EMERGENCY ROADS REPAIR
Project No. 442-0107 AOENCY FOn INTFflIIATIONAL DrVELOPMENT I. IRANSACHON CODE )OCUMENT Add PROJECT D)ATA SIIEE'" P TTAc= t.i,1ge AmeridlueiIt Number CODE 3 a D =Dlelete 2. COUNIRY/ENTr'YI 3. PROJICI"NUMIIER Caibodia C- 442-0ih7 i. IiURFAU/OFICt E f. PROJECr 'ITL (niaximusla 40 chIfacteri)
USAID/Cambodia _ - -11 Emergency Roads Repair .PI'Ij .CI'ASSISTANCE COMILE'ION I)ATE (lACI) 7. ESTIMAIED )DATE 1F0111,GATION (Uider .'Bbelou, epiter 1, 2, 3, or 4) MM DD YY 0 01931 A.InItiFY I'Y L9 1 ,.QunitCFlltl c.FiFy _13J 8. COSTS 5000 OR EQUI VALENT $1I:_ _ A. FUNDING SOURCE FIRST FY -LIFEOF PROJECi" _. FX C.LIC D.Tol E.FX F.L/C G.Total AID Appopliated Total (Grant) ( 10,000 ) ( ) C ) (40,000 ) ( (40,000 } __(loa,) _ ___( )( ) ( ) ( ) ( ) ( ) Other I. U.S. 12. Ilost Country Oilier Donu,(i) TOTAL S - 10,000 4000IF 40,000 II 9. SCIIEDULE OF All) FUNDING (8000) A. APPRO. FfLIARY C. PIUMARY F. LIFE PRIA'rIN PURPOSE TECII CODE OIAN TO DEAO T0is AOFOD OF PROJEGEI;
__1 CODE I.Grant, 2. Loan I. Grant 2. Loan I. Grant _,______oooo40o__ooo___2. Lon, I. Grant 2. Loa
(2) I______TOTALS 10,000 40,000
101.SECONDARY IE-1CINICAL.COI)ES (ritaximm~nn5 cones nl3 poiont each) j 1. SECONDARY PRtJtIOSE CODE
12. SPECIAl. CONC'ERINS CODES (vnnnxinn n 7 code$ of 4posiiiai each)
It.Amountm______13. PIt(IJE7I' PURPOSE (niaxiiinn 480 charac rj).
To assist Cambodia in the emergency demining, repair and restoration of vital roads infrastructure to facilitate the resettlement of refugee and displaced populations, support national reunification, and stimulate economic reactivation in rural areas.
14. SCIIEDULEI) EVAI.OATIONS I 15. SOURCE/OtIGIN OF GOODS ANID SERVICES MM Y M 1IV ht"II YY 00 interim LLJUi J_..I_iLI Fina 1 9I4 I oo [.l 9412 [1l Local.E Olier(Specqy "__ ,.. 16. AMENDMENTS/NATURE OF CHANGE PROPOSED (Ths ispage I of a _ page 1' AnienadmenLt)
17. AI'IROVI) S1.I1ATE I)OCUMENT RECEIVED IN AII)W, OR FOR AII)/V I)OCU. 17. APROVEDhilMENIS, DATIE OF I)lS1I'UIUN BY ltitle Lee Twentymail IDaie sig,,ed AID Representative 1 MI DD .YY1 MM D) YY USAID/Cambodia ii'IIiIi.II i AID 1350-4 (8-79) CAMBODIA
Emergency Roads Repair
Project No. 442-0107 Table of Contents
Page
I. Background and Rationale I1 A. General 1
B. Host Country and Other Donors 2
C. Relationship to USAID Strategy 3
D. History of Road Repairs 3
II. Project Description 4 A. Goal and Purpose 4
B. Project Activities 4
C. Methodology 6
D. Engineering Considerations 7
E. Implementation 9
III. Financial Plan 10 4 IV. Annexes
Implementation Flow Charts A List/Map of Project Roads B Draft Scope of Work: Construction C Draft Scope of Work: Supervision D Draft Authorization E PROJECT AUTHORIZATION
Name of Country: Cambodia
Name of Project: Emergency Roads Repair Number of Project: 442-0109
I. Pursuant to the Foreign Assistance Act of 1961, as amended, and to the Ad Hoc Delegation of Project Authorization Authority dated September 11, 1992, I hereby authorize the Emergency Roads Repair Project (the "Project") for Cambodia involving planned obligations of not to exceed Forty Million United States Dollars (US$40,000,000) over the three year period from the date of authorization, subject to the availability of funds in accordance with the A.I.D. OYB/allotment process. The planned Life of Project is approximately four years from the date of initial obligation.
2. The Project will provide access to rural areas in Cambodia to permit resettlement of refugee and displaced persons, facilitate the delivery of basic services and humanitarian aid, stimulate and encourage trade and rural development, and contribute to the social and economic recovery of Cambodia. The Project will undertake activities necessary to demine, repair, and restore vital rural road infrastructure, including bridges and culverts.
3. The assistance agreements necessary to implement the Project may be negotiated and executed by the officer to whom such authority is delegated in accordance with A.I.D. regulations and delegations of authority, shall be subject to the terms and conditions stated herein and such other terms and conditions that A.I.D. may deem appropriate.
4. Source and Orlin of Commodities: Nationality of Services. Except as A.I.D. may otherwise agree in writing, or as otherwise provided below, commodities financed by A.I.D. under the Project shall have their source and origin and for services their source and nationality in the United States.
Except as A.I.D. may otherwise agree in writing, ocean shipping financed by A.I.D. under the Project shall be only on flag vessels of the United States. AID has determined that there is no U.S. flag service available to Cambodia and ocean transportation services of A.I.D. geographic code 935 are eligible for financing under this Project until December 16, 1992, unless A.I.D. agrees otherwise in writing. Except as provided below, all locally financed procurement must be covered by source/nationality waivers under A.I.D. Handbook lB, Chapter 5, with the following exceptions:
a. Locally available commodities of U.S. origin, which are otherwise eligible for financing, if the value of the transaction is estimated not to exceed thq local currency equivalent of $100,000 (exclusive of transportation costs); b. Commodities of A.I.D. £eographic code 935 origin if the value of the transaction does not exceed $25,000;
c. Commodities and services and related expenses of A.I.D. geographic code 935 origin that, by their nature or as a practical matter, can only be acquired, performed or incurred in those countries, such as fuel, oils, and lubricants, vehicle maintainance, housing and related expenses, and communications, among others; d. Professional services contracts of geographic code 935 nationality estimated not to exceed $600,000; and,
e. Construction services contracts of geographic code 935 nationality estimated not to exceed $7,500,000. 5. Waivers. Taking into consideration that funds for this Project are made available "notwithstanding any other provision of law," except as A.I.D. may agree otherwise in writing, the following waivers apply to this Project:
a. Host Country Contribution, FAA Sec. 110, 124(d): Cambodia, as a relatively least developed country, has no funds to enable it to share in the costs of the Project;
b. Environmental Impact Statements, FAA 117(c), and AID Reg. 16: No assessment of the environmental impact can be undertaken because of the dangers posed by mines, which the Project is designed to eliminate;
c. Ten Percent Set Aside for Subcontracts, FAA 567, AIDAR 14.726.3, and, for Phase I, full and open competition and advertisement in the United States, FAR Part 6: As local knowledge of construction conditions and risks is imperative to permit safe activity; and, d. Certification that the host country has the capability to maintain and utilize the project effectively, FAA 611(e): Cambodia has no governmental authority with the capacity to rehabilitate roads.
6. Condition. No funds made available under this authorization may be made available, directly o' indirectly; for the Khmer Rouge.
Lee Twentyman, AID/Cambodia
Date CLEARANCE PAGE FOR PROJECT AUTHORIZATION AND ACTION MEMORANDUM FOR THE AID REPRESENTATIVE TO CAMBODIA
Name of Country: Cambodia
Project: Emergency Roads Repair Project Number: 442-0109 Clearances: O/PFM:RRucker tCi O/IKA:HErdahl RCO:NEdin O/FIN:RMcClure RLA:IGSmyer DD:EMorris I. Background and Rationale
A. General. Cambodia has been perhaps the nation most devasted by the conflicts in Indochina. The country has suffered from a protracted period of fighting, economic disruption and massive displacement of the population since the mid-1970s.
After years of unsuccessful efforts to bring about peace between warring factions, a ceasefire was finally agreed to and on October 23, 1991 the main political factions signed an accord in Paris which provides for a UN-organized ceasefire, repatriation of refugees, disarmament and demobilization of armed forces, and nationwide parliamentary elections. The four separate political factions will, under the terms of the Peace Accord, continue to administer the areas currently under their control until the election of a single national government, scheduled for mid-1993.
Of the four factions, the Phnom Ppnh-based State of Cambodia (SOC) is by far the largest and controls approximately 80 percent of the country, including the capital and all major towns. The Khmer Rouge is a radical communist faction which controls some forested and mountain areas in the extreme North, West and South of the country near the Thai and Lao borders. The non-communist Khmer Peoples National Liberation Front (KPNLF) and Front Uni National pour un Cambodge Independant Neutre, Pacifique et Cooperativ (FUNCINPEC) each administer districts in Banteay Meanchey Province in the Northwest, bordering on Thailand; FUNCINPEC also administers territory in Siem Reap Province near the Thai border.
While each faction administers certain parts of the country, the nation's soverignty is represented in this pre-electoral transition period by a Supreme national Council (SNC) which is composed of representatives of all four facitons and headed by Prince Norodom Sihanouk. The U.S. Mission, as well as most other bilateral and multilateral missions in Cambodia, is accredited to the SNC. At present, however, the SNC has no administrative function.
In response to the Paris Agreement, there has been a massive scaling up of international relief efforts. However, it is widely recognized that the negotiated peace is fragile and obtaining sustained cooperation from all factions during the process will be difficult. The repatriation effort alone is daunting: an estimated 350,000 refugees are located in camps on the Thai side of the border and internally displaced Cambodians are estimated to number some 180,000 as of March 1992. An estimated 190,000 military troops are to be demobilized and will require reabsorbtion into civilian life, along with their family members.
Although many of the predominantly young refugees were born in the camps and have little or no experience with farming or rural life, adult family members have clear preferences for the area that they would like to settle in. UN surveys of camp populations indicate that nearly 75 percent originated in the four Northwestern border 2
provinces of Battambang, Banteay Meanchey, Siem Reap and Pursat. Of these, a large proportion of the residents want to settle in Battambang province. The UN estimates that 80 percent of refugees will be repatriated to these four provinces. UNHCR will be the primary authority for resettlement and will attempt to meet the relocation desires of refugees, as well as determine land availability and coordinate assistance from various agencies.
A critical precondition for the refugee repatriation effort is the demining and opening of all-weather roads into the resettlement areas to gain access and facilitate international relief efforts to support the fragile new rural populations. Additional benefits of roads access are to end the isolation of areas under the control of different political factions and encourage their reintegrationj facilitate access for UN peacekeepers and election monitors, and' stimulate economic growth in the historically underdeveloped and politically volatile rural NorthWest. As the economy begins to improve, civilian opportunities will become available to ex militants in areas open to commerce.
