated knowledge of Ethiopia‘s education

sector structure, planning, and management. In general, staffing proposals will be evaluated based on the

following factors:

Adequate and cost effective staffing plan maximizing Ethiopian staff to accomplish the goal of the

project;

Demonstrated ability to effectively bring the disciplines, functional skills, and experiences of the

proposed staff to bear on the proposed project;

Qualifications of proposed local and international personnel (including meeting the standards

outlined in the paragraph above)and appropriateness for the responsibilities of each position; and

G. Management/Institutional Capacity

The recipient shall include in its proposal a full management plan, including an organizational chart that is

appropriate to undertake the proposed strategies, interventions, and innovations. The organizational chart

should demonstrate lines of authority and staff responsibility, and a brief position description for each

technical staff and consortium members that the recipient will utilize to achieve tasks of the Statement of

Work and the objective. USAID will evaluate degree to which the plan is aligned with their technical

proposal the list of proposed subrecipients, (s), and a description of the anticipated role in the statement of

work implementation of the subrecipient(s). The evaluation will consider the soundness and functionality

of the plan to manage the contract and achieve the desired project results and outcomes as well as the

proposed level of support from the Home Office, proposed major subrecipients on the depth of their

corporate capabilities and their organizational experience and the depth of the Recipient in the context of

being capable of successfully implementing the project.

USAID will evaluate proposals based on the degree to which they provide appropriate and feasible:

Plans for coordinating, managing and integrating the recipient‘s activities with other ESDP,

USAID and other education partners engaged in promoting student language proficiency and

teacher professional development;

Plans for addressing the significant logistical, coordination and monitoring needs of a

comprehensive nation-wide project;

Innovative systems to manage diverse activities expeditiously, soundly, and at reasonable cost;

Systems to incorporate and nurture participation of beneficiaries and the host government

institutions (MOE, RSEBs, WEOs, universities, CTEs, SCCs, etc.) in planning, implementing and

managing the project;

Innovative plans for collaborating closely with and providing expertise to education officials at

various levels in the host country education system; and

Plans for adjusting to staffing needs over time (as the project progresses there will be differing

staffing needs, such as more intensive efforts from experts on reading and writing earlier in the

project).


28

H. Past Performance

The Recipient institution should provide references for similar work completed and the level of complexity

during the past five years that includes the type of contract/agreement, name of organization,

program/project location and manager contact information (phone number and e-mail), dollar value,

performance period, and summary of the work performed. It should also demonstrate past collaboration

with host country governments at national, regional and local levels and donors.

(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 sources identified by

the recipient/subrecipient. USAID will utilize existing databases of recipient performance information

and solicit additional information from the references provided in Section L of this RFP and from

other sources if and when the Agreement Officer finds the existing databases to be insufficient for

evaluating recipient‘s performance.

(b) If the performance information contains negative information on which the recipient has not

previously been given an opportunity to comment, USAID will provide the recipient an opportunity to

comment on it prior to its consideration in the evaluation, and any recipient comment will be

considered with the negative performance information.

(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 recipient performance information determined to be relevant will be evaluated in accordance with

the elements below:

(1) Quality of product or service, including consistency in meeting goals and targets.

(2) Cost control, including forecasting costs as well as accuracy in financial reporting ensuring their

unnecessarily expensive technical assistance is not used when lower cost advisors are adequate and

packing the expenditure of level of effort such that contract deliverables and outputs can be produced

within budget.

(3) Timeliness of performance, including adherence to contract schedules and other time-sensitive project

conditions, and effectiveness of home and field office management to make prompt decisions and

ensure efficient completion of tasks.

(4) Business relations, addressing the history of professional behavior and overall business-like concern

for the interests of the customer, including coordination among sub-recipients and developing country

partners, cooperative attitude in remedying problems, and timely completion of all administrative

requirements.

(5) Customer satisfaction with performance, including end user or beneficiary wherever possible.

(6) Effectiveness of key personnel, including appropriateness of personnel for the job and prompt and

satisfactory changes in personnel when problems with clients where identified.

(7) Prime recipient who are not SB concerns will be evaluated on their performance in using SB concerns

as subrecipients, joint ventures, and in other teaming arrangements.

(e) In cases where 1. Recipient lacks relevant performance history, 2. Information on performance is not

available, or 3. Recipient is a member of a class of recipients where there is provision not to rate the

class against a sub factor, then the recipient will not be evaluated favorably or unfavorably on

performance. The ―neutral‖ rating assigned to any recipient lacking relevant performance history is a

score commensurate with the percentage of points received vs. possible points. Prior to assigning a

―neutral‖ past performance rating, the contracting officer may take into account a broad range of

information related to an recipient‘s performance.

Proposals will be scored based on the degree to which the Recipient demonstrates successful relevant past

performance of its institution specifically related to:


29

Developing, implementing, and managing innovative, sustainable host-country education system

development projects of similar size and complexity to this project in close collaboration with the

host government;

Evaluating and developing early grade reading and writing curricula teacher training, and

supplemental materials in countries with similar contexts as Ethiopia;

Building capacity of host country government officials to instate sustainable education

development projects;

Promoting and coordinating participation in development, accounting for diversity of participants;

Collaborating closely with various levels of host country education personnel;

The extent the recipient used and promoted the use of small business (SB) and SB as sub-

recipients;

Transferring of responsibilities to host country government or local institutions, and

Evidence of building local capacity in project design, implementation, and evaluation.

I. Monitoring and Evaluation Plan

USAID is committed to measuring the learning outcomes of students as its highest level of result and

impact. The overall quality of the monitoring and evaluation plan of the recipient will be reviewed and

scored. Factors for review will include the appropriateness and feasibility of indicators, milestones, and

targets addressing each IR of this project; critical assumptions; and data collection methods for monitoring

the Grant outputs within the context of the USAID Education Development Objective and the extent to

which the recipient/applicant demonstrated appropriate and feasible methods and approaches to capture

data on performance indicators disaggregated by sex, type of disability and geographic operation area

(region/district).

The monitoring system shall illustrate ways to monitor curriculum experts, teacher trainers, and teachers

involved in the project and innovative primary grade level reading and writing curriculum design

approaches, programming, etc. and share lessons learned with other stakeholders such as the Government

of Ethiopia, donors, and among non-project communities.

J. Annex (25 page limit)

i) Draft First Year Work plan illustrating the timeline for mobilization and the timing of

proposed activities during the first year.

ii) Performance Management Plan - The illustrative performance management plan shall include

meaningful indicators with ambitious but achievable performance targets and benchmarks.

iii) Commitment letters for each proposed key personnel candidate.

iv) CVs for proposed key personnel candidates. v) An organizational chart.

vi) Past Performance references - The applicant must provide a list of all its contracts, grants, or

cooperative agreements involving similar or related programs during the past three years. The

reference information for these awards must include the performance location, award number (if

available), a brief description of the work performed, and a point of contact with current

telephone numbers and email address of responsible representative(s) from the organization for

which the work was performed; the period of contract/grant performance, annual amount

received for each of the activity as well as beginning and end dates; and key project

accomplishments/results achieved to date.

vii) Other information such as letters of support, maps, charts, graphs, etc. may be provided in the

Annex to support the application, not to exceed the 25 page limit.

COST APPLICATION FORMAT

Budget Preparation and Submission Instructions

The Cost/Business application must be completely separate from the Applicant‘s technical

application. Certain documents are required to be submitted by an applicant in order for the Agreement

Officer to make a determination of responsibility. The following sections describe the documentation that

applicants for an assistance award must submit to USAID prior to award. While there is no page limit for


30

this portion, applicants are encouraged to be as concise as possible, but still provide the necessary level of

detail.

A Cost Application consists of:

The SF-424, Application for Federal Assistance; SF-424A, Budget Information – Non-

Construction Program; and SF-424B, Assurances – Non-Construction Programs.

a summary budget;

a detailed/itemized budget;

a budget narrative explaining costs to be incurred; and

other administrative documentation as required.

The budget shall include:

The breakdown of all costs associated with the program according to costs of, if applicable,

headquarters, regional and/or country offices;

The breakdown of all costs according to each partner organization or sub-recipient/subrecipient

involved in the program;

The costs associated with external, expatriate technical assistance and those associated with local

in-country technical assistance;

The breakdown of the financial and in-kind contributions of all organizations involved in

implementing this Cooperative Agreement;

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

Agreement;

A procurement plan for commodities.

Detailed/itemized budgets must be submitted in Excel format, must be unlocked and shall show ALL

formulas used to derive calculations. The budget narrative must provide sufficient detail to allow USAID

to understand the basis upon which costs were estimated and what specific costs comprise each element of

the budget.

Cost Sharing or Matching: Applicants are encouraged to propose a cost share contribution under this

program. Proposed cost share will be evaluated as part of cost effectiveness.

NOTE: The award will not provide for the reimbursement of pre-award costs.

Also include in the cost application:

a) Information that confirms and ensures that proposed cost sharing will materialize.

b) Details of sub-award arrangements to the extent they are known at the time of application

development. In case there are multiple organizations and partners, please explain as clearly as

possible the management structure and how the parties are going to interact.

NOTE: If sub-awards are anticipated and not explained in the original application, the agreement

officer‘s approval (after award) may be required before the sub-agreement may be executed.

c) A copy of the self-certification for compliance with USAID policies and procedures for personnel,

procurement, and travel.

d) A copy of the latest Negotiated Indirect Cost Rate Agreement if your organization has such an

agreement with the US Government, if applicable.

Applicants who do not currently have a Negotiated Indirect Cost Rate Agreement (NICRA) from their

cognizant agency shall also submit the following information:

1. Copies of the applicant‘s financial reports for the previous 3-year period, which have been

audited by a certified public accountant or other auditor satisfactory to USAID;


31

2. Projected budget, cash flow and organizational charts; and

3. A copy of the organization‘s accounting manual.

e) Applicants should submit additional evidence of responsibility they deem necessary for the

Agreement Officer to make a determination of responsibility. The information submitted should

substantiate that the Applicant:

1. Has adequate financial resources or the ability to obtain such resources as required during the

performance of the award.

2. Has the ability to comply with the award conditions, taking into account all existing and currently

prospective commitments of the applicant, non-governmental and governmental.

3. Has a satisfactory record of performance. Past relevant unsatisfactory performance is ordinarily

sufficient to justify a finding of non-responsibility, unless there is clear evidence of subsequent

satisfactory performance.

4. Has a satisfactory record of integrity and business ethics; and

5. Is otherwise qualified and eligible to receive a cooperative agreement under applicable laws and

regulations (e.g., EEO).

f) Required certifications and representations (as described in Section IV of this RFA).

In addition to the aforementioned guidelines, the applicant is requested to take note of the following:

Unnecessarily Elaborate Applications

Note that unnecessarily elaborate brochures or other presentations beyond those sufficient to present a

complete and effective application in response to this RFA are not desired and may be construed as an

indication of the applicant‘s lack of cost consciousness. In the event that an organization chooses to

submit a hard copy application in addition to the required electronic submission, elaborate art work,

expensive paper and bindings, and expensive visual and other presentation aids are neither necessary nor

wanted.

