March 19, 2020
Reference: 72016820R00001 Financial Reform Activity in Bosnia-Herzegovina: Greater fiscal accountability and transparency in Bosnia-Herzegovina Due date and time: May 4, 2020, 9:00 a.m. CEST Questions Due date and time: March 30, 2020, 15:00 CET Geographic Code: 935; NAICS Code: 541519
Dear Sir/Madam:
The United States Agency for International Development (USAID), through the Mission in Bosnia and Herzegovina (BiH) contemplates award of a five-year Cost-Plus-Fixed Fee Completion contract to implement the Financial Reform Activity in Bosnia-Herzegovina. The anticipated award date is September 2020.
USAID anticipates awarding one contract conducted under full and open competition procedures, pursuant to Part 15 of the FAR (48 CFR Chapter 1). USAID encourages offerors to express interest in this solicitation by submitting a proposal in accordance with the instructions set forth in Section L, “Instructions to Offerors.” USAID will evaluate the responsive proposals in accordance with the evaluation factors provided in Section M, “Evaluation Factors for Award” hereunder.
USAID encourages the participation to the maximum extent possible of U.S. small businesses (SB) in this activity as prime or subcontractors in accordance with Part 19 of the FAR. Also, please note that the geographic code is 935, which allows participation in this procurement from any area or country except from prohibited sources.
Electronic responses to this RFP are mandatory (See Section L). Please submit your proposals to the email address below by May 4, 2020, 9:00 a.m. CEST (Sarajevo Bosnia time.) Receipt time is when the proposal is received by AID/Washington internet server. The address for the receipt of proposals is: [email protected]. Hand delivered proposals (including commercial courier) and facsimile transmission will not be accepted.
The Technical Proposal has a strict page limit of 30 pages. Pages exceeding this limit will not be evaluated. Offerors are reminded that evaluators have to be able to read the proposals, so presentation and legibility are crucial.
This RFP can be viewed and downloaded from the official U.S. government website https://beta.sam.gov/. USAID bears no responsibility for data errors resulting from transmission or conversion processes. Further be aware that amendments to solicitations are occasionally issued and will be posted on the same website from which you
downloaded the solicitation. USAID advises to regularly check the above website for amendments or to create an account for https://beta.sam.gov/ to save searches, add your entity to an opportunity's Interested Vendors List, and receive automatic updates when the opportunity changes.
This RFP does not obligate the United States Government to award a contract nor does it commit USAID to pay any cost incurred in preparing and submitting of a proposal. Award of a contract under this RFP is subject to availability of funds and other internal USAID approvals.
Sincerely yours,
/s/
Patrick E. Robison Contracting Officer USAID/Bosnia and Herzegovina
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1. THIS CONTRACT IS A RATED RATING PAGE OF PAGES SOLICITATION, OFFER AND AWARD ORDER UNDER DPAS (15 CFR 700) 1 206 2. CONTRACT NUMBER 3. SOLICITATION NUMBER 4. TYPE OF SOLICITATION 5. DATE ISSUED 6. REQUISITION/PURCHASE NUMBER 72016820R00001 SEALED BID (IFB) 03/19/2020REQ-168-20-000003 X NEGOTIATED (RFP) 7. ISSUED BY CODE 720168 8. ADDRESS OFFER TO (If other than Item 7) USAID/Bosnia/Herz 7130 Sarajevo Place Washington DC 20521-7130
NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder". SOLICITATION
9. Sealed offers in original and copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if hand carried, in the
depository located in until 0300 ET local time 05/04/2020 (Hour) (Date) CAUTION: LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation. A. NAME B. TELEPHONE (NO COLLECT CALLS) C. E-MAIL ADDRESS 10. FOR INFORMATION AREA CODE NUMBER EXT. [email protected] CALL: Lidija Kranjec
11. TABLE OF CONTENTS (X) SEC. DESCRIPTION PAGE(S) (X) SEC. DESCRIPTION PAGE(S)
PART I - THE SCHEDULE PART II - CONTRACT CLAUSES
A SOLICITATION/CONTRACT FORM I CONTRACT CLAUSES
B SUPPLIES OR SERVICES AND PRICES/COSTS PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.