The rehabilitation of these critical routes is complicated by the presence of mines and the heavy deterioration of the roads infrastructure. Landmines were used by most military factions during the decades of conflict in Cambodia. Those routes which at any time demarcated areas of influence of the different political groupings, or were lines of retreat during fighting, are now especially heavily mined. After many years of disuse, the roads network is generally in a state of disrepair and many rural secondary and tertiary roads would still be impassable to vehicles even if demined. An accurate estimate of farm lands free of mines is not available but surveys and demining will commence as access is obtained over demined and improved roads.
B. Host Country and Other Donors. Close coordination among international donors is a predominant feature of the Cambodia relief and reconstruction effort with UN organizations playing a key role. The United Nations Transitional Authority in Cambodia (UNTAC) has mobilized a police contingent to train Khmer forces and to investigate crimes and political abuses as provided for in the Paris treaty. UNHCR and WFP have long been involved in suppgrting the border refugee camps and have now mounted a very large effort to provide for the repatriation and resettlement of refugees. Starting in early 1992, six reception centers have been prepared for receiving refugee populations inside Cambodia. Most of these people will be relocated to available agricultural lands and will be provided with substantial support in the form of cash, housing materials, food, and seed and other agricultural supplies. Food assistance will continue for a period of eight months to ensure that settlers are able to make a successful transition to self sufficiency in food. Other priority programs will focus on the potable water, health, education and other essential physical and service infrastructure needs of the resettlement communities. 3
Project roads were selected in coordination with the UN (UNDP, UNHCR). Based on UN survey data of Khmer refugees and planned UN food distribution points, priority roads were identified; from this list, USAID selected for funding those roads of high priority which the UN was not able to fund. Some project funds will support UNDP programs which are addressing road repair needs in Pursat Province but lack funding.
With clear signals that a lasting peace in Cambodia may finally be possible, major world and regional powers have demonstrated strong support for the effort. A June 1992 meeting in Tokyo widely attended by multilateral and bilateral donors resulted in pledges of some $880 million to support the resettlement and reconstruction efforts in Cambodia.
C. Relationship to USAID Strategy. This project is closely related to USAID program objeptives and USG foreign policy objectives in Cambodia. The primary objective is to support the peace process by enabling the UN and other agencies to carry out urgent resettlement activities and deliver humanitarian aid. The opening and rehabilitation of roads in the primary areas for resettlement will provide vital access to lands and areas otherwise inaccessible. By linking up district towns across factional lines and ending the isolation of many areas, USAID's road rehabilitation will contribute to political reintegration and will help to accelerate the economic reactivation of the country.
D. History of Roald Repairs. USAID's Khmer Affairs program has already played a significant role in supporting international relief efforts to resettle the border refugees. One of the major UNHCR reception centers was established at Sisophon and in conjunction with significant resettlement planned on available arable land in Banteay Meancheay province. However, the UNHCR did not have the resources to demine and rehabilitate a critical access route along Route 69 from Sisophon to Banteay Chamar. Neither truck access for refugee repatriation along this route nor subsequent provision of WFP food rations was possible until the road could be opened. The lack of access took on added urgency as refugees continued to arrive at the reception center in early 1992 and efforts were redoubled to resettle them in time to preparg land to meet the rice planting deadline by May/June.
USAID undertook to contract for this road rehabilitaticr on an emergency basis with funds provided by the Office of Foreign Disaster Assistance (OFDA). Despite the inability to reconnoiter the route (due to the presence of mines) and establish detailed design drawings or cost estimates, the Office of Khmer Affairs was able to develop an expeditious contracting process for the work. USAID successfully negotiated with a Thai construction company and signed a contract on March 20, 1992 for 58 kilometers of demining and rehabilitation. The work was completed by June and was innaugurated formally on July 1, 1992. Over 1,500 landmines were 4
removed from this route and safely destroyed in the course of opening and repairing the road. Even well before the formal opening of the road, UN and other vehicles made substantial use of it and a growing population of resettled refugees and returning internally displaced persons is evident along its length. Other economic activity is also highly visible along the road with reports that rice was exported from the region for the first time in many years and small businesses and commerce have picked up.
Experience with this and subsequent work on other small road segments will be crucial as road rehabilitation is scaled up to support a dramatic expansion in refugee resettlement efforts and to support the reactivation of the Cambodian economy. As a first priority, access to additional areas in Northwestern provinces is urgently needed to permit resettlement of refugees between now and the end of the dry season (May/June 1993). This will permit the settlers to construct dwellings add prepare land prior to the next planting season. It will also support efforts to resettle refugees by the time of scheduled elections in mid-1993.
II. Project Description
A. Goal and Purpose. The Project Goal is to improve access and delivery of essentia'l services to rural areas of Cambodia in order to support the peace process and economic recovery.
The Project Purpose is to assist Cambodia in the emergency demining, repair and restoration of vital roads infrastructure to facilitate the resettlement of refugee and displaced populations, support national reunification, and stimulate economic reactivation in rural areas.
B. Project Activities. The Project will consist of two phases of road repair and rehabilitation. The emergency first priority for roads access in Northwest Cambodia will address the need for demining and rehabilitation of rural roads to support the massive reintegration of refugee and internally displaced populations. Primary emphasis is on rapid deployment of demining and construction teams in order to support urgent resettlement and humanitarian relief operations. Based on UN assessmens of available lands for resettlement, the stated preferences of refugees, and the current status of roads access into these areas, the phase I list of roads for emergency demining and rehabilitation was developed in coordination with the UNHCR and UNTAC (see Table 1 and map in Annex B). Additionally, funds will be provided to the UNDP to carry out road repair activities in Pursat for roads which are high priority for refugee resettlement. This work will utilize existing UNDP project management. Approximately 355 km of roads will be repaired under the first phase. This work is expected to commence by the third quarter of 1992 and be completed by May 1993.
The second phase of rural roads restoration will be undertaken to 5 support economic reactivation in other areas of the country, including Southeastern Cambodia. The technical and economic assessments of candidate roads will be carried out under engineering consultancy services to be retained under the first phase and in coordination with other donors. A rough estimate of some 500 km of primary, secondary and tertiary roads will be rehabilitated and improved to support continued resettlement and relief operations, as well as to permit the economic reactivation of the country. NOT TO BE RELEASED OUTSIDE OF U.S. GOVERNMENT Table 1: Phase I Roads
Road Segment Route Estimated Estimated- No. Length (Km) Cost ($)
Group 1. Banteay Meanchey Province
Thmar Pouk - Phum Pheas 696 27.0 675,000
Svay Chek - Phum Pheas 697 19.3 482,500 Group 2. Batdambang Province
Route 5 - Phum Chuk 587 12.0 300,000 Phum Siem - Phum'Changha 588 12.0 300,000
Route 6 - Phum Srah Chuk 815 16.0 416,000
Group 3. Batdambang Province
Route 5 - Mkak 58 53.5 1,642,000
Group 4. Siem Reap Province
Route 6 - O'Smach 68 114.0 3,420,000
SUB-TOTAL 253.8 6,235,500 Supervisory Engineering Services 600,000 (Phases I and II)
UNDP Projects in Pursat 100.0 2,000,000
Contingencies 164,500 TOTAL 353.8 10,000,000
NOT TO BE RELEASED OUTSIDE OF U.S. GOVERNMENT 6
C. Methodology. As noted, USAID first undertook to carry out emergency roads rehabilitation with funding made available through OFDA. Approximately 84 kilometers of road have been demined and rehabilitated to date in Northwestern Cambodia close to the border with Thailand and another 50 kilometers is currently being contracted. This work was undertaken by developing an expeditious contracting process which will largely be replicated in this project. A shortlisted group of Thai firms was invited to bid on the individual contracts. Thai firms were considered competitive for the work inside Cambodia because: no Cambodian construction companies were known to have the personnel, working capital or equipment resources to undertake this scale of construction activity; and the Northwestern region of Cambodia is more accessible from Eastern Thailand than from central Cambodia; Because of the unavailability in Cambodia, access from Thailand for cross-border movement of materials and equipment was deemed essential for the success of tlie emergency road repairs. In addition, experience has shown that contractors must be able to coordinate closely with Thai officials to obtain permits to cross the border, to stay advised of security issues in the area, and to arrange for demining expertise to permit road work to be performed.
The Phase I roads also require access from the Thai border areas and the proposed melthodology for contracting is essentially the same as for roads already completed under earlier efforts. One Cambodian firm has been identified which may have the capacity to carry out road repair activities and this company will be invited to participate in he bidding. Although U.S. construction firms were considered for this phase, the small scale, high risks to personnel and equipment, and need for extensive experience with local conditions makes it unlikely that U.S. companies will participate. Depending on the type and scale of civil works to be undertaken in the second phase of the Project, U.S. construction companies may have an interest in participating.
Emergency roads activities carried out to date have demonstrated the feasibility of the rapid contracting methodology as well as the appropriateness of road specifications for the demining and rehabilitation work. A significant obstacle to any road projects in the area at present is the inability to specify accuratqly in advance the work to be performed. Essential information on the precise characteristics of each road segment should include volume of cut and fill requirements, fill materials specifications and borrow pit locations, and the location and type of each drainage structure. These requirements were described in a general fashion and a fixed, per kilometer price was negotiated in the contracts. Although this procedure placed a significant risk on the contractors in preparing their bid estimates, experience has demonstrated that the work was done to an adequate standard and at a reasonable price. 7
Project monitoring, reporting and evaluation for this new activity will be provided by the inclusion of a contract for Engineering Services to monitor and supervise construction, provide technical support during the course of construction and certify payment for work completed to ensure that it meets the specifications and terms of contracts. Project reports issued by the Engineering contractor will also alert USAID to any issues, problems or delays. For roads requiring prior engineering design and assessment, the contractor's services will ensure that USAID has accurate definitions of the requirements and budget estimates prior to the bidding process.
D. Engineering Considerations. The roads and highways system in Northwestern Cambodia was once a national roads network but has deteriorated to the extent that many roads have nearly disappeared. Major highways include Routes 5 and 6 which transect the region from the Thai border southeast to Sisophon and Batdambang and east to Siem Reap, respectively. Thqse major routes will become the main arterieE of a rehabilitated highway network and the UN and Thai army are carrying out extensive repair and upgrading of Route 5 at present. The list of roads in Table I consists of trunk and feeder roads which link either directly to Routes 5 or 6 or to other existing access routes. Although all of these smaller roads bear national highway numbers, on site observations confirm that most routes have lon' been in disuse and are completely impassable to vehicular traffic. Even without the presence of mines, these roads in their current deteriorated condition would support foot and cart traffic in good weather only.
The region is characterized by relatively flat terrain with sandy, silty and clayey soils. Occasional limestone outcroppings are in evidence in the region but will not be an obstacle to the proposed road work. Natural river gravel or crushed rock are not generally available as road materials nor is there equipment to mine and crush rock. Elevations in the project roads area range from approximately 50 meters above sea level to two meters or less. The roads pass by numerous small villages and in most cases the road alignments will closely follow historical routes.
An engineering evaluation carried out in May/June 1992 of completed roads rehabilitation projects concluded that the work performed was appropriate to the operating conditions and costs were reasonable. The consulting engineer provided recommendations for improvements to the specifications for the road bed and drainage structures to minimize short-term maintenance requirements and lengthen road life. He also provided suggestions for reporting systems and maintenance procedures that can be developed as responsible local institutions materialize.