Explanation to Prospective Applicants

Any prospective applicant desiring an explanation or interpretation of this RFA must request it in writing

no later than February 22, 2012 to allow a reply to reach all prospective applicants before the submission

of their applications. Any information given to a prospective applicant concerning this RFA will be

furnished promptly to all other prospective applicants as an amendment of this RFA, if that information is

necessary in submitting applications or if the lack of it would be prejudicial to any other prospective

applicants.

Unsuccessful Applications Unsuccessful applications will not be returned to the Applicant.

(1) Applications must be received by no later than the date and time indicated on the cover letter of this

RFA, to the location also stated in the cover letter of this RFA. Applications which are received late

or are incomplete run the risk of not being considered in the review process. Such late or incomplete

applications will be considered at USAID‘s sole discretion depending on the status of USAID‘s

application review process as of the time of receipt and/or the quality of other applications received.

(2) USAID does not anticipate any additional funding restrictions other than those described in applicable

regulations.

(3) Reimbursement of pre-award costs will not be allowed unless prior written approval is provided by the

Agreement Officer.

(4) Software for e-mail attachments: Microsoft Word (for narrative text), Excel (for tables or budgets) or

PDF files (for all files except budgets) may be submitted. Please convert your documents to one of

these software programs before sending them to USAID. Zipped files cannot be accepted due to

firewall restrictions. Applicants are responsible for confirming that their complete applications were

received electronically by USAID.


32

Telegraphic or fax applications will not be considered.

In the event of technical difficulties in accessing the documents that comprise this RFA, please contact the

individuals listed in Section IV, (1) above.

Applicants should retain for their records one copy of the application and all enclosures which accompany

their application.

The Government may (a) reject any or all applications, (b) accept other than the lowest cost application, (c)

accept more than one application, (d) accept alternate applications, and (e) waive informalities and minor

irregularities in applications received.

[END OF SECTION IV]


33

SECTION V – APPLICATION REVIEW INFORMATION

(1) Evaluation Criteria

The criteria presented below have been tailored to the requirements of this particular RFA. Applicants

should note that these criteria serve to: (a) identify the significant matters which applicants should address

in the application and (b) set the standard against which the application will be evaluated. To facilitate the

review of the application, the applicant should organize the narrative sections of their application in the

same order as the selection criteria set forth below, as indicated in Section IV of this RFA.

The technical applications will be evaluated in accordance with the Technical Evaluation Criteria set forth

below. Thereafter, costs will be evaluated for general reasonableness and allowability. Award will be

made to the responsible applicant(s) whose application(s) offers the best value, when technical and cost

factors are considered as determined by the responsible Agreement Officer.

The Government may make award on the basis of initial applications received, without discussions or

negotiations. Therefore, each initial application should contain the applicant's best terms from a cost and

technical standpoint. The Government reserves the right (but is not under obligation to do so), however, to

enter into discussions with one or more applicants in order to obtain clarifications, additional detail, or to

suggest refinements in the program description, budget, or other aspects of an application.

A. TECHNICAL EVALUATION CRITERIA

Technical applications will be scored by a technical evaluation committee on a 100 point scale, based on

the criteria described below. An outline of technical evaluation criteria are presented as follow:

A. Technical Approach (35 points)

B. Management/Institutional Capacity (20 points)

C. Qualifications and Experience of Proposed Key Personnel and Staffing Pattern (20 points)

D. Monitoring and Evaluation Plan (15 points)

E. Past Performance (10 points)

TOTAL = 100 points

A. Technical Approach (35 points)

Proposals must demonstrate technically, culturally, and economically sound, appropriate, cost-effective

and feasible approaches to achieve the objective of the READ Technical Assistance project. Proposals will

be scored based on the degree to which they:

Demonstrate a sound, adequate analytical basis for proposed approaches, strategies, interventions

(including gender and disability) and an understanding of the cultural, demographic, and socio-

economic factors related to strengthening student outcomes in early grade reading and writing in

Ethiopian primary schools;

Provide a clear summary of what is to be accomplished, including:

a) the Grant outputs that will be achieved, with realistic milestones and targets defined, and

demonstrated linkages with the project objective;

b) how the Grant outputs, milestones and targets will be achieved, demonstrating innovative,

cost-effective, technically and culturally sound approaches;

c) discussions under each result that adequately explain and show the feasibility of how the

recipient will apply its preferred methods and strategies to achieve the project goal and

results, accounting for the different levels of education system development of the various

regions;

Demonstrate how the recipient will effectively bring reading and writing related skills, experience,

and data-informed choices to the local context, considering factors such as languages, and

regional, woreda and school contexts;

Demonstrate how the recipient will creatively and efficiently meet the stated and negotiated goals

of the MOE and USAID in terms of timing, quality and collaboration;


34

Ensure that all curricula, trainings and materials are promoting early grade reading and writing

teaching techniques known to be inclusive for all students, including those with disabilities;

Offer appropriate and feasible mechanisms to incorporate, mentor, and facilitate the capacity

development and participation of curriculum experts, CTEs, RSEBs, and MOE;

Demonstrate the capacity of the recipient to coordinate with the GoE, USAID partners, other

donors, local NGOs, schools, universities, and CTEs; and to build on the work done by the GoE,

USAID partners, other donors, local NGOs and schools;

Demonstrate a measurable commitment to the training and retention of women education

professionals throughout the life of the Contract;

Provide an approach that supports a host government-led effort; and

Provide an explicit, feasible and realistic "exit strategy‖ that provides a high likelihood of leaving

in place a sustainable, country-owned early grade reading program that can be scaled up at the end

of the life of the project.

Demonstrate a sound, adequate, analytically-based and culturally appropriate disability inclusion

plan that specifically delineates how the project will address barriers for people with disabilities

relevant to the project, ensure equal access and disability inclusive development practices, include

people with disabilities (including women and girls with disabilities) in all phases of the project,

and develop linkages/partnerships with Disabled People‘s Organizations and local community

based structures.

B. Management/Institutional Capacity (20 points)

The recipient shall include in its proposal a full management plan, including an organizational chart that is

appropriate to undertake the proposed strategies, interventions, and innovations. The organizational chart

should demonstrate lines of authority and staff responsibility, and a brief position description for each

technical staff and consortium members that the recipient will utilize to achieve tasks of the Program

Description and the objective. USAID will evaluate degree to which the plan is aligned with their technical

proposal the list of proposed sub-recipients, (s), and a description of the anticipated role in the statement of

work implementation of the sub-recipient(s). The evaluation will consider the soundness and functionality

of the plan to manage the contract and achieve the desired project results and outcomes as well as the

proposed level of support from the Home Office, proposed major sub-recipients on the depth of their

corporate capabilities and their organizational experience and the depth of the recipient in the context of

being capable of successfully implementing the project.

USAID will evaluate proposals based on the degree to which they provide appropriate and feasible:

Plans for coordinating, managing and integrating the recipient‘s activities with other ESDP,

USAID and other education partners engaged in promoting student language proficiency and

teacher professional development;

Plans for addressing the significant logistical, coordination and monitoring needs of a

comprehensive nation-wide project;

Innovative systems to manage diverse activities expeditiously, soundly, and at reasonable cost;

Systems to incorporate and nurture participation of beneficiaries and the host government

institutions (MOE, RSEBs, WEOs, universities, CTEs, SCCs, etc.) in planning, implementing and

managing the project;

Innovative plans for collaborating closely with and providing expertise to education officials at

various levels in the host country education system; and

Plans for adjusting to staffing needs over time (as the project progresses there will be differing

staffing needs, such as more intensive efforts from experts on reading and writing earlier in the

project).

C. Qualifications and Experience of Proposed Key Personnel and Staffing Pattern (20 points)

Individuals proposed as key personnel will be evaluated based on their sector specific qualifications,

professional competence, relevant academic background, demonstrated success in carrying out proposed

activities as well as their knowledge in implementing relevant technical areas.

The CoP should, at a minimum, have a Master‘s degree and eight years of relevant experience post degree,


35

including four years of relevant experience in developing countries; or a PhD/EdD degree plus six years of

relevant experience post degree, including three years of relevant experience in Africa (or similar

developing countries) directly related to educational development and management tasks described in this

SOW (curriculum development, teacher training, etc). Similarly, the two deputy CoPs (one who is a

reading expert for coordinating language experts and human capacity development and one for

administration, finance, and logistics) must have a Master‘s degree plus eight years of relevant experience

post degree. The Deputy CoP for Curriculum and Capacity Development must have complementary

experience working in human capacity development (training curriculum and reading experts, teacher

trainers, and teachers) and primary education management. The Deputy CoP for Administration must have

complementary experience working in administration and finance, particularly related to human resources

and logistics management. Both CoPs must also have demonstrated knowledge of Ethiopia‘s education

sector structure, planning, and management. In general, staffing proposals will be evaluated based on the

following factors:

Adequate and cost effective staffing plan maximizing Ethiopian staff to accomplish the goal of the

project;

Demonstrated ability to effectively bring the disciplines, functional skills, and experiences of the

proposed staff to bear on the proposed project;

Qualifications of proposed local and international personnel (including meeting the standards

outlined in the paragraph above)and appropriateness for the responsibilities of each position; and

D. Monitoring and Evaluation Plan (15 points)

USAID is committed to measuring the learning outcomes of students as its highest level of result and

impact. The overall quality of the monitoring and evaluation plan of the recipient will be reviewed and

scored. Factors for review will include the appropriateness and feasibility of indicators, milestones, and

targets addressing each IR of this project; critical assumptions; and data collection methods for monitoring

the Contract outputs within the context of the USAID Education Development Objective and the extent to

which the recipient/applicant demonstrated appropriate and feasible methods and approaches to capture

data on performance indicators disaggregated by sex, type of disability and geographic operation area

(region/district).

The monitoring system shall illustrate ways to monitor curriculum experts, teacher trainers, and teachers

involved in the project and innovative primary grade level reading and writing curriculum design

approaches, programming, etc. and share lessons learned with other stakeholders such as the Government

of Ethiopia, donors, and among non-project communities.

E. Past Performance (10 points)

The recipient institution should provide references for similar work completed and the level of complexity

during the past five years that includes the type of contract/agreement, name of organization,

program/project location and manager contact information (phone number and e-mail), dollar value,

performance period, and summary of the work performed. It should also demonstrate past collaboration

with host country governments at national, regional and local levels and donors.

(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 sources identified by the

recipient/subrecipient. USAID will utilize existing databases of recipient 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 recipient‘s

performance.

(b) If the performance information contains negative information on which the recipient has not previously

been given an opportunity to comment, USAID will provide the recipient an opportunity to comment on it

prior to its consideration in the evaluation, and any recipient comment will be considered with the negative

performance information.