C DESCRIPTION/SPECS./WORK STATEMENT J LIST OF ATTACHMENTS D PACKAGING AND MARKING PART IV - REPRESENTATIONS AND INSTRUCTIONS
E INSPECTION AND ACCEPTANCE K REPRESENTATIONS, CERTIFICATIONS AND F DELIVERIES OR PERFORMANCE OTHER STATEMENTS OF OFFERORS G CONTRACT ADMINISTRATION DATA L INSTRS., CONDS., AND NOTICES TO OFFERORS
H SPECIAL CONTRACT REQUIREMENTS M EVALUATION FACTORS FOR AWARD OFFER (Must be fully completed by offeror) NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period. 12. In compliance with the above, the undersigned agrees, if this offer is accepted within _____0______calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule. 13. DISCOUNT FOR PROMPT PAYMENT 10 CALENDAR DAYS (%) 20 CALENDAR DAYS (%) 30 CALENDAR DAYS (%) CALENDAR DAYS (%) (See Section I, Clause No. 52.232.8)
14. ACKNOWLEDGEMENT OF AMENDMENTS AMENDMENT NO. DATE AMENDMENT NO. DATE (The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated): 15A. NAME 16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER CODE FACILITY AND (Type or print) ADDRESS OF OFFEROR
15B. TELEPHONE NUMBER 15C. CHECK IF REMITTANCE ADDRESS 17. SIGNATURE 18. OFFER DATE AREA CODE NUMBER EXT. IS DIFFERENT FROM ABOVE - ENTER SUCH ADDRESS IN SCHEDULE. AWARD (To be completed by government) 19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION
22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION: 23. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM (4 copies unless otherwise specified) 10 U.S.C. 2304 (c) ( ) 41 U.S.C. 253 (c) ( )
24. ADMINISTERED BY (If other than Item 7) CODE 25. PAYMENT WILL BE MADE BY CODE
26. NAME OF CONTRACTING OFFICER (Type or print) 27. UNITED STATES OF AMERICA 28. AWARD DATE Patrick E. Robison
(Signature of Contracting Officer) IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice. AUTHORIZED FOR LOCAL REPRODUCTION STANDARD FORM 33 (Rev. 9-97) Previous edition is unusable Prescribed by GSA - FAR (48 CFR) 53.214(c) REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF CONTINUATION SHEET 72016820R00001 2 157 NAME OF OFFEROR OR CONTRACTOR
ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT (A) (B) (C) (D) (E) (F) Delivery Location Code: USAID/BIH USAID/Bosnia-Herzegovina Ambasada SAD-a Roberta C. Frasurea 1 71000 Sarajevo, BiH
0001 BiH’s public finances is a focus area for the EU that has been continuously reviewed and evaluated by the EC. The Public Administration Reform, which entails public finance reform in Bosnia and Herzegovina, is necessary for establishing effective, accountable and financially efficient services for businesses and citizens. This reform is a precondition for integration into the EU. The main activity goals are: - Enhanced modern taxation system that corresponds to the best practices in taxation of EU member countries - Increased tax compliance and reduce tax evasions - Better control over the public expenditures - Improved fiscal discipline and public financial management - Improved business environment through further reduction of burden on private sector
NSN 7540-01-152-8067 OPTIONAL FORM 336 (4-86) Sponsored by GSA FAR (48 CFR) 53.110
PART I—THE SCHEDULE ...... 10 SECTION B – Supplies or services and prices/costs...... 10 B.1 Purpose ...... 10 B.2 Contract Type ...... 10 B.3 Estimated Cost, Ceiling Price, Fixed Fee, and Obligated Amount ...... 10 B.4 Price Schedule ...... 10 B.5 Option to Extend Services ...... 11 B.6 Indirect Costs...... 12 B.7 Ceiling on Indirect Cost Rates (if applicable) ...... 12 B.8 Multi-year contract and cancellation ceiling ...... 13 B.9 Cost Reimbursable ...... 14 B.10 Payment of Fixed Fee ...... 14 SECTION C - Description/Specifications ...... 16 Statement of Work for Financial Reform Activity in Bosnia-Herzegovina ...... 16 C.1 Objective ...... 16 C.2 Scope of the activity ...... 16 C.3 Executive Summary and Development context ...... 17 C.4 Relationship to the CDCS, and applicable agency policies ...... 18 C.5 USAID Achievements in the Fiscal Sector to date ...... 19 C.6 Other Donors in the Fiscal Sector ...... 20 C.7 Planned activities...... 