The first phase of the project incorporates minor changes based on the experience from prior road work and the engineering assessment. As a result, modifications were made to specifications which will be included in construction services contracts. These road 8 specifications are appropriate to very low volume rural access roads, consistent with the emergency nature of the pr3ject. This approach will minimize the width of right of way to be demined and hence the time and cost required to bring the access roads to an acceptable standard. The wearing surface of the roads consists of a layer of compacted laterite (iron-bearing friable sedimentary material) which is readily available and provides an acceptable all-weather road surface. There is ample experience in the region with laterite road construction and contractors are very familiar with this type of road work. Drainage structures are of fairly standard but simple types, including concrete culverts and timber bridges. Although maintenance of the roads will be an issue at a future date, rehabilitated roads constructed to similar specifications in this area have withstood weather and traffic reasonably well for a period of up to two years, despite little maintenance capability at the regional or local community levels. I As noted, a comprehensive engineering design of the new roads is impossible at present due to the presence of mines. Detailed satellite and/or aerial photography at a useful scale is also not available. Estimates of road lengths and soil and drainage characteristics have been developed through discussions with local authorities and analysis of 1:50,000 scale topographic map sections. In addition, the recent past experience with demining and rehabilitation has been applied in developing cost estimates. A draft Scope of Work for the construction services contracts is contained in Annex I C. A principal recommendation of the engineer is related to the need for professional supervision and technical direction during the course of construction. Given the difficulty in specifying quantities and types of drainage structures prior to demining, engineering support is primarily needed as the work progresses in order to determine on-site drainage requirements, oversee the construction, and ensure compliance with specifications. Although occasional inspections were done under the prior emergency road efforts, close supervision was problematic due to time constraints, the uncertain security environment and the unavailability of engineering staff to assume this responsibility.
In scaling up to a larger number of roads projects, including areas with difficult terrain and/or more engineering requirements, a determination was made to engage supervisory engineering services through an Architectural and Engineering (A&E) firm to inspect construction and certify work completed for payment. A contract with a regionally-based U.S. firm or a U.S./local partnership is anticipated. Past supervision of Thai construction companies and rural roads will be essential background experience for a firm to compete. The A&E will serve as USAID/Cambodia's engineering advisor for the Phase I roads rehabilitation effort and will provide engineering advisory services to assess technical and economic aspects as the USAID phase II activities are defined for 9
other roads rehabilitation needs. The Terms of Reference for these services are detailed in Annex D. Limited engineering support for the implementation of the project will also be provided by USAID/Thailand as part of regional support functions.
E. Implementation. Because a uniformly recognized and functioning government is not yet in place in Cambodia, there is no traditional Host Country entity with which to sign project agreements. In the absence of such a mechanism, only a few options were available for the implementation of Project activities. One alternative is an umbrella contract with a engineering firm to cover all engineering and construction services. This alternative was ultimately rejected due to the inherent conflict of interest of the firm in the dual role of owners' representative and contractor. For this reason, it was decided to execute individual contracts with providers of construction and engineering services which will serve as the obligating documents for SAID funds. Although there are some disadvantages to using the contracts as the obligations vehicles, this was determined to be the best option available for the phase I roads. Funds to be provided to the UNDP will address urgent road repair needs and utilize a management capability and project oversight capability already in place. Other options will be examined for the phase II activities of the project. Additional project management and engineering support will be provided to USAID/Cambodia from Bangkok during the course of implementation.
Due to the urgent nature of the phase I road repairs, rapid contracting procedures will be utilized for both construction and A&E services. As noted, all roads are to be completed by March or April of 1993 and contracts will be executed by September 1992 in order for contractors to mobilize in time to meet the completion date. Notwithstanding language in the appropriations for the Cambodia program will be cited to waive statutory provisions to meet this extremely tight schedule. Provisions to be waived include minority seL aside, environmental impact, source and origin, publication in the Commerce Business Daily, engineering plans and cost estimates.
Limited competition will be sought through advertisement in local newspapers for construction and A&E services. The simultaneous procurement processes for A&E services and for the four groups of construction services will be completed in approximately 45 days after advertisement.
Although contractors will be able to initiate work as soon as contracts are signed, the monsoon season will be a factor in the completion dates for road work. Although some demining and other activities should commence immediately, heavy rains will obstruct the mobilization of equipment and construction work until about the end of November 1992. With drier weather starting in December, construction activity will accelerate quickly and all demining and rehabilitation work on phase I roads is expected to be completed by 10
no later than April or May 1993. Flowcharts for construction and A&E services contracting processes are included in Annex A.
III. Financial Plan
As noted in prior sections, the first phase of the project requires urgent implementation to support other critical aspects of the peace process and resettlement of displaced populations. Because of political instability and the presence of landmines in the roads to be repaired, highly detailed engineering designs and budgets cannot be developed. Best estimates of the cost and technical requirements of individual road segments are based - on an engineering assessment conducted in May/June 1992 and experience from prior road demining and repair activities. Estimated costs of the const'ruction and engineering services are contained in Table 1.,
Funds wi.l be obligated under thq following schedule ($000):
FY 1992 10,000 FY 1993 30,000 Total 40,000
Over the life of project, approximately $4 million will be expended for Technical Assistance (engineering services) and $36 million for construction services.
Clearances: HCT: PDeinken _ uate: RHUDO: Mintara Date: O/RP: NEdin Date: O/KA: BSchool Date: O/KA: SKeller Date: RLA: ISmyer Date: O/FIN: RMcClure Date: A/DIR: GMorris Date: Annex A Page 1
FILW CHART OF ACTION ITEMS IN PREPARATION OF A & E CONTRACT AWARD FR ROAD PROJFETS IN CAMBODIA
Action Item , ! ! ! 1 10 20 30 40 50 1. Advertisement Preparation and preparation of waiver to - not advertise in CBD as required by FAR.5.205d (see attached pg. 2-29) (1 day)
2. Determination by AID of type of contract (i.e. fixed price, cost plus fixed fee) (1 day)
3. Preparation by AID of PIO/T with Cost Estimate and Schedule (FAR 36.605) (5 days)
4. Advertisement and distribution of prequalification forms - 254 and 255 (5 days)
5. Pre-bid conference and pick up point for prequalicafition forms - 254, 255 - (1 day)
6. Receipt of expressions of interest and backup (5 days after conference)
7. Evaluation by AID of list of firms to -determine ranking of firms as per FAR 36.602-1 (5 days)
8. Hold discussions with at least 3 of the"most qualified 3 6 6 firms (see FAR . 02-3(c)) (5 days)
9. Prepare selection report to AID/REP (see FAR 36.602-3d) (2 days)
10. Negotiations with top firm as per Part 36.602 of FAR (including cost proposal) (2 weeks)
11. Contract Preparation and Award (4 days)
12. Notification of Bidders (2 days) Annex A Page 2
FLOW CHART OF ACTION TEMS IN PREPARATION OF cXNSTUcrION CONTRACr AWARD FOR ROAD PRQFXwETS IN CAMBODIA Action Item , ! , 1 10 20 30 40 50 1. Preparation and submission to AID/W of waiver of CBD advertisement accz:iance with FAR 5.204, 6.303-1 and 6.304 or use "not withstanding" legislation (3 days)
2. Review and approval by AID/W of waiver (3 days)
3. Preparation by AID of PIO/T with Cost Estimate, (FAR 36.203) PIO/T shall include evaluation criteria criteria (price major factor-FAR 15.605 (1 week)
4. Prepare advertisement for local newspaper (1 day)
5. Prepare and issue RFP (FAR 15-406 and FAR 15.605) including response time - (25 days)
6. Proposal conference (1 day)
7. Proposal receipt and evaluation (FAR 15.506-2, 15.605 and 15.608) (5 days)
8. Less Than Full and Open Competition waiver after evaluation (1 day)
9. Award to top ranked firm (in competitive range) or FAR 15.609) or proceed to best and finals (10 days) (FAR 15.609, 15.610, and 15.611)
10. Evaluation and Source selection (if request for best and final offers was made) (FAR 15.602) (3 days)
11. Notify unsuccessful bidders (2 days) I Annex B Page 1
Prolect Road Sections
Road Section Route Estimated No. Length (Km)
Group 1. Banteay Meanchey Province
Thmar Pouk - Phum Pheas 696 27.0
Svay Chek - Phum Pheas 697 19.3
Group 2. Batdambang Province
Route 5 - Phum Chdk 587 12.0 Phum Siem - Phum Changha 588 12.0
Route 6 - Phum Srah Chuk 815 16.0
Group 3. Batdambang Province
Route 5 - Mkak *58 53.5
Group 4. Siem Reap Province
Route 6 - O'Smach 68 114.0
TOTAL 253.8
, Annex B Page 2
(INSERT MAP OF PROJECT ROADS) Annex B
NOT TO BE RELEASED OUTSIDE OF U.S. GOVERNMENT
Project Road Sections
Road Section Route Estimated Estimated No. Length (Km) Cost ($)
Group 1. Banteay Meanchey Province
Thmar Pouk - Phum Pheas 6!6 27.0 675,000
Svay Chek - Phum Pheas 697 19.3 482,500
Group 2. Batdambang Province
Route 5 - Phum Chuk 587 12.0 300,000
Phum Siem - Phum Changha 588 12.0 300,000
Route 6 - Phum Srah Chuk 815 16.0 416,000
Group 3. Batdambang Province
Route 5 - Mkak 58 53.5 1,642,000
Group 4. Siem Reap Province
Route 6 - O'Smach 68 114.0 3,420,000
SUB-TOTAL 253.8 6,235,500
NOT TO BE RELEASED OUTSIDE OF U.S. GOVERNMENT
iY Annex B Lo Surin Page 2 O'Sach
THAI LAND ",Ot lb
1'apraya fc :Samrong
(9Banteay Chmar
Ara
Sisophon
s{iem
CAMBOD IA
Mokak
Battambang
USAHr) conLraco-ed _____ o-Phase= I roads
/V\ Annex C
.TchnicLRUMrIUents
Pemhng dnRi-hleR lrindLRehaiLLLLtLo
GentlralTu ProAc .kr-Ouln:
An International relief effort to repatriate displaced Khmer refugees has begun following the signing of peace agreements in Paris by the principal political factions in Cambodia. In order to resettle the approximately 280,000 Khmer in border refugee camps, as well as some 170,000 Internally displaced persons, efforts have begun to open road access to land available for resettlement. The roads Into these areas in the Northwestern provinces of Danteay Meanchey, Batdambang, Slem Reap, and Pursat are narrow, unpaved rural access roads which have fallen into disuse and are In large part Impassable to vehicular traffic. The presence of land mines along portions of some routes requires that deminIng precede any construction or r habilitation work. Separately from this contract for Construction services to carry out the demining and road rehabilitation work, USAID will contra:t for Construction Management Services with a U.S. or U.S./local engineering filai. The Engineering firm will represent USAID and will be responsible for supervision and management of all aspects of the road rehabilitation work. All construction work is anticipated to be completed by April 1993.
Qbjdie Ly f_$e Icea: Under the Cambodia Emergency Roads Repair Project (the Project), USAID will obtain the serviaes of Thai or Khmer construction companies on a competitive bid basis for construction services to demine and repair rural roads In Northwestern Cambodia. Responsibilities of the Contractor will include all activities to carry out the demining and upgrading of the roadway and associated drainage structures.(bridges and culverts) to the specifications contained in the contract. The Project roads are relatively low-volume access routes located In Northwestern Cambodia in areas generally accessible from Eastern Thailand. Roads will be demined and upgraded to a 6 meter roadway with compacted laterite surface.