(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


36

information that is considered more relevant and/or more current.

(d) The recipient performance information determined to be relevant will be evaluated in accordance with

the elements below:

(1) Quality of product or service, including consistency in meeting goals and targets.

(2) Cost control, including forecasting costs as well as accuracy in financial reporting ensuring their

unnecessarily expensive technical assistance is not used when lower cost advisors are adequate and

packing the expenditure of level of effort such that contract deliverables and outputs can be produced

within budget.

(3) Timeliness of performance, including adherence to contract schedules and other time-sensitive project

conditions, and effectiveness of home and field office management to make prompt decisions and ensure

efficient completion of tasks.

(4) Business relations, addressing the history of professional behavior and overall business-like concern for

the interests of the customer, including coordination among sub-recipients and developing country

partners, cooperative attitude in remedying problems, and timely completion of all administrative

requirements.

(5) Customer satisfaction with performance, including end user or beneficiary wherever possible.

(6) Effectiveness of key personnel, including appropriateness of personnel for the job and prompt and

satisfactory changes in personnel when problems with clients where identified.

(7) Prime recipients who are not SB concerns will be evaluated on their performance in using SB concerns

as sub-recipients, joint ventures, and in other teaming arrangements.

(f) In cases where 1. Recipient lacks relevant performance history, 2. Information on performance is not

available, or 3. Recipient is a member of a class of recipients where there is provision not to rate the class

against a sub factor, then the recipient will not be evaluated favorably or unfavorably on performance. The

"neutral" rating assigned to any recipient lacking relevant performance history is a score commensurate

with the percentage of points received vs. possible points. Prior to assigning a "neutral" past performance

rating, the contracting officer may take into account a broad range of information related to an recipient's

performance.

Proposals will be scored based on the degree to which the Recipient demonstrates successful relevant past

performance of its institution specifically related to:

Developing, implementing, and managing innovative, sustainable host-country education system

development projects of similar size and complexity to this project in close collaboration with the

host government;

Evaluating and developing early grade reading and writing curricula teacher training, and

supplemental materials in countries with similar contexts as Ethiopia;

Building capacity of host country government officials to instate sustainable education

development projects;

Promoting and coordinating participation in development, accounting for diversity of participants;

Collaborating closely with various levels of host country education personnel;

The extent the recipient used and promoted the use of small business (SB) and SB as sub-

recipients;

Transferring of responsibilities to host country government or local institutions, and

Evidence of building local capacity in project design, implementation, and evaluation.

B. COST CRITERIA

Cost has not been assigned a score but will be reviewed for cost reasonableness, allocability, allowability,

cost effectiveness and realism, adequacy of budget detail and financial feasibility. While cost may be a

determining factor in the final award(s) decision, especially between closely ranked applicants, the

technical merit of applications is substantially more important under this RFA.


37

(2) Applicants are encouraged to propose a cost share contribution under this program. Cost sharing will

be evaluated as an element of cost effectiveness.

(3) Applications will be reviewed by a Technical Evaluation Committee. The award decision will be

made by the Agreement Officer.


38

SECTION VI – AWARD AND ADMINISTRATION INFORMATION

(1) USAID reserves the right to make awards without discussions. Successful applicants can expect to

receive a notice of award signed by the Agreement Office which serves as the authorizing document.

Unsuccessful applicants will be notified by letter sent electronically from the Agreement Officer.

Notification will be sent electronically to the person indicated on the cover page of the application.

Debriefings will be considered if requested in writing within 10 days of notification from the Agreement

Officer.

(2) USAID does not anticipate any deviations from the Standard Provisions described in Section I herein.

(3) Reporting Requirements - The resulting award will require the following reporting requirements:

a. Annual Work Plans

The Recipient will develop an annual work plan within 60 days of the effective date of the award. The

plan will be reviewed and approved by the Agreement Officer‘s Representative (AOR) within thirty (30)

days after receipt of the draft work plan. 60 days before the end of each USAID fiscal year, the Recipient

will submit to the AOR an annual work plan for the following fiscal year. The work plans will include

proposed activities for the given year, time frame for implementation of annual activities, detailed budget,

review of previous year‘s accomplishments (if applicable), problems, and progress towards achieving

award results and proposed annual accomplishments and progress towards achieving results.

b. Performance Monitoring Plan (PMP) Within 90 days of award the Recipient will submit a Performance Monitoring Plan (PMP) for the life of

the activity that derives from the activities outlined in the program description. The PMP will outline key

program activities, indicators of achievement, and associated annual and life-of-project targets. This plan

will be reviewed and approved by the AOTR.

c. Quarterly Performance Reports

The Recipient will submit quarterly reports that give insight into the progress of planned activities. The

narrative report will include qualitative and quantitative information describing activities carried out and

specific results achieved during the quarter. In addition, the narrative report will indicate key

implementation challenges encountered and how they were or are planned to be resolved. To the extent

that the PMP includes quarterly targets, this should be reflected in the narrative report. Reporting periods

will coincide with USAID fiscal year quarters, with reports due no later than thirty (30) days after the end

of each quarter (e.g. February 1, May 1, August 1, November 1), or by any other schedule agreed upon

with the USAID AOTR. The report should also include budgeted versus actual expenditures (along with a

brief analysis of any variance) and estimated accruals for the quarter.

d. Quarterly Financial Reporting

The Recipient will submit electronic copies of Financial Reports (quarterly SF 425 and final SF 425) in

keeping with 22 CFR 226. The SF 425 must be submitted via electronic format to the U.S. Department of

Health and Human Services (http://www.dpm.psc.gov). In addition, copies of all final financial reports

shall be submitted to M/FM and the AOTR.

e. Annual Reports Within 90 days after the close of each USAID fiscal year, the Recipient will submit to the AOTR a

comprehensive annual report that reflects the progress of program activities over the last year. (This report

would complement, not replace, the relevant quarterly reports.) The report, based on the approved PMP

but not necessarily limited to such, should indicate the results and impact the program is having on the

target beneficiaries.

f. Special Reporting

Depending on the final scope of activities and results indicators agreed by USAID and the recipient,

USAID may require additional annual reporting to fulfill Agency, congressional, or presidential

requirements (such as Microenterprise Results Reporting). The Recipient will be notified of these

requirements in advance and expected to incorporate them into the PMP.

g. Closeout Plan Six months prior to the completion date of the agreement, the Recipient will submit a demobilization plan


39

for AOTR approval. The demobilization plan shall include a) draft property disposition plan, b) plan for

the phase-out of in-country operations, c) delivery schedule for all reports or other deliverables required

under the agreement, and d) timetable for completing all required actions in the demobilization plan,

including the submission date of the final property disposition plan to the Agreement Officer

h. Final Report

The final performance report is a detailed report which summarizes the accomplishments and impact in

relation to the expected results, in accordance with the approved PMP. It should contain a three-page

executive summary, an index of all reports and information products produced under the agreement, and

should discuss the elements listed in 22 CFR 226.51(d).

The report shall be submitted no later than 90 days after the end-date of the agreement to the Agreement

Officer, and the AOTR. In addition, an electronic copy must be submitted either:

(a) Via E-mail: [email protected];

(b) Via U.S. Postal Service: Development Experience Clearinghouse, 8403 Colesville Road, Suite

210 Silver Spring, MD 20910, USA; or

(c) Online: http://www.dec.org/index.cfm?fuseaction=docSubmit.home.

[END SECTION VI]



40

SECTION VII – AGENCY CONTACTS

See cover letter and Section IV (1) for appropriate contacts within USAID. Please note: Only the

Agreement Officer is authorized to make commitment on behalf of USAID.

[END SECTION VII]


41

SECTION VIII – OTHER INFORMATION

(1) USAID reserves the right to fund any or none of the applications submitted.

(2) Other Relevant Information:

(A) BRANDING STRATEGY AND MARKING PLAN:

After selection but before award, the apparently successful applicants must submit an acceptable branding

strategy and marking plan that demonstrates how they propose to name and promote this USAID-funded

project, and how they plan to acknowledge the U.S. Government contribution.

(B) ENVIRONMENTAL COMPLIANCE:

The Foreign Assistance Act of 1961, as amended, Section 117 requires that the impact of USAID‘s

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 USAID‘s 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. The recipient environmental compliance

obligations under these regulations and procedures are specified in the following paragraphs of this RFA.

The applicant should review the USAID‘s Environmental Guidelines while preparing proposals.

In addition, recipients 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.

No activity funded under this program 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.‖)

SO14.3 IEE for Environmental Screening and Mitigation Compliance

This project complies with the Agency‘s environmental regulations, found at 22 CFR, Part 216 (c) (2):

Activities involving education, training, technical assistance or training programs. It falls under the

existing Initial Environmental Examination for USAID/Ethiopia, BES Office (663-S0 14.3, August 26,

2004) which provides for a categorical exclusion. The current Mission Environment Officer concurs with

this funding.

[END SECTION VIII]


42

ANNEX A – STANDARD PROVISIONS

The following Standard Provisions are provided below in full text:

• Branding Strategy – Assistance (December 2005)

• Marking Plan – Assistance (December 2005)

• Marking Under USAID-Funded Assistance Instruments (December 2005)

• Executive Order on Terrorist Financing (March 2002)

• USAID Disability Policy - Assistance (December 2004)

• Data Universal Numbering System (DUNS) Number

• Central Contractor Registration and Universal Identifier (October 2010)

• Reporting Subawards And Executive Compensation (October 2010)

BRANDING STRATEGY - ASSISTANCE (December 2005)

(a) Definitions

Branding Strategy means a strategy that is submitted at the specific request of a USAID Agreement

Officer by an Apparently Successful Applicant after evaluation of an application for USAID funding,

describing how the program, project, or activity is named and positioned, and how it is promoted and

communicated to beneficiaries and host country citizens. It identifies all donors and explains how they will

be acknowledged.

Apparently Successful Applicant(s) means the applicant(s) for USAID funding recommended for an

award after evaluation, but who has not yet been awarded a grant, cooperative agreement or other

assistance award by the Agreement Officer. The Agreement Officer will request that the Apparently

Successful Applicants submit a Branding Strategy and Marking Plan. Apparently Successful Applicant

status confers no right and constitutes no USAID commitment to an award.

USAID Identity (Identity) means the official marking for the Agency, comprised of the USAID logo and

new brand mark, which clearly communicates that our assistance is from the American people. The

USAID Identity is available on the USAID website and is provided without royalty, license, or other fee to

recipients of USAID-funded grants or cooperative agreements or other assistance awards or subawards.

(b) Submission. The Apparently Successful Applicant, upon request of the Agreement Officer, will

submit and negotiate a Branding Strategy. The Branding Strategy will be included in and made a part

of the resulting grant or cooperative agreement. The Branding Strategy will be negotiated within the

time that the Agreement Officer specifies. Failure to submit and negotiate a Branding Strategy will

make the applicant ineligible for award of a grant or cooperative agreement. The Apparently

Successful Applicant must include all estimated costs associated with branding and marking USAID

programs, such as plaques, stickers, banners, press events and materials, and the like.