22 C.8 Monitoring, Evaluation, and Learning (MEL) ...... 31 C.9 Sustainability Analysis ...... 34 C.9 Environmental Analysis ...... 35 C.10 Gender Analysis ...... 35 C.11 Gender and Disability Considerations...... 36 C.12 Critical Assumptions and Risks ...... 37 SECTION D - Packaging and Marking ...... 38 D.1 Marking ...... 38 D.2 Branding ...... 38 D.3 Branding and marking policy ...... 40 SECTION E - Inspection and Acceptance ...... 41 E.1 Notice Listing Contract Clauses Incorporated by Reference ...... 41 E.2 Inspection and acceptance ...... 41 SECTION F - DELIVERIES OR PERFORMANCE ...... 42 F.1 Notice Listing Contract Clauses Incorporated by Reference ...... 42 F.2 Period of Performance ...... 42 F.3 Place of Performance ...... 42 F.4 Performance Standards ...... 42 F.5 Key Personnel ...... 42 F.6 Authorized Work Day/Week ...... 43 F.7 Periodic Progress Reports ...... 43 F.8 Reports ...... 44 SECTION G – CONTRACT ADMINISTRATION DATA ...... 61 G.1 Administrative Contracting Office ...... 61
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G.2 Contracting Officer’s Authority ...... 61 G.3 Contracting Officer’s Representative ...... 61 G.4 Technical Direction/Limitations of Contracting Officer’s Representative ...... 61 G.5 Acceptance and Approval ...... 63 G.6 Paying Office...... 63 G.7 Documentation for payment ...... 64 G.8 Invoicing Instructions ...... 65 G.9 Accounting and Appropriation Data ...... 66 SECTION H - Special Contract Requirements ...... 67 H.1 Notice Listing Contract Clauses Incorporated by Reference ...... 67 H.2 Language requirements ...... 67 H.3 752.222-70 USAID disability policy (DEC 2004)...... 67 H.4 752.222-71 Nondiscrimination (JUN 2012) ...... 68 H.5 752.225-70 Source and nationality requirements (FEB 2012) ...... 68 H.6 Authorized geographic code...... 70 H.7 752.228-3 Worker’s compensation insurance (Defense Base Act) (DEC 1991) ... 70 H.8 752.231-72 Conference planning and required approvals (AUG 2013) ...... 71 H.9 752.7005 Submission requirements for development experience documents (SEP 2013) ...... 72 H.10 752.7007 Personnel compensation (JUL 2007) ...... 74 H.11 Additional requirements for personnel compensation ...... 74 H.12 752.7019 Participant training (JAN 1999) ...... 76 H.13 302.3.5.22 Submission of datasets to the Development Data Library (DDL) ..... 77 H.14 Nonexpendable property purchases ...... 78 H.15 Government furnished facilities or property ...... 78 H.16 Logistic support ...... 78 H.17 Disclosure of information ...... 79 H.18 Organizational conflicts of interest...... 79 H.19 Executive order on terrorism financing ...... 79 H.20 Foreign government delegations to international conferences ...... 80 H.21 Environmental compliance ...... 80 H.22 Subcontracting plan and the SF294-Subcontracting report for individual contracts, and SF295-Summary contracting report ...... 82 H.23 Consent to subcontract...... 82 H.24 USAID-financed third-party web sites (AUG 2013) ...... 82 H.25 Electronic payment system ...... 84 PART II—CONTRACT CLAUSES ...... 86 SECTION I - Contract Clauses ...... 86 I.1 52.252-2 Clauses incorporated by reference (FEB 1998) ...... 86 I.2 Notice listing contract clauses incorporated by reference ...... 86 I.3 52.204-1 Approval of contract (DEC 1989) ...... 92 I.4 52.217-8 Option to extend services (NOV 1999) ...... 93 I.6 52.222-35 Equal opportunity for veterans (OCT 2015) ...... 93 I.7 52.222-36 Equal opportunity for workers with disabilities (JUL 2014) ...... 93 I.8 52.222-50 Combating trafficking in persons (MAR 2015) ...... 94