Serylce5_to ePrQy ded: General
The tasks to be performed tinder the contract are expected to be completed within 180 days from the date of execution. The Contractor shall provide construction services in connection with the Cambodia Emergency Roads Repair Project (the Project). Construction management services will be provided separately to this contract by a professional engineering firm (the Engineer). The Contractor will be subject to the supervision and technical direction provided by the Engineer. The Engineer will clarify and make determinations for applicable engineering designs and/or
I Annex C Page 2
specifications, approve deviations from standard designs, inspect and approve materials and equipment used by the Contractor, and approve payments for work completed.
The contractor is required to perform and complete the following: I. QWmtning
Demining will extend to at least 10 meters beyond the roadway construction limits, or approximately 30 meters of cleared right of roadway. Demining at bridges and culverts will be at least 15 meters on each side of the roadway limits to allow for construction activities. DeminIng of detours around incomplete drainage structures will extend at least 5 meters on each side of the temporary right of way. II. Rod.Repa.rand-ehabllt-ottln A. Clearing and-Grubbing The Contractor will clear the right of way of all trees, brush, vegetation, topsoil and all other unsuitable materials. Trees, logs, roots, brush, grass, rocks, plants, and other obstructions must be removed from a path 15 m from the center-line of the roadway. Clearing and grubbing shall be done to a distance of not less than 3.00 m beyend the toe of the slope of the embankment and 2.00 m beyond the top of cut slopes or sidb borroW.limits. Materials removed during clearing and gl,ubbing must be removed or destroyed at the site approved by the Engineer.
At cut sections or where fill Is not required, grubbing must be done to a depth not less than 30 cm. from the original ground level and not shallower than 45 cm. from the finished road surface. At fill sections, grubbing must be done to not less than 15 cm. from the original ground level and not shallower than 45 cm. from the finished fill grade. Rocks protrud'ng from the ground not higher than 30 cm. are not required to be grubbed. B. F~~aLirtg The cross section of the road-way must be in accordance with the cross section figure shown in the design (Drawing #1, 2 and 3). The maximum gradient shall not exceed 12 percent. Excavation must be done in the line, level, quantify, width, length, depth and slope according to the design sections. Unsuitable materials should be disposed of at a place and in a manner approved by the Engineer so as not to obstruct construction, road drainage or damage the road. During construction, excess water will be drained from the construction area at all times.
Preparation for fill: the area must be cleared and grubbed prior to filling. Holes or depressions in the area must be filled and compacted with the appropriate materials approved by the Engineer before starting the filling work. $ Annex C Page 3
Fill and compaction: The material used for fill must be from suitable sburces and contain no organic mat.rial, tnosoll, etc. Fill materials will be obtained from borrow pits or roadsiue sources and shall be of good quality as specified In the design, with a maximum density of not less than 1,440 kg/cu.m unless otherwise specified. Fill material must be spread in lifts of not greater than 20 cm. thickness across the specified width of the road and compacted until the compacted soil is not less than 90 percent of the maximum density as measured by the modified proctor test equivalent procedure. Grading to prevent retention of excess water will be done prior to subsequent lifts. The optimum moisture content (O4C) of fill material will be maintained throughout spreading and compaction process.
Each layer of fill must be compacted until the said density is reached by use of appropriate equipment. Hhere h~avy equipment cannot be used to perform the compaction job of some places (bridge approach, etc), light compaction equipment must be used. The first lift fill above a culvert pipe must be 30 cm., leveled throughout the width of the road cross section and compacted until reaching the required density. Subsequent fill and compaction will proceed as normal. C. Laterlt f acn
Laterite surfacing material of acceptable density and gradation will be compacted to a depth of 15 cm. on the finished subgrade to 90 percent density as measured by the modified proctor test. Sufficient water will be added to obtain optimum moisture content for compaction. Laterite surfacing material will be spread evenly across the compacted subgrade before watering and compaction.
Laterite will be free of all woody debris and other deleterious material and acceptable to the Inspector. All laterite incorporated Into the top 15 cm. will contain no rocks or unbroken laterite pieces larger than 3" in any dimension. Laterite boulders or chunks may be broken by grid roller or sheep's foot uising a minimuim number of passes over the spread materials. Laterite chunks will be broken on the roadbed or In the pit prior to addition of water and compaction on road grade. Large pieces that will not break after 2 passes with the grid roller must be discarded.
E. _Tnmn"nndWQdoyE Grde
The finished roadway will be constructed to a smooth and uniform grade in the longtitudinal direction with no abrupt bumps or vertical irregularities. Fills over culverts will extend at uniform grade adequately in each direction to prevent water from by-passing the culvert and to maintain the finished surface at 30 cm. above any standing water.
All horizontal curves will be constructed to a minimum radius of 300 meters unless otherwise approved by the Engineer. All signs at Intersections or other hazards will be visible for at least 90 meters.
As directed by the Engineer, the contractor will realign the road to avoid congested areas and will connect existing roads to the new roadway. Annex C Page 4
F. Pridges and Culverts F.I. Ttniber..Addge
The Contractor shall repair and/or construct timber bridges wherever necessary In accordance with the specifications and drawings (Drawing #7, 8, 9 and 10 and Attachment I and II) included In this contract. Any proposed changes, alterations or deviations from the specifications attached herein shall be reviewed and approved in advance by the Engineer.
F.2. Relnfgrced-.Cncrete-(R, ,ZPlgeul-yert
All pipe culvert installations will be done in accordance with specifications included In this contra t and will be placed as needed to ensure adequate drainage of the roadwa4. The intent is to provide for passage of flowing water and to equalize water levels wherever needed.
Culverts of 0.80 meter diameter or less must be placed, aligned and levelled appropriately. The underlaid base must be accurately shaped to the culvert pipe to provide an even bed. Double culverts must be at least one pipe width apart on a compacted surface at least 15 cm thick as specified in the drawing attached (Drawing #4 and 6 and Attachment III). The Contractor will place the culvert on this bed aligned both horizontally and vertically.
Culverts of 1.00 meter or more than 1.00 meter diameter must be placed on a lean concrete base as shown in the design (Drawing #5 and 6 and Attachment III). Double culverts must be at least half pipe width apart.
The Contractor will place and compact fill around the culverts at optimum moisture content and In layers no more than 15 cm. thick.
All concrete and steel used In construction of concrete culvert sections will meet or exceed the specifications listed In this contract.
Culvert sections must be placed from tie lower end of the culvert by placing the first pipe with Its outlet end toward the drainage direction and placing other pipes in sequence along the length such that slope amd alignment are maintained as shown in the drawing. All joints of pipes must be straight and must be mortared thoroughly with a cement/ sand mixture at the ratio of 1:2 In volume. Mortar at the joints must be cured for at least 3 days before being backfilling and compaction. Cracked or damaged culvert sections will be rejected and discarded.
All repaired or constructed bridges and/or culverts shall be capable of withstanding repeated crossings of 30 ton loaded ten-wheeled vehicles without damage, shifting or settlement of the structure. All such repair or construction must be carried out so as to not settle, wash away or shift during the rainy season or under normal flood conditions. Annex C Page 5
F.3. UeeraLE tes of Drainag Utrements Best estimates based on map reconnaissance indicate that the following number and types of bridges and pipe culverts will be required. The Contractor is responsible for applying appropriate technical criteria and knowledge of the job site and local conditions in developing bid costs. Final determination for the number, type and location of bridges and culverts will be made by the Engineer. Timber Culverts Bridges :_____(lmpter_ L
Group 1. Routes 696 and 697 approx. 46 km. . 1 90 60 : 20 Group 2. Routes 587, 588 and 815, : : (approx. 40 kin.) 1 : 40 25 30 40
Group 3. Route 58-(approx. 54 kin.) 6 100 70 20
Group 4 Route 68-(approx. 114 km.): 6 : 120 : 60 : 60 : 30
G. trtQ rReIponlbIllitei The Contractor shall provide all raw materials, supplies, equipment and labor to complete this project. The Contractor shall also provide all housing, food, and supplies needed by his employees. The Contractor shall make all arrangements for health and life Insurance for his employees. USAID shall have no responsibilities to the Contractor's employees or their families.
USAID will not assume any responsibility for accidents of any nature involving laborers, company representatives and related equipment. The Contractor shall complete the road, bridge and culvert construction to the locations as stated not to exceed the total fixed price stated tn the contract regardless of tl: actual kin. distance, number of bridges or costs for drainage culvert. All work shall be completed within 180 days after the acceptance of the contract unless a delay is agreed to in writing by the Contracting Officer.
The Contractor will be responsible for obtaining any permits or passes required by local authorities.
The Contractor will be responsible for any accident or damage which may occur to his own staff or work/property in the construction area due to carelessness of the workmen or the negligence of the Contractor or encounters with land mines or other explosive materials. Annex C Page 6
Work shall be done in accordance with specifications and drawings contained in the contract and as agreed to by the Engineer, the USAID Contracting Officer and/or his representative. A designated engineering firm will act on behalf of USAID to supervise work under this contract and shall be designated full authority to enforce the provisions within the contractual agreement. In the event of a dispute regarding any specifications, construction, drainage requirement, time delays or any other matter, USAID reserves the right to make a final determination.
The Contractor will be due payment, at the-agreed upon kilometer rate for road construction or repair after final Inspection and approval by the Engineer or USAID representative. Payments, unless otherwise approved, will be made on completion and approval of ten (10) kilometer segments of road. The length of bridges and culverts will be counted as part of the road for purposes of payment. I
In case of abandonment of construction of the road by the Contractor, the Contractor will not be paid for partiallycompleted construction.
In case completion of the project isdelayed for reasons other than delays beyond the control of the Contractor, the Contractor shall pay a fine of 0.1% of total cost per day. The Engineer must agree on delays In writing.
If the project is disoontinued with the concurrence of the Contracting Officer due to acts of war or other compelling reasons, the Contractor shall be paid a fixed amount per km. of completed road at the established rate. No payment shall be made for completed segments of less than one kilometer or incomplete road segments.
Doc. 6886R 7/30/92 1 Annex D
TERMS_.LREEERENCELEORENGINEEMI
ANDCONSTRUTJ QN.-ANAGEMETSERVICES
I. General Project Background:
An International relief effort to repatriate displaced Khmer refugees has begun following the signing of peace agreements in Paris by the principal political factions in Cambodia. In order to resettle the approximately 280,000 Khmer in border refugee camps, as well as some 170,000 internally displaced persons, efforts have begun to open road access to land available for resettlement. The roads into these areas in the Northwestern provinces of Banteay Meanchey, Batdambang, and Stem Reap are narrow, unpaved rural access roads which have fallen into disuse and are in large part impassable to vehicular traffic. The presence of land mines along portions of some routes requires that demining precede any construction or rehabilitation work. Separately from this contract for Engineering and Construction Management services, USAID will contract for construction services with Independent1 local (Thai or Khmer) construction companies to carry out the demining and road rehabilitation work. The Engineering firm under this contract will be responsible for construction management services For four groups of road rehabilitation work, with an estimated total length of 255 kilometers of roads and related structures. Engineering design services will be required to assess other primary and secondary roads under consideration for repair and rehabilitation. All construction management and consulting work is expected to be completed by 1994. II. Objectives of Sevvices:
Under the Cambodia Emergency Roads Repair Project (Vie Project), USAID will obtain the services of a regionally-based U.S., or partnership of U.S. and local Engineering companiy (the "Contractor" or "Engineer") on a competitive bid basis to provide engineering and construction management services. Responsibilities of the Contractor will include: monitor and report progress and problems with all construction; determine drainage requirements and bridge repair/construction as work progresses on phase I roads; inspect and certify for payment completed road construction work. The phase I roads are relatively low-volume access routes located In Northwestern Cambodia in areas generally accessible from Eastern Thailand. Roads are to be de-mined and upgraded to a 6 meter roadway with compacted laterite surface.