(c) Submission Requirements

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

(1) Positioning

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

Guidelines: USAID prefers to have the USAID Identity included as part of the program or project name,

such as a "title sponsor," if possible and appropriate. It is acceptable to "co-brand" the title with USAID‘s

and the Apparently Successful Applicant‘s identities. For example: "The USAID and [Apparently

Successful Applicant] Health Center."

If it would be inappropriate or is not possible to "brand" the project this way, such as when rehabilitating a

structure that already exists or if there are multiple donors, please explain and indicate how you intend to

showcase USAID's involvement in publicizing the program or project. For example: School #123,

rehabilitated by USAID and [Apparently Successful Applicant]/ [other donors].


43

Note: the Agency prefers ―made possible by (or with) the generous support of the American People‖ next

to the USAID Identity in acknowledging our contribution, instead of the phrase ―funded by.‖ USAID

prefers local language translations.

Will a program logo be developed and used consistently to identify this program? If yes, please attach a

copy of the proposed program logo. Note: USAID prefers to fund projects that do NOT have a separate

logo or identity that competes with the USAID Identity.

(2) Program Communications and Publicity

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

Guidelines: Please include direct beneficiaries and any special target segments or influencers. For Example: Primary audience: schoolgirls age 8-12, Secondary audience: teachers and parents–specifically

mothers.

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

beneficiaries?

Guidelines: These include training materials, posters, pamphlets, Public Service Announcements,

billboards, websites, and so forth.

What is the main program message(s)?

Guidelines: For example: "Be tested for HIV-AIDS" or "Have your child inoculated." Please indicate if

you also plan to incorporate USAID‘s primary message – this aid is "from the American people" – into the

narrative of program materials. This is optional; however, marking with the USAID Identity is required.

Will the recipient announce and promote publicly this program or project to host country citizens? If yes,

what press and promotional activities are planned?

Guidelines: These may include media releases, press conferences, public events, and so forth. Note:

incorporating the message, ―USAID from the American People‖, and the USAID Identity is required.

Please provide any additional ideas about how to increase awareness that the American people support

this project or program.

Guidelines: One of our goals is to ensure that both beneficiaries and host-country citizens know that the aid

the Agency is providing is "from the American people." Please provide any initial ideas on how to further

this goal.

(3) Acknowledgements

Will there be any direct involvement from a host-country government ministry? If yes, please indicate

which one or ones. Will the recipient acknowledge the ministry as an additional co-sponsor?

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

ministries.

Please indicate if there are any other groups whose logo or identity the recipient will use on program

materials and related communications

Guidelines: Please indicate if they are also a donor or why they will be visibly acknowledged, and if they

will receive the same prominence as USAID.

(d) Award Criteria. The Agreement Officer will review the Branding Strategy for adequacy, ensuring

that it contains the required information on naming and positioning the USAID-funded program,

project, or activity, and promoting and communicating it to cooperating country beneficiaries and

citizens. The Agreement Officer also will evaluate this information to ensure that it is consistent with

the stated objectives of the award; with the Apparently Successful Applicant‘s cost data submissions;


44

with the Apparently Successful Applicant‘s project, activity, or program performance plan; and with

the regulatory requirements set out in 22 CFR 226.91. The Agreement Officer may obtain advice and

recommendations from technical experts while performing the evaluation.

[END OF PROVISION]

MARKING PLAN – ASSISTANCE (December 2005)

(a) Definitions

Marking Plan means a plan that the Apparently Successful Applicant submits at the specific request of a

USAID Agreement Officer after evaluation of an application for USAID funding, detailing the public

communications, commodities, and program materials and other items that will visibly bear the USAID

Identity. Recipients may request approval of Presumptive Exceptions to marking requirements in the

Marking Plan.

Apparently Successful Applicant(s) means the applicant(s) for USAID funding recommended for an

award after evaluation, but who has not yet been awarded a grant, cooperative agreement or other

assistance award by the Agreement Officer. The Agreement Officer will request that Apparently

Successful Applicants submit a Branding Strategy and Marking Plan. Apparently Successful Applicant

status confers no right and constitutes no USAID commitment to an award, which the Agreement

Officer must still obligate.

USAID Identity (Identity) means the official marking for the Agency, comprised of the USAID logo and

new brand mark, which clearly communicates that our assistance is from the American people. The

USAID Identity is available on the USAID website and USAID provides it without royalty, license, or

other fee to recipients of USAID funded grants, cooperative agreements, or other assistance awards or

subawards.

A Presumptive Exception exempts the applicant from the general marking requirements for a particular USAID-funded public communication, commodity, program material or other deliverable, or a category of

USAID-funded public communications, commodities, program materials or other deliverables that would

otherwise be required to visibly bear the USAID Identity. The Presumptive Exceptions are:

Presumptive Exception (i). USAID marking requirements may not apply if they would compromise the

intrinsic independence or neutrality of a program or materials where independence or neutrality is an

inherent aspect of the program and materials, such as election monitoring or ballots, and voter information

literature; political party support or public policy advocacy or reform; independent media, such as

television and radio broadcasts, newspaper articles and editorials; and public service announcements or

public opinion polls and surveys (22 C.F.R. 226.91(h)(1)).

Presumptive Exception (ii). USAID marking requirements may not apply if they would diminish the

credibility of audits, reports, analyses, studies, or policy recommendations whose data or findings must be

seen as independent (22 C.F.R. 226.91(h)(2)).

Presumptive Exception (iii). USAID marking requirements may not apply if they would undercut host-

country government ―ownership‖ of constitutions, laws, regulations, policies, studies, assessments, reports,

publications, surveys or audits, public service announcements, or other communications better positioned

as ―by‖ or ―from‖ a cooperating country ministry or government official (22 C.F.R. 226.91(h)(3)).

Presumptive Exception (iv). USAID marking requirements may not apply if they would impair the

functionality of an item, such as sterilized equipment or spare parts (22 C.F.R. 226.91(h)(4)).

Presumptive Exception (v). USAID marking requirements may not apply if they would incur substantial

costs or be impractical, such as items too small or otherwise unsuited for individual marking, such as food

in bulk (22 C.F.R. 226.91(h)(5)).

Presumptive Exception (vi). USAID marking requirements may not apply if they would offend local

cultural or social norms, or be considered inappropriate on such items as condoms, toilets, bed pans, or


45

similar commodities (22 C.F.R. 226.91(h)(6)).

Presumptive Exception (vii). USAID marking requirements may not apply if they would conflict with

international law (22 C.F.R. 226.91(h)(7)).

(b) Submission. The Apparently Successful Applicant, upon the request of the Agreement Officer, will

submit and negotiate a Marking Plan that addresses the details of the public communications,

commodities, program materials that will visibly bear the USAID Identity. The marking plan will be

customized for the particular program, project, or activity under the resultant grant or cooperative

agreement. The plan will be included in and made a part of the resulting grant or cooperative

agreement. USAID and the Apparently Successful Applicant will negotiate the Marking Plan within

the time specified by the Agreement Officer. Failure to submit and negotiate a Marking Plan will make

the applicant ineligible for award of a grant or cooperative agreement. The applicant must include an

estimate of all costs associated with branding and marking USAID programs, such as plaques, labels,

banners, press events, promotional materials, and so forth in the budget portion of its application.

These costs are subject to revision and negotiation with the Agreement Officer upon submission of the

Marking Plan and will be incorporated into the Total Estimated Amount of the grant, cooperative

agreement or other assistance instrument.

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

1) A description of the public communications, commodities, and program materials that the

recipient will produce as a part of the grant or cooperative agreement and which will visibly bear

the USAID Identity. These include:

(i) program, project, or activity sites funded by USAID, including visible infrastructure projects

or other programs, projects, or activities that are physical in nature;

(ii) technical assistance, studies, reports, papers, publications, audio-visual productions, public

service announcements, Web sites/Internet activities and other promotional, informational,

media, or communications products funded by USAID;

(iii) events financed by USAID, such as training courses, conferences, seminars, exhibitions, fairs,

workshops, press conferences, and other public activities; and

(iv) all commodities financed by USAID, including commodities or equipment provided under

humanitarian assistance or disaster relief programs, and all other equipment, supplies and

other materials funded by USAID, and their export packaging.

2) A table specifying:

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

(ii) The type of marking and what materials the applicant will be used to mark the program

deliverables with the USAID Identity, and

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

the applicant will place the marking.

3) A table specifying:

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

(ii) The rationale for not marking these program deliverables.


46

(d) Presumptive Exceptions.

(1) The Apparently Successful Applicant may request a Presumptive Exception as part of the overall

Marking Plan submission. To request a Presumptive Exception, the Apparently Successful

Applicant must identify which Presumptive Exception applies, and state why, in light of the

Apparently Successful Applicant‘s technical proposal and in the context of the program

description or program statement in the USAID Request For Application or Annual Program

Statement, marking requirements should not be required.

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

(i) For Presumptive Exception (i), identify the USAID Strategic Objective, Interim Result, or

program goal furthered by an appearance of neutrality, or state why the program, project,

activity, commodity, or communication is ‗intrinsically neutral.‘ Identify, by category or

deliverable item, examples of program materials funded under the award for which you are

seeking exception 1.

(ii) For Presumptive Exception (ii), state what data, studies, or other deliverables will be

produced under the USAID funded award, and explain why the data, studies, or deliverables

must be seen as credible.

(iii) For Presumptive Exception (iii), identify the item or media product produced under the

USAID funded award, and explain why each item or product, or category of item and

product, is better positioned as an item or product produced by the cooperating country

government.

(iv) For Presumptive Exception (iv), identify the item or commodity to be marked, or categories

of items or commodities, and explain how marking would impair the item‘s or commodity‘s

functionality.

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

practical.

(vi) For Presumptive Exception (vi), identify the relevant cultural or social norm, and explain

why marking would violate that norm or otherwise be inappropriate.

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

marking.

(3) The Agreement Officer will review the request for adequacy and reasonableness.

In consultation with the Agreement Officer‘s Technical Representative and other agency personnel as

necessary, the Agreement Officer will approve or disapprove the requested Presumptive Exception.

Approved exceptions will be made part of the approved Marking Plan, and will apply for the term of the

award, unless provided otherwise.

(e) Award Criteria: The Agreement Officer will review the Marking Plan for adequacy and

reasonableness, ensuring that it contains sufficient detail and information concerning public

communications, commodities, and program materials that will visibly bear the USAID Identity. The

Agreement Officer will evaluate the plan to ensure that it is consistent with the stated objectives of the

award; with the applicant‘s cost data submissions; with the applicant‘s actual project, activity, or

program performance plan; and with the regulatory requirements of 22 C.F.R. 226.91. The Agreement

Officer will approve or disapprove any requested Presumptive Exceptions (see paragraph (d)) on the

basis of adequacy and reasonableness. The Agreement Officer may obtain advice and

recommendations from technical experts while performing the evaluation.