USAID may exercise, at Its option, contract services for design and detailed cost estimates for planned road rehabilitation and other engineering advisory services (phase II). III. Services to be Provided:
A. General
The tasks to be performed under this ccntract are expected to be completed within 24 months from the date of execution. The Engineer Annex D Page 2
shall provide construction management services and engineering design services in connection with the Cambodia Emergency Roads Repair Project (the Project). Both construction management services and optional engineering design services will oe performed on an estimated cost plus fixed fee basis. The amount of funds obligated to this contract will Include an amount sufficient for construction management services and for certain optional engineering design services. USAID may define additional engineering design and assessment tasks during the course of project Implementation for which this contract may be amended. B. Construction Management
The rehabilitation of four groups of roads with a total length of approximately 255 kilometers will be contracted to qualified Thai and/or Khmer construction companies. The construction contracts are expected to be awarded by mid-September 1992 with all works completed by March 31, 1993. Table I provides a list of the four groups of roads to be repaired and rehabilitated. Table 1: Road Repair Sections
Road Contract Route Estimated No. Length (Km)
Gro_.. Batdambang Province
Thmar Pouk - Phum Pheas 696 27.0 Svay Chek - Phum Pheas 697 19.3
roMUl"_. Batdambang Province
Route 5 - Phum Chuk 587 12.0 Phum Siem - Phum Changha 5C8 12.0 Route 6 - Phum Srah Chuk 815 16.0
GfQg_. Batdambang Province Route 5 - Mkak 58 53.5
GEQWL_. Siem Reap Province Route 6 - O'Smach 68 114.0
TOTAL 253.8
The Contractor's construction management responsibilities will not include evaluations of construction bids or execution of contracts. It should be noted that the Project emphasizes rapid rehabilitation of rural roads and speed will take precedence over traditional, more rigorous engineering practices.in order to support urgent International relief efforts to resettle Cambodian refugees. Some specifications have been purposely downgraded from standard practices and time allowed for construction has been reduced inorder to achieve the primary Annex D Page 3
objective of quick and safe access to lands for resettlement. Another Important factor is the inability to specify all road specifications and drainage requirements in advance of the construction. The presence of landmines requires that demining precede detailed reconnaissance of the route and assessment of the road bed, bridges and culverts. Construction contracts will be awarded on the basis of a fixed, per kilometer price for all demining, road repair, and bridge and culvert construction, based on the c'.;;.:truction contractors' best estimates of the local condltion aiid technical requirements. The total cost of the four construction contracts Is estimated at less than $6.5 million. For each construction contract, the Contractor will provide the following services:
1. Review and approve working drawings and/or details relevant to the construction contracts, Including designs or variations from suggested designs, for road bases bridges and drainage structures proposed by the constructio contractors.
2. Prepare for USAID any additional designs or drawings necessary for instructing the construction contractors inorder for them to carry out the works.
3. Inspect and approve, construction contractors' machinery, equipment, and materials to ensure compliance with plans and specifications and sound engineering practices.
4. During construction, inspect and certify all topsoil removal, sub-base and wear surface construction; approve in advance all borrow materials and laterite surfacing material. 5. Determine required location, alignment, size and other design criteria for culverts, fords or bridges and inspect critical stages during constructiqn. 6. Maintain a construction log of progress, comments and as-built status for each contracted group of roads. C. Engineering Design (Option)
The Engineer will provide engineering design services to inspect, design and estimate costs for the rehabilitation of additional road and highway segments to be specified by USAID. Following a formal request by USAID and determination of level of effort, the contractor will provide: 1. Engineering Assessments
The Engineer will carry out assessments of candidate roads, including primary, secondary or tertiary routes, to determine the preliminary cost and technical requirements for repair and restoration of this roads infrastructure. A Reconnaissance of the existing road will be carried out and a detailed report to USAID will be prepared to include, as a minimum: Annex D Page 4
a. current condition of surface, base and drainage structures;
b. estimate of existing cargo and passenger traffic and benefits to be derived from proposed upgrading;
c. rough estimate of cost, time and technical considerations for the repairs and upgrading of the road.
2. Road Design Services
The Engineer will develop complete and detailed designs of designated roads, Including primary, secondary or tertiary routes, necessary for contracting for construction services. Road designs will be based on detailed assessment and evaluation of existing road and drainage structurs and projected use to assign appropriate design criteria. A detailed report to USAID will be prepared to include, as a minimum:
a. A set of detailed designs to include: typical sections; cut and fill volume requirements; location and type of all culvert and bridge structures; and, wear surface specifications, Including pavement design, where indicated;
b. Location of sources of suitable material for fill ahd surfacing and Identification of any special problems or considerations (eg, ownership/cost of select materials; national or religious issues affecting right of way, sources of materials, etc);
c. Construction cost estimate and proposed construction schedule.
The Engineer and any of its employees or consultants shall not disclose any cost estimates or other information to any other person(s) without the express written authorization of the USAID Contracting Officer.
3. Other Options
Other engineering assessments of additional roads or highways may be required of the Contractor through amendment to the terms of this contract.
9017R 5C(2) ASSISTANCE CHECKLIST
Listed below are statutoty criteria applicable to the assistance resources themselves, rather than to the eligibility of a country to receive assistance. This section is divided into three parts. Part A Includes criteria applicable to both Development Assistance and Economic Support-Fund resources. Part B includes criteria applicable only to Development Assistance resources. Part C includes criteria applicable only to Economic Support Funds.
CROSS REFERENCE: IS COUNIFRY CllECKLIST UP-TO-DAIE? Yes
A. CRITERIA APPLICABLE TO BOTH DEVELOPMENT ASSISTANCE AND ECONOMIC SUPPORT FUNDS
1. [lost Country Development Efforts Project activites directly (FAA Sec-O-6la-ITJ---iiotiinatti-onian-i promote rural development and oiiclii-s-ns on whether assistance will trade with special emphasis on encourage efforts of the country to: increasing farm to market (a) Increase the flow of International access. trade; (h) foster private Initiative and colnipeItlon; (c) en|coulrage develop meit and uiisof cooperatives, crpd it unions, and savings and loan associa tions; (d) discourage monopolistic practices; (e) improve technical qffi ciency or industry, agriculture, and commerce; and (f) strengthen free labor unions.
2. U.S. Private Irade and Investment The use of U.S. technical (FAA Sec--lD(Ii1--Iiriiiiiii- - assistance will encourage the l assistance will development of the U.S. as a encourage U.S. private trade and permanent source of equipment, Investment abroad and encourage private and technical support. The U.S. participation in foreign assistance project will promote U.S. programs (Including use of private trade investment in the Second Phase channels and the services of U.S. to the extent possible. private enterprise). 3. Congressional Notification
a. General Requirement (FY 1991 Appropriationis Act Secs, 523 and 59. FAA Se~o 634A): If money Is to be obligated for an acEivity not previously justified Yes to Congress. or for an amount in excess of amount previously justified to Congress, has Congress been properly notified (unless the notification requirement has been waived because or substantial risk to human health or wel fare)?
b. Notice of New Account Obli gati on (FY 19 F-ropr ations Act-S-ec. bil): If funds are being obligated unU-r an appropriation account to which N/A they were not appropriated, has the President consulted with and provided a written justification to the llouse and Senate Appropriations Comittees and has such obligation been subject to regular notification procedures?
c. Cash Transfers and Nonproject Sector Assistance (-YF--1 A p--p I-t1ons cFSe-57 {MTS-(rdFinsIf S are to be aA llTiFie----he form of cash N/A transfer or nonproject sector assis tance, has the Congressional notice included a detailed description of how the funds will be used, with a discussiot or u.s. Interests to be served and a description of any economic policy refomis to he promoted?
4. Engineering and Financial Plans (FAA Sec-.-GIa-7T-R0r to an oblTo-a tLon-in excess oT $500,000, will there Yes be: (a) engineering, financial or other plans necessary to carry out the assis tance; and (b) a reasonably firm estimate of the cost to the U.S. of the assistance?
5. Legislative Action (FAA Sec. 611 (a)(2T | :_-l -Tl RM -actlI~-0-Ts reqi- re-F thin rec ipi ent country wi th N/A respect to an obligntion in excess of $500,000, what is the basis for a reasonable expectation that such action will be completed in time to permit orderly accomplishment of the purpose of the assistance?
6. Water Resources (FAA Sec. 611(b); FY 1991 Appropriations Act Sec. 501: If project is For for water or water related land resource construction, have N/A benefits and costs been computed to the extent practicable in accordance with the principles, standards, and proce dures established pursuant to the Water Resources Planning Act (42 U.S.C. 1962, et seq.)? .(See A.I.D. Ilandbook 3 for Tu iMi nes. )
7, Cash Transfer and Sector Assistance (Y Aproprations Act Sec. 51b(b)): WTIcashi transfer or nonproject.sector N/A assistance be maintained In a separate account and not commingled with other funds (unless such requirements are waived by Congressional notice for nonproject sector assistance)?
8. Caultal Assistance (FAA Sec. 611(e)): 1 f project Is capital assis- Waived tance (e.g., construction), and total U.S. assistance for it will exceed $1 million, has the Mission Director certified and Regional Assistant Adminis trator taken into consideration the country's capability to maintailj and utilize the project effectively?
9. Multiple Country Objectives (FAA Sec. 601(a):infonmation and conclu- Project activites directly s1ns- whie r project will encourage promote trade objectives efforts of the country to: (a) increase through increasing access to the flow of International trade; (b) market and reviving rural foster private initiative and competition; economy. (c) encourage development and use of cooperatives, credit unions, and savings and loan associations; (d) discourage monopolistic practices; (e) Improve technical efficiency of, Industry, agrl culture and commerce; and (f) strengthen free labor unions. 10. US. Private Trade (FAA Sec. 601(b)): Informatlon and conclusonson The use of U.S. technical now project will encourage U.S. private assistance will encourage the trade and investment abroad and encourage development of the U.S. as a private U.S. participation In foreign permanent source of equipment, assistance programs (including use of and technical support. private trade channels and the services of U.S. private enterprise).
11. Local Currencies a. Recipient Contributions (FAA Secs. 612(b), 3(h) : DescrTibe steps taken to assure that, to the maximum N/A extent possible, the country Is contri buting local currencies to meet the cost of contractual and other services, and foreign currencies owned by the U.S. are utilized in lieu of dollars.
b. U.S.-Owned Currency (FAA Sec. 612(d)).Tioes t-i~e-U.T #in excess fri1gn currency of the country and, If N/A so, what arrangements have been made for Its release?
ce. Separate Account (FY 1991 Ap rop rIatioi3i-c SA75J!Fr is- Rances rii t5-Ti-1gn govern- N/A ment under arrangements which resulit in the generation of local currencles:
(1)Has A.I.I). (a) required that local currencies be deposited In a separate account established by the recipient government, (b) entered ito an agreement with that government providirig the amnolunt (f local currencles N/A to be generated and the terms and coiil- Lions utinder which the curreticies so deposited may be utilized, and (c) established by agreemen t the responsf blllties of A.I.D. arid that govern ment to monitor and account for deposits Into and dI slursements from the separate account?
(2) Will such local curren cies, or an equivalent amount of local currencies, be used only to carry out the purposes of the DA or ESF chapters of the FAA (depending on which chapter N/A is the.source of the assistance) or for the administrative requirements of the Uhited States Government? (3) Has A.I.D. taken all appropriate steps to ensure that the equivalent of local currencies disbursed N/A from the separate account are used for the agreed purposes?
(4) If assistance is termi nated to a country, will any unencumbered balances of funds remaining in a separate N/A account be disposed of for purposes agreed to by the recipient government and the United States Government?
12. Trade Restrictions a. Surplus Connodities (FY 1991 Appropriatios ACt sec. 21t1a): IFT asY[ssTie i for the iroductYTn or any commodity for export, is the commodity N/A likely to be in surplus on world markets at the time the rpulting productive capacity becomes operative, and is such assistancd'likely to cause substantial Injury to U.S. producers of the same, similar or competing commodity?
b. Textiles (Lautenber9 Amend ment) (FY l99T-Aprpratlons AcFS-c, 52T[c-JW.'--u-e assistance (except or- programs In Caribbean Basin Initla- N/A tive countries under U.S. Tariff Schiedule "Section 807", which allows reduced tariffs on articles assembled abroad from U.S.-made components) be used directly to procure feasibility studies, prefeasibtlity studies, or project profiles of potential Investment in, or to assist the establishment of racilities specifically designed for, the manufacture for export to the United States or to third country markets In direct competition with U.S. exports, of textiles, apparel, footwear, handbags, flat goods (such as wallets or coin purses worn on the person), work gloves or leather wearing apparel? priations13, TropicalAct Sec. Forests533(c)(3)): (FY 1991Will Appro funds be used for any program, project or activity Which would (a)result In any No Significant loss of tropical forests, or (b) involve ihdustrial timber extraction In primary tropical forest areas?
14, PIO Assistance a. Auditing and Registration (FY 1991 Appropriations Act Sec. 531): If assistance is being made available to a PYO, has that organization provided N/A Upon timely request any document, file, or record necessary to the auditing .requirements of A.1D., and is the PVO registered with A,1,0,? b. Fuhdtng Sources (FY 1991 Appropriatioiis Acti TFUe II,under fiheaing Private and-Vo-TuiiFaryUFnt zations"): it assistance iF to be made N/A To-aUiTed States PVO (other than a cooperative development organization), does Itobtalti at least 20 percent of its total annual funding for international activities from sources other than the United.StaLes Government?
15. Project Agreement Documentation (State Authorization Sec. 139 (as interpreted by coliterence report)): ias confirmation o1 tie date of signlng of the project agreement, including the amount involved, been cabled to State N/A L/T and A.I.D. LEG within 60 (lays or the agreement's entry into force with respect to the United States, and has the full text of the agreement been pouched to those same offices? (See Handbook 3, Appendix 6G for agreements covered by thIs provision.) 16. Metric SXstem (Omnibus Trade and Comet ttfViF-s-- s 'cF-T19f-S--5164, -- Titrp !e -E-~T-6-6n-tg_ -]-9 M 1 Sec,iaiiidhig 2j and -1~as-m-l-ii-it/i-i-oU9-f-A.T.IJCnvers hiAffUF1975 . po c oes t1ie assistance activTy Yes se' metric system of measurement In its procurements, gtants# and other business-related activities) except to the extent that such use is impractical or is likely to cause significant inefficiencies or loss of markets to United States firms? Are bulk purchases usually to be made in metric and are components, sub-assemblies, Yes and semi-fabricated materials to be specified in metric units when economically available and technically adequate? Will AI.D, specifications use metric units of measure from the earliest programmatic stages, and from Yes the earliest documentation of the assistance processes (for example, project papers) involving quantifiable measurements lengthi area, volume, capacity, mass and weight), through the implementation stage? 17, Women InDevelopment (FY 1991 Apptoprations Act, litle I under Feading "Women inDevelopment"J: will assistance be designed so that the percen- No tage of women participants will be demon strably increased? 18. Regional and Multilateral Assis tance (FASec.2)9: is assistance more Yes eTTfcienty aiid-T-FFectively provided through regional or multilateral organi- A portion of project resources zations? If soi why is assistance not so will support UNDP activities, provided? Information and conclusions on where mechanisms to support whether assistance will encourage local government exist. developing countries to cooperate'in regional development programs. 19. Abortions (FY 1991 Appropria tions Act,T1EWI T - iHi'F-ie ea lug OT15-itihnDA' and-S-c5251: at Will assistance be made available to any organization or program No which, as determined by the President, supports or participates in the manage ment of a program of coercive abortion or Involuntary sterilization? b, Will any funds be used to lobby No for abortion? zu, cooperatives (FAA Sec. 111): Will assistance lielp develop cooperatives, especially by technical assistance, to No assist rural and urban poor to help themselves toward a better life?
21. U.S,-Owned Foreign Currencies a. Use of Currencies (FAA Secs. 612(b), 636(hjI FY 1991 Appropriations Act Secs. 5U/7 509): Describe steps taken to assure tl-ati to the maximum N/A extent possiblei foreign currencies owned by the US. are utilized in lieu of dollars to meet the cost of contrac tual and other services. b, Release of Currencies (FAA Sec. 612(d)): Does tlie FS , own excess foreign currency of the country and, If No so, what arrangements have been made for Its release?
22. Procurement
.,a. Small Business (FAA Sec, 602(a)): Aretmere arrangemen-tS- Yes. In Phase II,the project p-inIi-FU,S. small business to participate will utilize standard A.I.D. equitably in the furnishing of commo- procurement processes to dities and services financed? obtain some services. b. U.S. Procurement (FAA Sec, 604(a)): Will all procurement be from Yes ff-U,-- except as otherwise determined by the President or determined under delegation from him?
c. Marine Insurance (FAA Sec. 604(d)): Ir the cooperating country N/A dis-crTiinates against marine Insurance companies authorized to do business in the UMS., will commodities be Insured in the United States against marine risk with such a company? di. Non-U.S. Agricultural Pro curement (FAA-E-O41{eJT-IT-F S. procurement of agricultu-ral conmmodity or N/A product thereof is to be financed, is there provision against such procurement When the domestic price of such commodity is less than parity? (Exception where commodity financed could not reasonably be ptlocUred intU,S) e, Construction or Engineering Serv1c09 (FAA Sec, 604191) wil con structJon or engineering services be procured from firms of advanced deve- No 1opIng countries which are otherwise eligible under Code 941 and which have attaihed a comDetitive capability in international markets in one of these areas? (Exception for those countries which receive direct economic assistance Under the FAA and permit United States firms to compete for- construction or engineering services financed from assis tance prograrms of these countries.) f, Cargo Preference Shipping (FAA Sec, 603:Iis the shippi ng excluded From compliance with the tequitement in section 901(b) of the Merchant Marine Act or 1936, as amended, N/A that at least 50 percent of the gross tonnage of commodities (computed separately for dry bulk carriers, dry cargo liners, and tankers) financed shall be transported on privately owned US, flag commercial vessels to the extent such vessels are available at fair and reasonable rates?
g. Technical Assistance (FAA Sec. 621(a))- If technical assist]ance Tstnanced6 will such assistance be Yes. furnished by private enterprise on a contract basis to the fullest extent practicable? Will the facilities and resources of other Federal agencies be utilized, when they are particularly suitable, not competitive with private enterprise, and made available without Undue interre'ence with domestic programs?
h. US. Air Carriers (Inter national Air Trans portatIon-nir---pape titve Fractces Act, IY/4: it air transportation of persons or property Yes. is financed on grant basis, will U.S. carriers be Used to the extent such service Is available? t, Termination for Convenience of US. Government IFY 1991 Appropria tions Act Sec, 504): if the U.S. Government is a p5Fty to a contract for Yes procurement, does the contract contain a provision authorizing termination of such contract for the convenience of the United States? J. Consulting Services (FY 1991 ApproprTalnS Act ec6 5:4 Itf assistance is for consulting service through procurement contract pursuant to Yes 5 U,SC, 3109, are contract expenditures a matter of public record and available for public inspection (unless otherwise provided by law or Executive order)?
k. Metric Conversion (Omnibus Trade and CopeAtefi ct f-T19], as interpre teiJ by nice report, amendnq-Fe rc Conversi nAZT-ofF-I15 Se an as mplemenled troUgI A.D : Does the assistance program Yes tie--t metric system of measurement in its pr-murements, grants, and other business-related activities, except to the extent that such use is impractical or is likely to cause significant ineffi ciencies or loss of markets to United States firms? Are bulk pur,iases usually to be made in metric, and are compoients, Yes sub-assemblies, and semi-fabricated materials to be specified inmetric units when economically available and techni cally adequate? Will A.I.D. specifi cations use metric units of measure from the earliest progranmatic stages, and from the earliest documentation of the assistance processes (for example, projec-t Yes papers) involving quantifiable measure merits (length, area, volume, capacity, mass and weight), through the Implemen tation stage?
1. Competitive Selection Pro cedures (FM sec. 60lie): Wi IFThie assistance utilTFi compeeitive selection Yes procedures for the awarding of contracts, except where apll Icable procurement
rules allow otherwise?
23, Construction
a, Capital Project (FM Sec. 601(d)): If capital (eg., construc tionj project, will U. ,-engineerlng an Yes professional services be used?
b. Construction Contract (FAA Sec, 611(c)): If contracts for con structlon aie to be financed, will they Yes be let on a competitive basis to maximui extent practicable? *
c, Large Projects, Congres sional Approval IFA Sec. 6ZU(kJ): If for construction of productive enter prisei will aggregate value of assIstanc N/A to be furnished by the US. not exceed $100 million (except for productive enterprises in Egypt that were described in the Congressional Presentation), or does assistance have the express approva o.f Congress?
24. U.S, Audit Rights (FAA Sec. 301(d)): -ifund ls estabT-liseds-oTely N/A hi]FIFS7 coqtributions and administered b, an international organization, does Comp' troller General have audit rights? 25, Communist Assistance (FAA Sec. 620(h)): -Do arrangements exist to insuthethat United States foreign aid Is Yes not used In a manner which, contrary to the best interests of the United States, promotes or assists the foreign aid rojects or activities of the Coimmnst loc countries?
26, Narcotics a, Cash Reimbursements (FAA Soc, 403): Will arrangements preclude Yes use Of financing to make reimbursements, in the form of cash payments, to persons whose illicit drug crops are eradicated? b, Assistance to Narcotics Traffickers IFAA Section 49T Wi Il arrangements take "all reasonable steps Yes to preclude use of financing to or through individuals or entities which we know or have reason to believe have either! (1) been convicted of a violation of any law or regulation of the United States or a foreign country relatIng to narcotics (or other con trolled substances); or (2)been an illicit trafficker in, or otherwise involved in the Illicit trafficking of, any such controlled substance?