[END OF PROVISION]


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MARKING UNDER USAID-FUNDED ASSISTANCE INSTRUMENTS (December 2005)

(a) Definitions

Commodities mean any material, article, supply, goods or equipment, excluding recipient offices, vehicles,

and non-deliverable items for recipient‘s internal use, in administration of the USAID funded grant,

cooperative agreement, or other agreement or subagreement.

Principal Officer means the most senior officer in a USAID Operating Unit in the field, e.g., USAID

Mission Director or USAID Representative. For global programs managed from Washington but executed

across many countries, such as disaster relief and assistance to internally displaced persons, humanitarian

emergencies or immediate post conflict and political crisis response, the cognizant Principal Officer may

be an Office Director, for example, the Directors of USAID/W/Office of Foreign Disaster Assistance and

Office of Transition Initiatives. For non-presence countries, the cognizant Principal Officer is the Senior

USAID officer in a regional USAID Operating Unit responsible for the non-presence country, or in the

absence of such a responsible operating unit, the Principal U.S Diplomatic Officer in the non-presence

country exercising delegated authority from USAID.

Programs mean an organized set of activities and allocation of resources directed toward a common

purpose, objective, or goal undertaken or proposed by an organization to carry out the responsibilities

assigned to it.

Projects include all the marginal costs of inputs (including the proposed investment) technically required

to produce a discrete marketable output or a desired result (for example, services from a fully functional

water/sewage treatment facility).

Public communications are documents and messages intended for distribution to audiences external to the

recipient‘s organization. They include, but are not limited to, correspondence, publications, studies,

reports, audio visual productions, and other informational products; applications, forms, press and

promotional materials used in connection with USAID funded programs, projects or activities, including

signage and plaques; Web sites/Internet activities; and events such as training courses, conferences,

seminars, press conferences and so forth.

Subrecipient means any person or government (including cooperating country government) department,

agency, establishment, or for profit or nonprofit organization that receives a USAID subaward, as defined

in 22 C.F.R. 226.2.

Technical Assistance means the provision of funds, goods, services, or other foreign assistance, such as

loan guarantees or food for work, to developing countries and other USAID recipients, and through such

recipients to sub-recipients, in direct support of a development objective – as opposed to the internal

management of the foreign assistance program.

USAID Identity (Identity) means the official marking for the United States Agency for International

Development (USAID), comprised of the USAID logo or seal and new brand mark, with the tagline that

clearly communicates that our assistance is ―from the American people.‖ The USAID Identity is available

on the USAID website at www.usaid.gov/branding and USAID provides it without royalty, license, or

other fee to recipients of USAID-funded grants, or cooperative agreements, or other assistance awards

(b) Marking of Program Deliverables

(1) All recipients must mark appropriately all overseas programs, projects, activities, public

communications, and commodities partially or fully funded by a USAID grant or cooperative

agreement or other assistance award or subaward with the USAID Identity, of a size and

prominence equivalent to or greater than the recipient‘s, other donor‘s, or any other third party‘s

identity or logo.

(2) The Recipient will mark all program, project, or activity sites funded by USAID, including

visible infrastructure projects (for example, roads, bridges, buildings) or other programs,

projects, or activities that are physical in nature (for example, agriculture, forestry, water

management) with the USAID Identity. The Recipient should erect temporary signs or plaques


48

early in the construction or implementation phase. When construction or implementation is

complete, the Recipient must install a permanent, durable sign, plaque or other marking.

(3) The Recipient will mark technical assistance, studies, reports, papers, publications, audio-visual

productions, public service announcements, Web sites/Internet activities and other promotional,

informational, media, or communications products funded by USAID with the USAID Identity.

(4) The Recipient will appropriately mark events financed by USAID, such as training courses,

conferences, seminars, exhibitions, fairs, workshops, press conferences and other public

activities, with the USAID Identity. Unless directly prohibited and as appropriate to the

surroundings, recipients should display additional materials, such as signs and banners, with the

USAID Identity. In circumstances in which the USAID Identity cannot be displayed visually,

the recipient is encouraged otherwise to acknowledge USAID and the American people‘s

support.

(5) The Recipient will mark all commodities financed by USAID, including commodities or

equipment provided under humanitarian assistance or disaster relief programs, and all other

equipment, supplies, and other materials funded by USAID, and their export packaging with the

USAID Identity.

(6) The Agreement Officer may require the USAID Identity to be larger and more prominent if it is

the majority donor, or to require that a cooperating country government‘s identity be larger and

more prominent if circumstances warrant, and as appropriate depending on the audience,

program goals, and materials produced.

(7) The Agreement Officer may require marking with the USAID Identity in the event that the

recipient does not choose to mark with its own identity or logo.

(8) The Agreement Officer may require a pre-production review of USAID-funded public

communications and program materials for compliance with the approved Marking Plan.

(9) Sub-recipients. To ensure that the marking requirements ―flow down'' to sub-recipients of

subawards, recipients of USAID funded grants and cooperative agreements or other assistance

awards will include the USAID-approved marking provision in any USAID funded subaward,

as follows:

“As a condition of receipt of this subaward, marking with the USAID Identity of a size and

prominence equivalent to or greater than the recipient’s, subrecipient’s, other donor’s or third party’s is required. In the event the recipient chooses not to require marking with its own identity or logo by

the subrecipient, USAID may, at its discretion, require marking by the subrecipient with the USAID Identity.”

(10) Any ‗public communications‘, as defined in 22 C.F.R. 226.2, funded by USAID, in which the

content has not been approved by USAID, must contain the following disclaimer:

“This study/report/audio/visual/other information/media product (specify) is made possible by the generous support of the American people through the United States Agency for International

Development (USAID). The contents are the responsibility of [insert recipient name] and do not necessarily reflect the views of USAID or the United States Government.”

(11) The recipient will provide the Agreement Officer‘s Technical Representative (AOTR) or other

USAID personnel designated in the grant or cooperative agreement with two copies of all

program and communications materials produced under the award. In addition, the recipient will

submit one electronic or one hard copy of all final documents to USAID‘s Development

Experience Clearinghouse.


49

(c) Implementation of marking requirements.

(1) When the grant or cooperative agreement contains an approved Marking Plan, the recipient will

implement the requirements of this provision following the approved Marking Plan.

(2) When the grant or cooperative agreement does not contain an approved Marking Plan, the

recipient will propose and submit a plan for implementing the requirements of this provision

within 45 days after the effective date of this provision. The plan will include:

(i) A description of the program deliverables specified in paragraph (b) of this provision that

the recipient will produce as a part of the grant or cooperative agreement and which will

visibly bear the USAID Identity.

(ii) the type of marking and what materials the applicant uses to mark the program deliverables

with the USAID Identity,

(iii) when in the performance period the applicant will mark the program deliverables, and

where the applicant will place the marking,

(3) The recipient may request program deliverables not be marked with the USAID Identity by

identifying the program deliverables and providing a rationale for not marking these program

deliverables. Program deliverables may be exempted from USAID marking requirements when:

(i) USAID marking requirements would compromise the intrinsic independence or neutrality

of a program or materials where independence or neutrality is an inherent aspect of the

program and materials;

(ii) USAID marking requirements would diminish the credibility of audits, reports, analyses,

studies, or policy recommendations whose data or findings must be seen as independent;

(iii) USAID marking requirements would undercut host-country government ―ownership‖ of

constitutions, laws, regulations, policies, studies, assessments, reports, publications, surveys

or audits, public service announcements, or other communications better positioned as ―by‖

or ―from‖ a cooperating country ministry or government official;

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

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

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

inappropriate;

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

(4) The proposed plan for implementing the requirements of this provision, including any proposed

exemptions, will be negotiated within the time specified by the Agreement Officer after receipt of

the proposed plan. Failure to negotiate an approved plan with the time specified by the Agreement

Officer may be considered as noncompliance with the requirements is provision.

(d) Waivers.

(1) The recipient may request a waiver of the Marking Plan or of the marking requirements of this

provision, in whole or in part, for each program, project, activity, public communication or

commodity, or, in exceptional circumstances, for a region or country, when USAID required

marking would pose compelling political, safety, or security concerns, or when marking would

have an adverse impact in the cooperating country. The recipient will submit the request through

the Agreement Officer‘s Technical Representative. The Principal Officer is responsible for

approvals or disapprovals of waiver requests.


50

(2) The request will describe the compelling political, safety, security concerns, or adverse impact that

require a waiver, detail the circumstances and rationale for the waiver, detail the specific

requirements to be waived, the specific portion of the Marking Plan to be waived, or specific

marking to be waived, and include a description of how program materials will be marked (if at

all) if the USAID Identity is removed. The request should also provide a rationale for any use of

recipient‘s own identity/logo or that of a third party on materials that will be subject to the waiver.

(3) Approved waivers are not limited in duration but are subject to Principal Officer review at any

time, due to changed circumstances.

(4) Approved waivers ―flow down‖ to recipients of subawards unless specified otherwise. The waiver

may also include the removal of USAID markings already affixed, if circumstances warrant.

(5) Determinations regarding waiver requests are subject to appeal to the Principal Officer‘s cognizant

Assistant Administrator. The recipient may appeal by submitting a written request to reconsider

the Principal Officer‘s waiver determination to the cognizant Assistant Administrator.

(e) Non-retroactivity. The requirements of this provision do apply to any materials, events, or

commodities produced prior to January 2, 2006. The requirements of this provision do not apply to

program, project, or activity sites funded by USAID, including visible infrastructure projects (for

example, roads, bridges, buildings) or other programs, projects, or activities that are physical in nature

(for example, agriculture, forestry, water management) where the construction and implementation of

these are complete prior to January 2, 2006 and the period of the grant does not extend past January 2,

2006.

[END OF PROVISION]

IMPLEMENTATION OF E.O. 13224 -- EXECUTIVE ORDER ON TERRORIST FINANCING

(MARCH 2002)

The Recipient is reminded that U.S. Executive Orders and U.S. law prohibits transactions with, and the

provision of resources and support to, individuals and organizations associated with terrorism. It is the

legal responsibility of the recipient to ensure compliance with these Executive Orders and laws. This

provision must be included in all contracts/subawards issued under this agreement.

[END OF PROVISION]

USAID DISABILITY POLICY - ASSISTANCE (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://pdf.dec.org/pdf_docs/PDABQ631.pdf

b. USAID therefore requires that the recipient not discriminate against people with disabilities in the

implementation of USAID funded programs and that it make every effort to comply with the

objectives of the USAID Disability Policy in performing the program under this grant or cooperative

agreement. To that end and to the extent it can accomplish this goal within the scope of the program

objectives, the recipient should demonstrate a comprehensive and consistent approach for including

men, women and children with disabilities.