27. Expropriation and Land Reform (FM SecGO(g]t : Will assistance Yes preclude use of finncing to compensate oWhers for expropriated or nationalized property, except to compensate foreign nationals In accordance with a land reform prigram certified by the President?
28, Police and Prisons (FAA Sec. 660): Will ass stance precl-ie use of Yes TT-iancing to provide training, advice, or any f inancial support for police, prisons, or other law enforcement forces, except rot- narcotics programs? 29. CIA Activities (FAA Sec, 662): Will assistance preclude use of financing Yes for CIA activities?
30. Motor Vehicles (FAA Sec. 636(i)). WiTill assistance preclude use Yes o-T-inancIng to provide for purchase, salej long-term lease, exchange or guaranty of the sale of motor vehicles manufactured outside U.S., unless a waiver is obtained?
31, Military Personnel (FY 1991 Appropriatos A Sec.9ct 5bOJ):WiTl ,assistance preclude use oT-inancing to Yes pay pensions, annuities, retirement pay, or adjusted service compensation for prior or current milItary personnel? . 32. Payment of U.N. Assessments (FY 1991 A- 6pr-latonsAct. Sec. 5 ): Yes Wll 'assistance preclude use o financing to pay UN, assessments, arrearages or dues?
33, Multilateral Organization Lehdflg (FY 1991 Appropriations Act Sec. 5U6): will arrangements preclude use Yes -Tinancing to carry out provisions of FM section 209(d) (transfer of FAA funds to multilateral organizations for lending)? 34, Export of Nuclear Resources (FY 1991 AppropriatIons Act Sec& 5U): Wil.'iassistance preclude use of financing Yes to finance the export of nucleur equip ment, fuell or technology?
35, Represtion of Population (FY 1991 Appropriations Act Sec, 51IT-Vill assistance preclude use of financing Yes for the purpose of aiding the efforts of t!le government of such country to repress the legitimate rights of the population of such country contrary to the Universal Declaration of Iluman Rights?
36. Publicity or Propaganda (FY 1991 Approoitons Act Sec. bib): will assistance be used for publiityor propa- No ganda purposes designed to support or defeat legislation pending before Congress, to Influence in any way the outcome of a political election in the United States, or for any publicity or propaganda purposes not authorized by Congress?
37. Marine Act-Sec.56Insurance )(FY -TTI 1991 W; anyApproprtaB6is AI.D. contractand-solicitation, Yes and subcontract entered into under such contract, include a clause requiring that U,S. marine Insurance companies have a fair opportunity to bid for marine *Insurance when such Insurance Is necessary or appropriate?
30. Exchange for Prohibited Act (FY 1991 pp5a0Ions Act Se.5G): WIll any assistance be provided to any No foreign government (including any instru menta1ity or agency. thereof), foreign person, or United States person in exchange for that foreign government or person under tak i Fig any action which is, if carried out by the United States Governixient, a United States official or employee, expressly prohibited by a provision of United States law?
I. CRITERIA APPLICABLE TO DEVELOPMENT ASSISTANCE ONLY
1. Agricultural Exports (Bumpers Amendineil)-]FY-19F1-Approprlatl 6is-AEt si~T2rI~ii~hiipF-ee by con Te-rence rep oETo-rorlpiiaAF~iEent): IT asistancei1 for agrictiTraiivelop ment activities (specifically, any testing or breeding feasibility study, variety Improvement or introduction, consultancy, publication, conference, or training), are such activities: (1) specifically and principally designed N/A to Increase agricultural exports by the host country to a country other than the United States, where the export would lead to direct competition In that third country with exports of a similar coimio dlty grown or produced in the Uniuted States, afld can the activities reasonably be expected to cause substantial Injury to U.S. exporters of a siilar agricul tural coinodity; or (2) In support or research that Is intended primarily to benefit U.S. producers? 2. Tied Aid Credits (FY 1991 Appropriations Act, TfTf-,rider ie 1 ."Econ-SimicFi~ i]"TWi11 No A-Tuns bieused for Ted-fl" cT"edlits?
3. Appropriate lechnology (FAA Sec. 101): Is-1 1f-iii1 iil a'1iiiii N/A or-vpPropr late techlnology (dlef ied as relatively smaller, cost-saving, labor -Using technologies that are generally most appropriate for the smal I farms, small business, and small Incomes of the poor)?
4. Indigenous Needs and Resources (FAA Sec--2 Dli5JTT iescrI exE--e-iixfL-- The Project will assist wT 'liTlireac [lv-cTy recognizes the parti- farmers to strengthen
All cular needs, desires and capacities of their capability to produce the people of the countryl utilizes the and market agricultural country's intellectual resources to products. ehcourage institutional development, and supports civic education and training In skills required for effective parttc/ pation, in governmental processes esselitial td self-goverwnent,
So Economic Development (FAA Sec. lol(a))!-foes trie ac tivity give reasonable promise of contributing to Yes the development of economic resources, or to the Increase of productive capa cities and self-sustaining economic growth?
6. Special Development Emphasis (FAA Secs, I02I1,--T3-201 UiT. Desiie- The project promotes develop e-xltto- Fowi- acTiv-ityw--ill: (a) ment of sustainable commercial effectively Involve the poor In develop- agriculture and enterprise in ment by extending access to economy at the rural areas benefitting local level, increasing labor-Intensive mainly the poor small farmer production and the use of approprlate settlers. The project technology, dispersing Investinent from encourages self reliance and cities to small towns and rural areas, self help by settlers. The and insuring wide participation of the project does not encourage poor In the benefits of development on regional cooperation. afrsustained baski'using approl)rfate U,S tnstItutlons (b) encourage demo cratic private and local governmental institutions; (c)support the self-help efforts of developing countries; (d) promote the participation of women in the national econonies of developing countries and the improvement of women's status; and (e)utilize and encourage regional cooperation by developing countries. Is Reciplent Country Contribution (FAA Sec.-Tl11l24IJ: wI!! the rec plent country provide at least 25 percent Waived of the costs of the program, project, or activity with respect to which the assis tahce Is to be furnished (or Is the latter cost-sharing requirement being waived for a "relatively least developed" country)? 8, Benefit to Poor Majority (FAA tec& 1281b))! If tie actiiTyfat-empts to Increase the Instituttonal capabl- Yes titles of private ol'ganizatlons or the government of the country, or If It attempts to stimulate sclent fic and technological research, has It been designed and will It be monitored to ensure that the ultimate beneficiaries are the poor majority? 9. Abortions (FAA Section 104(f)i FY 1991_Aj5 oPrTiaEtons Aft7Itje-I
a. Are any of the funds to be used for the performance of abortions No as a method of family planning or to motivate or coerce any person to practice abortions? b, Are any of the funds to be used to pay for the performance of No Involuntary sterilization as a method of family planing or to coerce or pro vide any financia1 incentive to any person to undergo sterilizations?
c, Are any of the funds to be iiade available to any organization or No program which, as determined by the PI-esIdenti supports or participates In the management of a program of :oercive abortion or involuntary steril izaton? d. Will funds he made available ),nly to voluntary family planning projects N/A Which offer, either directly or through referral toj or Infohnation about access to, a broad range of family planning methods and services? e, Inawarding grants for natural family planningj will any appl icant be N/A discriminated against because of such applicant's religious or conscientious commitnent to offer only natural family pl ann ng? f, Are any of the funds to be USed to pay for any biomedical research No Which relates, inwhole or Inparts to methods of, or the performance of, abor tions or Involuntary sterilization as a means of family planning? g, Are any of the funds to be made available to any organization If the No President certifies that the use of these funds by such organization would violate any of the above provisions related to abortions and Involuntary sterilization? 10, Contract Awards (FAA Sec. 601(e)): -WilTfle project utilize Yes competitit.e selection procedures for the awarding of contracts, except where applicable procurement rules allow otherwise?
11. Disadvantaged Enterprise (FY 1991 Approi-E tins ActSec. 67T: Wliat portion of Thie 1unTl-1- [5 avail- Waived able only for activities of economically and socially disadvantaged enterprises, historically black colleges and univer sities, colleges and universities having a student body inwhich more than 40 percent of the students are Hispanic AmericansI anid private and volurtary organizations which are controlled by 'individuals who are black Americans, Hispanic Americans, or Native Americans, or who are economically or socially disadvantaged (including women)? 12, Biological Diversity (FAA Sec. 119j(j: -ill-he assistance: (a) No support training and education efforts which improve the capacity of recipient countries to prevent loss of biological diversity; (b) be provided under a long- No term agreement in which the recipient country agrees to protect ecosystems or other wildlife habitats; (c)support No efforts to identify and survey ecosystems in recipient countries worthy of protec tion; or (d) by any direct or indirect No means significantly degrade national parks or similar protected areas or introduce exotic plants or animals into such areas? 13. Tropical Forests (FAA Sec. 118; FY 1991 Appropriations Act Sec. 533(c)-(e) and (9)): a. A.I.D. Regulation 16: Does the assistance comply wIth Waived the environmental procedures set forth in A.I.D. Regulation 16?