[END OF PROVISION]

http://pdf.dec.org/pdf_docs/PDABQ631.pdf


51

CENTRAL CONTRACTOR REGISTRATION AND UNIVERSAL IDENTIFIER (OCTOBER

2010)

a. Requirement for Central Contractor Registration (CCR). Unless you are exempted from this

requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your

information in the CCR until you submit the final financial report required under this award or

receive the final payment, whichever is later. This requires that you review and update the

information at least annually after the initial registration, and more frequently if required by changes

in your information or another award term.

b. Requirement for Data Universal Numbering System (DUNS) numbers. If you are authorized to

make subawards under this award, you:

(1) Must notify potential subrecipients that no entity (see definition in paragraph C of this award

term) may receive a subaward from you unless the entity has provided its DUNS number to

you.

(2) May not make a subaward to an entity unless the entity has provided its DUNS number to

you.

c. Definitions. For purposes of this award term:

(1) Central Contractor Registration (CCR) means the Federal repository into which an entity must

provide information required for the conduct of business as a recipient. Additional

information about registration procedures may be found at the CCR Internet site (currently at

http://www.ccr.gov).

(2) Data Universal Numbering System (DUNS) number means the nine-digit number established

and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A

DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or the

Internet (currently at http://fedgov.dnb.com/webform).

(3) Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25,

subpart C:

(i) Governmental organization, which is a State, local government, or Indian tribe;

(ii) A foreign public entity;

(iii) A domestic or foreign nonprofit organization;

(iv) A domestic or foreign for-profit organization; and

(v) A Federal agency, but only as a subrecipient under an award or subaward to a non-

Federal entity

(4) Subaward:

(i) This term means a legal instrument to provide support for the performance of any

portion of the substantive project or program for which you received this award and

that you as the recipient award to an eligible subrecipient.

(ii) The term does not include your procurement of property and services needed to carry

out the project or program (for further explanation, see Sec. --.210 of the attachment

to OMB Circular A-133, ―Audits of States, Local Governments, and Non-Profit

Organizations).

(iii) A subaward may be provided through any legal agreement, including an agreement

that you consider a contract.

(5) Subrecipient means an entity that:

(i) Receives a subaward from you under this award; and

(ii) Is accountable to you for the use of the Federal funds provided by the subaward.

[END OF PROVISION]


52

REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION (OCTOBER 2010)

a. Reporting of first-tier subawards.

(1) Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must

report each action that obligates $25,000 or more in Federal funds that does not include Recovery

funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,

Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e of this award term).

(2) Where and when to report.

(i) You must report each obligating action described in paragraph a.1. of this award term to

www.fsrs.gov.

(ii) For subaward information, report no later than the end of the month following the month in

which the obligation was made. (For example, if the obligation was made on November 7,

2010, the obligation must be reported by no later than December 31, 2010.)

(3) What to report. You must report the information about each obligating action that the submission

instructions posted at www.fsrs.gov specify.

b. Reporting Total Compensation of Recipient Executives.

(1) Applicability and what to report. You must report total compensation for each of your five most

highly compensated executives for the preceding completed fiscal year, if –

(i) the total Federal funding authorized to date under this award is $25,000 or more;

(ii) in the preceding fiscal year, you received—

A. 80 percent or more of your annual gross revenues from Federal procurement contracts

(and subcontracts) and Federal financial assistance subject to the Transparency Act, as

defined at 2 CFR 170.320 (and subawards); and

B. $25,000,000 or more in annual gross revenues from Federal procurement contracts (and

subcontracts) and Federal financial assistance subject to the Transparency Act, as defined

at 2 CFR 170.320 (and subawards); and

(iii) The public does not have access to information about the compensation of the executives

through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of

1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To

determine if the public has access to the compensation information, see the U.S. Security and

Exchange Commission total compensation filings at

http://www.sec.gov/answers/execomp.htm.)

(2) Where and when to report. You must report executive total compensation described in paragraph

b.(1) of this award term:

(i) As part of your registration profile at www.ccr.gov.

(ii) By the end of the month following the month in which this award is made, and annually

thereafter.

c. Reporting of Total Compensation of Subrecipient Executives.

(1) Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award

term, for each first-tier subrecipient under this award, you shall report the names and total

compensation of each of the subrecipient‗s five most highly compensated executives for the

subrecipient‗s preceding completed fiscal year, if –

(i) in the subrecipient's preceding fiscal year, the subrecipient received—

http://www.ccr.gov/


53

(A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and

subcontracts) and Federal financial assistance subject to the Transparency Act, as defined

at 2 CFR 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and

subcontracts), and Federal financial assistance subject to the Transparency Act (and

subawards); and ii. The public does not have access to information about the

compensation of the executives through periodic reports filed under section 13(a) or 15(d)

of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the

Internal Revenue Code of 1986. (To determine if the public has access to the

compensation information, see the U.S. Security and Exchange Commission total

compensation filings at http://www.sec.gov/answers/execomp.htm

(2) Where and when to report. You must report subrecipient executive total compensation described

in paragraph c. (1) of this award term:

(ii) To the recipient.

(iii) By the end of the month following the month during which you make the subaward. For

example, if a subaward is obligated on any date during the month of October of a given year

(i.e., between October 1 and 31), you must report any required compensation information of

the subrecipient by November 30 of that year.

d. Exemptions

If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from

the requirements to report:

(1) subawards, and

(2) the total compensation of the five most highly compensated executives of any subrecipient.

e. Definitions. For purposes of this award term:

(1) Entity means all of the following, as defined in 2 CFR part 25:

(i) A Governmental organization, which is a State, local government, or Indian tribe;

(ii) A foreign public entity;

(iii) A domestic or foreign nonprofit organization;

(iv) A domestic or foreign for-profit organization;

(v) A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal

entity.

(2) Executive means officers, managing partners, or any other employees in management positions.

(3) Subaward:

(ii) This term means a legal instrument to provide support for the performance of any portion of

the substantive project or program for which you received this award and that you as the

recipient award to an eligible subrecipient.

(iii) The term does not include your procurement of property and services needed to carry out the

project or program (for further explanation, see Sec. --.210 of the attachment to OMB Circular

A- 133, ―Audits of States, Local Governments, and Non- Profit Organizations‖).

(iv) A subaward may be provided through any legal agreement, including an agreement that you

or a subrecipient considers a contract.

(4) Subrecipient means an entity that:

(i) Receives a subaward from you (the recipient) under this award; and

(ii) Is accountable to you for the use of the Federal funds provided by the subaward.

http://www.sec.gov/answers/execomp.htm


54

(5) Total compensation means the cash and noncash dollar value earned by the executive during the

recipient‗s or subrecipient‗s preceding fiscal year and includes the following (for more

information see 17 CFR 229.402(c)(2)):

(i) Salary and bonus.

(ii) Awards of stock, stock options, and stock appreciation rights. Use the dollar amount

recognized for financial statement reporting purposes with respect to the fiscal year in

accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004)

(FAS 123R), Shared Based Payments.

(iii) Earnings for services under nonequity incentive plans. This does not include group life,

health, hospitalization or medical reimbursement plans that do not discriminate in favor of

executives, and are available generally to all salaried employees.

(iv) Change in pension value. This is the change in present value of defined benefit and actuarial

pension plans.

(v) Above-market earnings on deferred compensation which is not tax-qualified.

(vi) Other compensation, if the aggregate value of all such other compensation (e.g. severance,

termination payments, value of life insurance paid on behalf of the employee, perquisites or

property) for the executive exceeds $10,000.

[END OF PROVISION]

ANNEX B - CERTIFICATIONS, ASSURANCES AND OTHER STATEMENTS OF APPLICANTS

CERTIFICATIONS, ASSURANCES AND OTHER STATEMENTS OF APPLICANTS

NOTE: When these Certifications, Assurances, and Other Statements of Recipient are used for cooperative

agreements, the term "Grant" means "Cooperative Agreement".

PART I - CERTIFICATIONS AND ASSURANCES

1. ASSURANCE OF COMPLIANCE WITH LAWS AND REGULATIONS GOVERNING NON-

DISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS

(a) The recipient hereby assures that no person in the United States shall, on the bases set forth below, be

excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination

under, any program or activity receiving financial assistance from USAID, and that with respect to the

Cooperative Agreement for which application is being made, it will comply with the requirements of:

(1) Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352, 42 U.S.C. 2000-d), which prohibits

discrimination on the basis of race, color or national origin, in programs and activities receiving

Federal financial assistance;

(2) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which prohibits discrimination on

the basis of handicap in programs and activities receiving Federal financial assistance;

(3) The Age Discrimination Act of 1975, as amended (Pub. L. 95-478), which prohibits

discrimination based on age in the delivery of services and benefits supported with Federal funds;

(4) Title IX of the Education Amendments of 1972 (20 U.S.C. 1681, et seq.), which prohibits

discrimination on the basis of sex in education programs and activities receiving Federal financial

assistance (whether or not the programs or activities are offered or sponsored by an educational

institution); and

(5) USAID regulations implementing the above nondiscrimination laws, set forth in Chapter II of

Title 22 of the Code of Federal Regulations.

(b) If the recipient is an institution of higher education, the Assurances given herein extend to admission

practices and to all other practices relating to the treatment of students or clients of the institution, or


55

relating to the opportunity to participate in the provision of services or other benefits to such

individuals, and shall be applicable to the entire institution unless the recipient establishes to the

satisfaction of the USAID Administrator that the institution's practices in designated parts or programs

of the institution will in no way affect its practices in the program of the institution for which financial

assistance is sought, or the beneficiaries of, or participants in, such programs.

(c) This assurance is given in consideration of and for the purpose of obtaining any and all Federal grants,

loans, contracts, property, discounts, or other Federal financial assistance extended after the date

hereof to the recipient by the Agency, including installment payments after such date on account of

applications for Federal financial assistance which was approved before such date. The recipient

recognizes and agrees that such Federal financial assistance will be extended in reliance on the

representations and agreements made in this Assurance, and that the United States shall have the right

to seek judicial enforcement of this Assurance. This Assurance is binding on the recipient, its

successors, transferees, and assignees, and the person or persons whose signatures appear below are

authorized to sign this Assurance on behalf of the recipient.

2. CERTIFICATION REGARDING LOBBYING

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

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to

any person for influencing or attempting to influence an officer or employee of any agency, a Member

of Congress, an officer or employee of Congress, or an employee of a Member of Congress in

connection with the awarding of any Federal contract, the making of any Federal Cooperative

Agreement, the making of any Federal loan, the entering into of any cooperative agreement, and the

extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan, or

cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for

influencing or attempting to influence an officer or employee of any agency, a Member of Congress,

an officer or employee of Congress, or an employee of a Member of Congress in connection with this

Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit

Standard Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award

documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants,

loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this

transaction was made or entered into. Submission of this certification is a prerequisite for making or

entering into this transaction imposed by section 1352, title 31, United States Code. Any person who

fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not

more than $100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance

The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been

paid or will be paid to any person for influencing or attempting to influence an officer or employee of

any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member

of Congress in connection with this commitment providing for the United States to insure or guarantee

a loan, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report

Lobbying," in accordance with its instructions. Submission of this statement is a prerequisite for

making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who

fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not

more than $100,000 for each such failure.


56

3. PROHIBITION ON ASSISTANCE TO DRUG TRAFFICKERS FOR COVERED

COUNTRIES AND INDIVIDUALS (ADS 206)

USAID reserves the right to terminate this Agreement, to demand a refund or take other appropriate

measures if the recipient is found to have been convicted of a narcotics offense or to have been engaged in

drug trafficking as defined in 22 CFR Part 140. The undersigned shall review USAID ADS 206 to

determine if any certifications are required for Key Individuals or Covered Participants.

If there are COVERED PARTICIPANTS: USAID reserves the right to terminate assistance to or take

other appropriate measures with respect to, any participant approved by USAID who is found to have been

convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part

140.

4. CERTIFICATION REGARDING TERRORIST FINANCING IMPLEMENTING

EXECUTIVE ORDER 13224

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

below:

1. The Recipient, to the best of its current knowledge, did not provide, within the previous ten years, and

will take all reasonable steps to ensure that it does not and will not knowingly provide, material

support or resources to any individual or entity that commits, attempts to commit, advocates,

facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated, or

participated in terrorist acts, as that term is defined in paragraph 3.

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

a. Before providing any material support or resources to an individual or entity, the Recipient will

verify that the individual or entity does not (i) appear on the master list of Specially Designated

Nationals and Blocked Persons, which list is maintained by the U.S. Treasury‘s Office of Foreign

Assets Control (OFAC) and is available online at OFAC‘s website :

http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf, or (ii) is not included in any

supplementary information concerning prohibited individuals or entities that may be provided by

USAID to the Recipient.

b. Before providing any material support or resources to an individual or entity, the Recipient also

will verify that the individual or entity has not been designated by the United Nations Security

(UNSC) sanctions committee established under UNSC Resolution 1267 (1999) (the ―1267

Committee‖) [individuals and entities linked to the Taliban, Usama bin Laden, or the Al Qaida

Organization]. To determine whether there has been a published designation of an individual or

entity by the 1267 Committee, the Recipient should refer to the consolidated list available online

at the Committee‘s website: http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm.

c. Before providing any material support or resources to an individual or entity, the Recipient will

consider all information about that individual or entity of which it is aware and all public

information that is reasonably available to it or of which it should be aware.

d. The Recipient also will implement reasonable monitoring and oversight procedures to safeguard

against assistance being diverted to support terrorist activity.

3. For purposes of this Certification-

a. ―Material support and resources‖ means currency or monetary instruments or financial securities,

financial services, lodging, training, expert advice or assistance, safehouses, false documentation

or identification, communications equipment, facilities, weapons, lethal substances, explosives,

personnel, transportation, and other physical assets, except medicine or religious materials.‖

b. ―Terrorist act‖ means-

http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf

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


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(i) an act prohibited pursuant to one of the 12 United Nations Conventions and Protocols related

to terrorism (see UN terrorism conventions Internet site:

http://untreaty.un.org/English/Terrorism.asp); or

(ii) an act of premeditated, politically motivated violence perpetrated against noncombatant

targets by subnational groups or clandestine agents; or

(iii) any other act intended to cause death or serious bodily injury to a civilian, or to any other

person not taking an active part in hostilities in a situation of armed conflict, when the

purpose of such act, by its nature or context, is to intimidate a population, or to compel a

government or an international organization to do or to abstain from doing any act.

c. ―Entity‖ means a partnership, association, corporation, or other organization, group or subgroup.

d. References in this Certification to the provision of material support and resources shall not be

deemed to include the furnishing of USAID funds or USAID-financed commodities to the

ultimate beneficiaries of USAID assistance, such as recipients of food, medical care, micro-

enterprise loans, shelter, etc., unless the Recipient has reason to believe that one or more of these

beneficiaries commits, attempts to commit, advocates, facilitates, or participates in terrorist acts,

or has committed, attempted to commit, facilitated or participated in terrorist acts.

e. The Recipient‘s obligations under paragraph 1 are not applicable to the procurement of goods

and/or services by the Recipient that are acquired in the ordinary course of business through

contract or purchase, e.g., utilities, rents, office supplies, gasoline, etc., unless the Recipient has

reason to believe that a vendor or supplier of such goods and services commits, attempts to

commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to

commit, facilitated or participated in terrorist acts.

This Certification is an express term and condition of any agreement issued as a result of this application,

and any violation of it shall be grounds for unilateral termination of the agreement by USAID prior to the

end of its term.

5. CERTIFICATION OF RECIPIENT

By signing below the recipient provides certifications and assurances for (1) the Assurance of Compliance

with Laws and Regulations Governing Non-Discrimination in Federally Assisted Programs, (2) the

Certification Regarding Lobbying, (3) the Prohibition on Assistance to Drug Traffickers for Covered

Countries and Individuals (ADS 206) and (4) the Certification Regarding Terrorist Financing

Implementing Executive Order 13224 above.

RFA/APS No. _____________________________

Application No. _____________________________

Date of Application _____________________________

Name of Recipient _____________________________

Typed Name and Title _____________________________

Signature _____________________________

Date _____________________________


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6. CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS

(a) Instructions for Certification

(1) By signing and/or submitting this application or grant, the recipient is providing the

certification set out below.

(2) The certification set out below is a material representation of fact upon which reliance was

placed when the agency determined to award the Cooperative Agreement. If it is later

determined that the recipient knowingly rendered a false certification, or otherwise violates

the requirements of the Drug-Free Workplace Act, the agency, in addition to any other

remedies available to the` Federal Government, may take action authorized under the Drug-

Free Workplace Act.

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

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

(b) Certification Regarding Drug-Free Workplace Requirements

Alternate I

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

(A) Publishing a statement notifying employees that the unlawful manufacture, distribution,

dispensing, possession or use of a controlled substance is prohibited in the applicant's/recipient's

workplace and specifying the actions that will be taken against employees for violation of such

prohibition;

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

1. The dangers of drug abuse in the workplace;

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

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

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

the workplace;

(C) Making it a requirement that each employee to be engaged in the performance of the

Cooperative Agreement be given a copy of the statement required by paragraph (b)(1)(A);

(D) Notifying the employee in the statement required by paragraph (b)(1)(A) that, as a condition of

employment under the Cooperative Agreement, the employee will—

1. Abide by the terms of the statement; and

2. Notify the employer of any criminal drug statute conviction for a violation occurring in the

workplace no later than five days after such conviction;

(E) Notifying the agency within ten days after receiving notice under subparagraph (b)(1)(D)1. from

an employee or otherwise receiving actual notice of such conviction;

(F) Taking one of the following actions, within 30 days of receiving notice under subparagraph

(b)(1)(D)2., with respect to any employee who is so convicted—

1. Taking appropriate personnel action against such an employee, up to and including

termination; or

2. Requiring such employee to participate satisfactorily in a drug abuse assistance or

rehabilitation program approved for such purposes by a Federal, State, or local health, law

enforcement, or other appropriate agency;


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(G) Making a good faith effort to continue to maintain a drug- free workplace through

implementation of paragraphs (b)(1)(A), (b)(1)(B), (b)(1)(C), (b)(1)(D), (b)(1)(E) and (b)(1)(F).

(2) The recipient shall insert in the space provided below the site(s) for the performance of work done in

connection with the specific Cooperative Agreement:

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

________________________________________________________________

________________________________________________________________

________________________________________________________________

________________________________________________________________

Alternate II

The recipient certifies that, as a condition of the Cooperative Agreement, he or she will not engage in the

unlawful manufacture, distribution, dispensing, possession or use of a controlled substance in conducting

any activity with the Cooperative Agreement.

7. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER

RESPONSIBILITY MATTERS -- PRIMARY COVERED TRANSACTIONS

(a) Instructions for Certification

1. By signing and submitting this application, the prospective primary participant is providing the

certification set out below.

2. The inability of a person to provide the certification required below will not necessarily result in

denial of participation in this covered transaction. The prospective participant shall submit an

explanation of why it cannot provide the certification set out below. The certification or

explanation will be considered in connection with the department or agency's determination

whether to enter into this transaction. However, failure of the prospective primary participant to

furnish a certification or an explanation shall disqualify such person from participation in this

transaction.

3. The certification in this clause is a material representation of fact upon which reliance was placed

when the department or agency determined to enter into this transaction. If it is later determined

that the prospective primary participant knowingly rendered an erroneous certification, in

addition to other remedies available to the Federal Government, the department or agency may

terminate this transaction for cause or default.

4. The prospective primary participant shall provide immediate written notice to the department or

agency to whom this application is submitted if at any time the prospective primary participant

learns that its certification was erroneous when submitted or has become erroneous by reason of

changed circumstances.

5. The terms "covered transaction," "debarred," "suspended," "ineligible," lower tier covered

transaction," "participant," "person," "primary covered transaction," "principal," "application,"

and "voluntarily excluded," as used in this clause, have the meaning set out in the Definitions and

Coverage sections of the rules implementing Executive Order 12549. [4] You may contact the

department or agency to which this application is being submitted for assistance in obtaining a

copy of those regulations.

6. The prospective primary participant agrees by submitting this application that, should the

proposed covered transaction be entered into, it shall not knowingly enter into any lower tier

covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily

excluded from participation in this covered transaction, unless authorized by the department or

agency entering into this transaction.

7. The prospective primary participant further agrees by submitting this application that it will include

the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary


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Exclusion--Lower Tier Covered Transaction," [5] provided by the department or agency entering into

this covered transaction, without modification, in all lower tier covered transactions and in all

solicitations for lower tier covered transactions.

8. A participant in a covered transaction may rely upon a certification of a prospective participant in

a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily

excluded from the covered transaction, unless it knows that the certification is erroneous. A

participant may decide the methods and frequency by which it determines the eligibility of its

principals. Each participant may, but is not required to, check the Non-procurement List.

9. Nothing contained in the foregoing shall be construed to require establishment of a system of

records in order to render in good faith the certification required by this clause. The knowledge

and information of a participant is not required to exceed that which is normally possessed by a

prudent person in the ordinary course of business dealing.

10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a

covered transaction knowingly enters into a lower tier covered transaction with a person who is

suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in

addition to other remedies available to the Federal Government, the department or agency may

terminate this transaction for cause or default.

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

Covered Transactions

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

principals:

(A) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily

excluded from covered transactions by any Federal department or agency;

(B) Have not within a three-year period preceding this application been convicted of or had a civil

judgment rendered against them for commission of fraud or a criminal offense in connection with

obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract

under a public transaction; violation of Federal or State antitrust statutes or commission of

embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements,

or receiving stolen property;

(C) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity

(Federal, State or local) with commission of any of the offenses enumerated in paragraph (1)(B) of this

certification; (D) Have not within a three-year period preceding this application/application had one or

more public transactions (Federal, State or local) terminated for cause or default.