b. Conservation: Does the Yes. assistance place a high priority on conservation and sustainable management The project will support access of tropical forests? Specifically, does by farmers to arable land which the assistance, to the fullest extent has already been cleared of feasible: (1) stress the importance of primary forest. conserving and sustainably managing forest resources; (2) support activities which offer employment and income alternatives to those who otherwise would cause destruction and loss of forests, aiid help countries identify and implement alter natives to colonizing forested areas; (3) support training programs, educational efforts, and the establishment or strengthening of institutions to improve forest management; (4) help end destruc tive slash-and-burn agriculture by supporting stable and productive fanning practices; (5) help conserve forests which have not yet been degraded by helping to increase production on lands already cleared or degraded; (6) conserve forested watersheds and rehabilitate those which have been deforested; (7) support training, research, and other actions which lead to sustainable and more environmentally sound practices for timber harvesting, removal and processing; (8) suppott tesearch to expand, knowledge of tropical forests and Identify alternatives witich will prevent forest destructioi, loss, or degradation; (9)conserve bio logical diversity In forest areas by supporting efforts to Identify, establish, and maintain a representative network oV protected tropIcal forest eco syttems on a wqrldwide basis, by making the establishment of protected areas a condition of support for activities Involving forest clearance or degradation, and by helping to Identify tropical forest ecosystems and species Inneed of protec tion ahd establish and maintain appro priate protected areas; (10) seek to Increase the awareness of U,S, govern ent agencies and other donors of the Inmediate and lolig-ternm value of tropical forestsl (11) utilize the resources and abilities of all relevant U.S. governiment agencies; (12) be based upon careful analysis of the alternatives available to achieve the best sustainable use or land; and (13) take full account of the environmental Impacts of the proposed activities on biological diversity. ci' Forest (egradation: Will assistance be used forT(l_--iie No procurement or use of logging equipment, unless an environmental assessment Indicates that all timber harvesting operations Involved will be conducted in an envirorwnmentally sound manner and that the proposed activity will produce positive economic benefits and susLain able forest management systems, (2) actions which will slgnificantly degrade No natfnnal parks or sim i lar protected areas which c)ntaln tropical forests, or intro duce exotic plants or animals into such areas; (3)activities which would result No In the conversion of forest lands to the rearlng of livestock; (4) the constructioi upgrading, or maintenance of roads Not known (including temporary haul roads for logging or other extractive Industries) which pass throu gh relatively undegraded forest lands; (5)the colonization of No forest lands; or (6)the construction of dams or other water control structures No which flood relatively undegraded forest landsi unless with respect to each such activity an environental assessment tlidicates that the activity will contribute significantly and directly to Improving the livelihood of the rural poor and will be conducted In an environmentally sound mahnev which supports sustainable development? d, Sustainable Forestry: If assistance relates to tropFc-a-Torests, N/A will project assist countries Indeve loping a systematic analysis of the appropriate use of their total tropical forest resources, with the goal of deve loping a national program for sustainable fores try? e. Environmental Impact Statements: "-l1--uds--i--ad-avail 'aived able In accordance with provisions of FAA Section 117(c) and applicable A.I.D. regulations requiring an environmental Impact statemenet for activities significantly affecting tire environment? 14. Etergy (FY 1991 Appropriations Act Sec. 533(c)J .ass inc-F l5Hs N/A to energy, will sbch assistance focus on: (a)end-use energy efficiency, least-cost energy planning, and renew able energy resources, and (b)the key countries where assistance would have the greatest Impact on reducing emissions from greenhouse gases? 15. Sub-Saharan Africa Assistance (FY 1991 e---v-- -1-F-Se- , a neFfi-t-f-erI1_FAAS~cT 'w-~n 496J : If ssli -- ewll caineMFe-rP-the N/A Su56-Saharan Africa DA account, Is It: (a) to be used to help tihe poor majority In Sub-Saharan Africa. through a process ..of long-term development and econoimic growth that Isequitable, participatory, enviromnentally sustainable, and self reliant; (b) to be used to promote sustained ecoioanic growth, encourage pri vate sector development, promote Individual initiatives, and help to reduce the role of central governments. In areas more appropriate for the private sectorl (c)to be provided In a manner that takes Into accountj during the lanning process the local-level perspec- Ives of the rural and urban poor, including women through close consul tation with African, United States and other PVOs that have demonstrated effectiveness in the promotion of local rassroots activities onl behalf of long erm development in Sub-Saharan Africa; (d)to be implemented in a manner that requires localpeople, Including men, to be closely consulted and involved, If the assistance has a local focus; (e) being used primarily to promote reform of critical sectoral economic policies, or to support the critical sector priorities of agricultural production and natural resources, heal thi voluntary family planning serVices, education, and Income generat/lug opportunities, and (f) to be provided in a manner that, if policy -eforms are to be effected, contains provisions to protect vulnerable groups and the environment from possible n~gative consequences of the reforms? 16, Ijgbt-for-Nature Exchange (FAA Sec, 463)T--T projert wfTT--hTance a MRirT nature exchangej describe how N/A the exchange will support protection of: (a) the world's oceans and atmosphere, (b) anlmal and plant species, and (c) parks and reserves; or describe how the exchange will promote: (d)natural resource management, (e)local consOrva- Lion programs, (f) conservation training programs (g)public cor ntment to tonser vation (11h) land and ecosystem management, and (I)regenerative approaches In. fdnling, forestry, fishI Ng and watershed management, 17, Deobligatlon/Reobligation (FY Sec-. 15) l Uoi]6r-eob1991 Approprations au, ho-rl ty- cAtso~fi-FT'-be exercised In the provision of DA assis- N/8 tance, are the funds being obligated for the same general purpose, and for coun tries within the same region as origi nally obligated, and have the House and Senate Appropriations Conittees been properly notified? 18 Loans a, Repayment Capacity (FAA Sec. 122(b)): information and conclusi-on on N/I capacIty of the country to repay the loan at a reasonable rate of interest. b, Long-range Plans (FAA Sec. 122(b))! DofE-lie activity give reasonable promise of assisting long- N/P range plans and programs designed to develop economic resources and Increase productive capacities? ca Ihiterest Rate (FAA Sec. 122(b))! If -- velopment loan is repay -BT[-Tn dollarsi is interest rate at least /A 2 percent per annum during a grace period which Is not to exceed ten years, and at least 3 percent per annum thereafter? d. Exports to United States (FAA Sec, 62U()):itf assistance is for any productive enterprise which will N/A compete with U.S, enterprises, is there an agreemeivtt by the recipient country to prevent export to the U.S. of more than 20 percent of the enterprise's annual production during the life of the loan or has the requirement to enter Into such an agreement been waived by the President because of a national security Interest? 19, Development Objectives (FAA Secs. 102[F l111T372[-iT: EREii- to wl1-Ei a-- -Il-TI-(I)ef fec- The project promotes development tLively involve the poor in development, of sustainable agriculture and by expanding access to economy at local enterprise in the rural Northwest level, Increasing labor-intensive benefitting mainly the poor production and the use of appropriate small farmer settlers. The tbchnology, spreading Investment out from 'project encourages development cities to small towns and rural areas, of farmer organizations. The and Insuring wide participation of the project encourages self reliance poor In the henefits of development on and self help by settlers. The a sustained basisj using the appropriate project promotes women by US. Institutions; (2)help develop improving access to markets and cooperatives, especially by technical social services. The project assigtance, to assist rural and urban does not encourage regional poop to help themselves toward better (cooperation. life, add otherwise encourage democratic rivate and local governmental InstItfu tiolis) (3) support the self-help efforts of dbveloptng countries; (4) promote the participation of Women in the national *cohonles of developing countries countries and the Improvement of women's gtatust and (5)Utilize ahd encourage regional cooperation by developing countries?
2o Agriculturel Rural Developmm alid Nutri/1on1, and Agricul tural-isearch TFAA secs 1iU3i 0aT3AI:
a, Rural Poor and Small Farmers! If assistance-s being made aviable The Project is specifically for agrtcUlturel rural development or esigned to increase productivi nutriLion, describe extent to which ties and incomes of rural poor. activity is specifically designed to Increase productivity and Income of rural poor; or If assistance Is being made available for agricultural research, has account been taken of the needs of small farners, and extensive use of field testing to adapt basic research of local conditions shall be made. '4 b, Nutrition: Describe extent The Project does not have a to which ass fsfat-e-s used tn specific nutrition component, coordination with efforts carried out but increased employment and under FAA Section 104 (Population and incomes are expected to lead Health) to help Improve nutrition of the to improved nutrition. people of developing countries through encouragement of Increased productlion of crops with greater nutritional value; Improvement of planning, research, and education with respeot to nutritlon, particularly with reference to improvement and expanded use of Indigenously produced foodstuffs; and the undertaking of pilot or demonstration programs explicitly *addressing the problem of malnutrition of Poor and vulnerable people.
c, Food Security: Describe extent to whimll acTvTEyincreases N/A . national food security by Improving food policies and management and by strengthening national food reserves, with particular concern for the heeds of the poori through measures encouraging domestic production, building national food reserves1 expanding available storage facililesi reducing post harvest food losses, and Improving food distribution, 21. Population and Ilealth (FAA Secs; 104(b) and (c)): if assistahce Is being made available for population or health activitiesi describe extent to which activity emphasizes low-cost, Integrated delivery systems for health, NAA nutrition and family planning for the poorest people, With particular attention to (te needs of mothers and children, usig paramedicals and auxiliary medical pet'sonnel clInIcs and health posts, commercIal distribution systems, and other modes of comnnunity outreach,
22i Education and Human Resources Development (FAA Sec. 105): If assis tance is being made available for educa- N/A tion, public ahtinistration, or human resource development, describe (a) extent to which activity strengthens nonformal education, makes formal education more relevant,abspeclally for rural families and urban poor and sti'engthens nmanagement capability of Institutions enabling the poor to partici)ate in development; and (b) extent to which assistance provides advanced education and training of people of developing coutries in such discip lines as are required for planning and implementation of public and private development activities. 23, Energy, Private Voluntary Organiza tions, and Selected [Development N/A Activities (FAA Sec. 106): Ifassis tance Is being made available for energy, private voluntary organlzations, and gelected development problems, describe extent to which activity is: a, concerned with data collec tion and analysis, the training of skilled N/A personnel, research on and development of suitable energy sources, and pilot projects to test new methods of energy producttc;i and facilitative of resead.. oh and d ,elopnent and use of small-scale, decentra fzed, renewable energy sources for rural areas, emphasizing development of energy resources which are environ mentally acceptable and require minimun capital IhVestmeflt b, concerned witli technical cooperation and development, especially NtA with U,S, private and voluntary, or regiohal and International development, organizations; c, research Into, and evalua- N A on of, economic development processes ahd techniques; d, 'reconstruction after natural or mah-made disaster and programs of disaster preparedness; e, for special development problems, and to enable proper utill- N/A zation of infrastructure and related projects funded with earlier US. assistance; fW for urban development, especially small, labor-intensive enter- N/A prises, marketing systems for small producers, and financial or other Insti tutlons to help urban poor participate in economic and social development.
C, CRIERIA APPLICABLE TO ECONOMIC SUPPORT FUNDS ONLO
1, Economic and Political Stability Ye! (FAA Sec, 531(a ): Will tlhs assistance promote economic and political stability? To the maximum extent feasible, isthis ass~fstance consistent with the policy 11lrections purposes, and programs of Part I of the FAA? 2, Military Purposes (FAA Sec. 631(e)): Will his assistance be used No T-or-iTi tary or paramilitary purposes? J, commodity Grants/Separate ccou_ts-F_-_ _-6_ T--__T_pcommo iftles are to be granted so that sale proceeds will accrue to the recipient N/A country, have Special Account (counter part) arrangements been made? (For FY 991 this provision Is superseded by the separate account requirements of FY 1991 Aproprlatlons Act Sec. 575(a), see 57 (a)(5),
4, Geheration and Use of Local Currencies-s- FM Sec, 531(dJ7WITT ESF funds made available for comiodity import programs or other program assis- No tance be used to generate local curren cles? If so, will at least 50 percent of such local currencies be available to support activities consistent with the objectives of FAA sections 103 through 106? (For FY 19911 this provi sion Is superseded by the separate account requirement of FY 1991 Appro priations Act Sec, 575(a), see Sec. 575(a)(5).) 5. Cash Transfer Requirements (FY 1991 Appfaftfons Act, lTtle Ii,under iheading "Economic Support Fund," and SS 7-(bj : itassistails in the N/A torn of a cash transfer: a. Separate Account: Are all such cash paYme5its tO be maTntained by the country In a separate account and not to be cotiingled wi th any other ::unds?
b. Local Currecies: Will all local currencies tia-mayf- generated wilh funds provided as a cash transfer to such a country also be deposited In a special account, and has AI,D. entered Into an agreement with that government setting forth the amount of the local currencies to be generated, the terms and conditions under which they are to be used, and the responsibilities of A.II. and that government to monitor and account for deposits and disbursements? c& US& Goverr ment Use of Local CUieretciest Will all such local currencies also be used In accordance Witth FAA Section 609j Which requires such NA .local currencies to be made available to the U&S, GoVernment as the U.S, determines necessary for the requirements of the U.S. Government and Which requires the remafndeV to be used for ptograms agreed to by tle UlS, Government to carry out the purposes for which new funds autho rized by the FA would themtelves be available? d, congressional Notice: Has Congress received ior notification YES providing tn detail how the -funds will be used, Including the US, Interests that will be served by the assistance, and, as aptroprlate the economnic policy reforms that will be promoted'by tie cash transfer assistance?