(2) Where the prospective primary participant is unable to certify to any of the statements in this

certification, such prospective participant shall attach an explanation to this application.

PART II: KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES AND DRUG

TRAFFICKING

I hereby certify that within the last ten years:

1. I have not been convicted of a violation of, or a conspiracy to violate, any law or regulation of the

United States or any other country concerning narcotic or psychotropic drugs or other controlled

substances.

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

3. I am not and have not been a knowing assistor, abettor, conspirator, or colluder with others in the illicit

trafficking in any such drug or substance.


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Signature: ____________________________

Date: ____________________________

Name: ____________________________

Title/Position: ____________________________

Organization: ____________________________

Address: ____________________________

____________________________

Date of Birth: ____________________________

NOTICE:

1. You are required to sign this Certification under the provisions of 22 CFR Part 140, Prohibition on

Assistance to Drug Traffickers. These regulations were issued by the Department of State and require

that certain key individuals of organizations must sign this Certification.

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

PART III: PARTICIPANT CERTIFICATION NARCOTICS OFFENSES AND DRUG

TRAFFICKING (ADS 206)

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

a. I have not been convicted of a violation of, or a conspiracy to violate, any law or regulation of the

United States or any other country concerning narcotic or psychotropic drugs or other controlled

substances.

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

c. I am not or have not been a knowing assistor, abettor, conspirator, or colluder with others in the

illicit trafficking in any such drug or substance.

2. I understand that USAID may terminate my training if it is determined that I engaged in the above

conduct during the last ten years or during my USAID training.

Signature: ___________________________________

Name: ___________________________________

Date: ___________________________________

Address: ___________________________________

___________________________________

Date of Birth: ___________________________________

NOTICE:

1. You are required to sign this Certification under the provisions of 22 CFR Part 140, Prohibition on

Assistance to Drug Traffickers. These regulations were issued by the Department of State and require

that certain participants must sign this Certification.


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

PART IV: SURVEY ON ENSURING EQUAL OPPORTUNITY FOR APPLICANTS

Applicability: All RFAs must include the attached Survey on Ensuring Equal Opportunity for Applicants

as an attachment to the RFA package. Applicants under unsolicited applications are also to be provided

the survey. (While inclusion of the survey by Agreement Officers in RFA packages is required, the applicant’s completion of the survey is voluntary, and must not be a requirement of the RFA. The absence

of a completed survey in an application may not be a basis upon which the application is determined incomplete or non-responsive. Applicants who volunteer to complete and submit the survey under a

competitive or non-competitive action are instructed within the text of the survey to submit it as part of the

application process.)

PART V - OTHER STATEMENTS OF RECIPIENT

1. Authorized Individuals

The recipient represents that the following persons are authorized to negotiate on its behalf with the

Government and to bind the recipient in connection with this application or grant:

Name Title Telephone No. Facsimile No.

________________________________________________________________

________________________________________________________________

2. Taxpayer Identification Number (TIN)

If the recipient is a U.S. organization, or a foreign organization which has income effectively connected

with the conduct of activities in the U.S. or has an office or a place of business or a fiscal paying agent in

the U.S., please indicate the recipient's TIN:

TIN: ________________________________

3. Data Universal Numbering System (DUNS) Number

(a) In the space provided at the end of this provision, the recipient should supply the Data Universal

Numbering System (DUNS) number applicable to that name and address. Recipients should take care to

report the number that identifies the recipient's name and address exactly as stated in the proposal.

(b) The DUNS is a 9-digit number assigned by Dun and Bradstreet Information Services. If the

recipient does not have a DUNS number, the recipient should call Dun and Bradstreet directly at One

through Eight00-333-0505. A DUNS number will be provided immediately by telephone at no charge to

the recipient. The recipient should be prepared to provide the following information:

(1) Recipient's name.

(2) Recipient's address.

(3) Recipient's telephone number.

(4) Line of business.

(5) Chief executive officer/key manager.

(6) Date the organization was started.

(7) Number of people employed by the recipient.

(8) Company affiliation.

(c) Recipients located outside the United States may obtain the location and phone number of the local

Dun and Bradstreet Information Services office from the Internet Home Page at

http://www.dbisna.com/dbis/customer/custlist.htm. If an recipient is unable to locate a local service center,

it may send an e-mail to Dun and Bradstreet at [email protected].

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

http://www.dbisna.com/dbis/customer/custlist.htm



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DUNS: ________________________________________

4. Letter Of Credit (LOC) Number

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

LOC: _________________________________________

5. Procurement Information

(a) Applicability. This applies to the procurement of goods and services planned by the recipient

(i.e., contracts, purchase orders, etc.) from a supplier of goods or services for the direct use or benefit of

the recipient in conducting the program supported by the grant, and not to assistance provided by the

recipient (i.e., a subgrant or subagreement) to a subrecipient or subrecipient in support of the subrecipient's

or subrecipient's program. Provision by the recipient of the requested information does not, in and of

itself, constitute USAID approval.

(b) Amount of Procurement. Please indicate the total estimated dollar amount of goods and

services which the recipient plans to purchase under the grant:

$__________________________

(c) Nonexpendable Property. If the recipient plans to purchase nonexpendable equipment which

would require the approval of the Agreement Officer, please indicate below (using a continuation page, as

necessary) the types, quantities of each, and estimated unit costs. Nonexpendable equipment for which the

Agreement Officer's approval to purchase is required is any article of nonexpendable tangible personal

property charged directly to the grant, having a useful life of more than one year and an acquisition cost of

$5,000 or more per unit.

TYPE/DESCRIPTION (Generic) ____________________________

QUANTITY ____________________________

ESTIMATED UNIT COST ____________________________

(d) Source, Origin, and Componentry of Goods. If the recipient plans to purchase any

goods/commodities which are not of U.S. source and/or U.S. origin, and/or does not contain at least 50%

componentry, which are not at least 50% U.S. source and origin, please indicate below (using a

continuation page, as necessary) the types and quantities of each, estimated unit costs of each, and

probable source and/or origin, to include the probable source and/or origin of the components if less than

50% U.S. components will be contained in the commodity. "Source" means the country from which a

commodity is shipped to the cooperating country or the cooperating country itself if the commodity is

located therein at the time of purchase. However, where a commodity is shipped from a free port or

bonded warehouse in the form in which received therein, "source" means the country from which the

commodity was shipped to the free port or bonded warehouse. Any commodity whose source is a non-

Free World country is ineligible for USAID financing. The "origin" of a commodity is the country or area

in which a commodity is mined, grown, or produced. A commodity is produced when, through

manufacturing, processing, or substantial and major assembling of components, a commercially

recognized new commodity result, which is substantially different in basic characteristics or in purpose or

utility from its components. Merely packaging various items together for a particular procurement or

relabeling items do not constitute production of a commodity. Any commodity whose origin is a non-Free

World country is ineligible for USAID financing. "Components" are the goods, which go directly into the

production of a produced commodity. Any component from a non-Free World country makes the

commodity ineligible for USAID financing.

TYPE/DESCRIPTION _____________________________

QUANTITY _____________________________

ESTIMATED GOODS _____________________________

PROBABLE GOODS _____________________________

PROBABLE (Generic _____________________________

UNIT COST _____________________________


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COMPONENTS _____________________________

SOURCE _____________________________

COMPONENTS _____________________________

ORIGIN _____________________________

(e) Restricted Goods. If the recipient plans to purchase any restricted goods, please indicate

below (using a continuation page, as necessary) the types and quantities of each, estimated unit costs of

each, intended use, and probable source and/or origin. Restricted goods are Agricultural Commodities,

Motor Vehicles, Pharmaceuticals, Pesticides, Rubber Compounding Chemicals and Plasticizers, Used

Equipment, U.S. Government-Owned Excess Property, and Fertilizer.

TYPE/DESCRIPTION ______________________________

QUANTITY ______________________________

ESTIMATED ______________________________

PROBABLE ______________________________

INTENDED USE (Generic) ______________________________

UNIT COST ______________________________

SOURCE ______________________________

ORIGIN ______________________________

(f) Supplier Nationality. If the recipient plans to purchase any goods or services from suppliers of

goods and services whose nationality is not in the U.S., please indicate below (using a continuation page,

as necessary) the types and quantities of each good or service, estimated costs of each, probable nationality

of each non-U.S. supplier of each good or service, and the rationale for purchasing from a non-U.S.

supplier. Any supplier whose nationality is a non-Free World country is ineligible for USAID financing.

TYPE/DESCRIPTION _____________________________

QUANTITY _____________________________

ESTIMATED _____________________________

PROBABLE SUPPLIER _____________________________

NATIONALITY _____________________________

RATIONALE (Generic) _____________________________

UNIT COST (Non-US Only) _____________________________

FOR NON-US _____________________________

(g) Proposed Disposition. If the recipient plans to purchase any nonexpendable equipment with a

unit acquisition cost of $5,000 or more, please indicate below (using a continuation page, as necessary) the

proposed disposition of each such item. Generally, the recipient may either retain the property for other

uses and make compensation to USAID (computed by applying the percentage of federal participation in

the cost of the original program to the current fair market value of the property), or sell the property and

reimburse USAID an amount computed by applying to the sales proceeds the percentage of federal

participation in the cost of the original program (except that the recipient may deduct from the federal

share $500 or 10% of the proceeds, whichever is greater, for selling and handling expenses), or donate the

property to a host country institution, or otherwise dispose of the property as instructed by USAID.

TYPE/DESCRIPTION(Generic) ______________________________

QUANTITY ______________________________

ESTIMATED UNIT COST ______________________________

PROPOSED DISPOSITION ______________________________

6. Past Performance References

On a continuation page, please provide past performance information requested in the RFA.

7. Type of Organization

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

(a) If the recipient is a U.S. entity, it operates as [ ] a corporation incorporated under the laws of the


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State of, [ ] an individual, [ ] a partnership, [ ] a nongovernmental nonprofit organization, [ ] a state or loc

al governmental organization, [ ] a private college or university, [ ] a public college or university, [ ] an

international organization, or [ ] a joint venture; or

(b) If the recipient is a non-U.S. entity, it operates as [ ] a corporation organized under the laws of

_____________________________ (country), [ ] an individual, [ ] a partnership, [ ] a nongovernmental

nonprofit organization, [ ] a nongovernmental educational institution, [ ] a governmental organization, [ ]

an international organization, or [ ] a joint venture.

8. Estimated Costs of Communications Products

The following are the estimate(s) of the cost of each separate communications product (i.e., any printed

material [other than non- color photocopy material], photographic services, or video production services)

which is anticipated under the grant. Each estimate must include all the costs associated with preparation

and execution of the product. Use a continuation page as necessary.

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