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I.9 52.232-40 Providing accelerated payments to small business subcontractors (DEC 2013) ...... 103 I.10 752.227-14 Rights in data - General (OCT 2007) ...... 103 I.11 752.229-71 Reporting of foreign taxes (JUL 2007) ...... 104 I.12 752.231-71 Salary supplements for host government employees (MAR 2015) . 105 I.13 752.7036 USAID implementing partner notices (IPN) portal for acquisition (JUL 2014) ...... 105 I.14 752.7037 Child safeguarding standards (AUG 2016) ...... 107 I.15 752.7038 Nondiscrimination against end-users of supplies or services (OCT 2016) ...... 109 PART III—LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS ...... 110 SECTION J—LIST OF EXHIBITS AND ATTACHMENTS ...... 110 SECTION K - REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF OFFERORS ...... 111 K.1 Notice listing contract clauses incorporated by reference ...... 111 K.2 52.204-8 Annual representations and certifications (JAN 2017) ...... 111 K.3 52.204-20 Predecessor of offeror (JUL 2016) ...... 117 K.4 52.209-5 Certification regarding responsibility matters (OCT 2015)...... 118 K.6 52.209-7 Information regarding responsibility matters (JUL 2013) ...... 120 K.7 52.209-11 Representation by corporations regarding delinquent tax liability or a felony conviction under any federal law (FEB 2016) ...... 122 K.8 52.222-22 Previous contracts and compliance reports (FEB 1999)...... 123 K.9 52.222-25 Affirmative action compliance (APR 1984) ...... 123 K.10 52.225-20 Prohibition on conducting restricted business operations in Sudan -- Certification (AUG 2009) ...... 124 K.11 Agreement on, or exceptions to, terms and conditions ...... 125 K.12 Authorized negotiators ...... 125 K.13 Signature ...... 125 SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS . 127 L.1 52.252-1 Solicitation Provisions Incorporated by Reference (FEB 1998) ...... 127 L.2 Notice Listing Contract Clauses Incorporated by Reference ...... 127 L.3 52.215-1 Instructions to offerors – Competitive acquisition (JAN 2017) ...... 128 L.4 52.216-1 Type of Contract (APR 1984) ...... 133 L.5 52.233-2 Service of protest (SEP 2006) ...... 133 L.6 Explanation to prospective offerors ...... 134 L.7 Proposal preparation and submission – Special Instructions ...... 134 L.8. Instructions for the preparation of the cost/business proposal ...... 139 L.9 Branding implementation strategy and marking plan ...... 150 SECTION M - Evaluation Factors for Award ...... 151 M.1 Notice listing solicitation provisions incorporated by reference ...... 151 M.2 General information ...... 151 M.3 Method of evaluation...... 152 M.4 Evaluation factors ...... 152 M.5 Determination of competitive range ...... 154
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M.6 Cost/price evaluation ...... 155 M. 7 Cost Realism...... 155 M.8 Source Selection ...... 155 M.9 Contracting with small business concerns...... 156
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ABBREVIATIONS
AAPD Acquisition & Assistance Policy Directive ADS Automated Directives System AIDAR Agency for International Development Acquisition Regulation BEO Bureau Environmental Officer BiH Bosnia and Herzegovina BS Branding Strategy BIP Branding Implementation Plan CDCS Country Development Cooperation Strategy CCN Cooperating Country National CAS Cost Accounting Standards CFR Code of Federal Regulation CO Contracting Officer COP Chief of Party COR Contracting Officer’s Representative CPAR Contractor Performance Assessment Reporting CPARs Contractor Performance Assessment Reporting System CPFF Cost-Plus-Fixed-Fee CPI Contractor Performance Information. CPII Contractor Performance and Integrity Information CPR Contractor Performance Report CSO Civil Society Organization D&B Dun and Bradstreet, Inc DBA Defense Base Act DDL Development Data Library DEC Development Experience Clearinghouse DO Development Objective DOC Development Outreach Coordinator EA Environmental Assessment EDO Economic Development Office EFT Electronic Funds Transfer EU European Union E.O. Executive Order eSRS Electronic Subcontracting Reporting System FAPIIS Federal Awardee Performance and Integrity Information System FAR Federal Acquisition Regulation FOIA Freedom of Information Act FPRA Forward Pricing Rate Agreement FY Fiscal Year GAAS Generally Accepted Auditing Standards GAO General Accounting Office GSM Graphic Standards Manual
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IEE Initial Environmental Examination IPN Implementing Partner Notices IR Intermediate Result IT Information Technology LOE Level of Effort MEL Monitoring, Evaluation and Learning MEDEVAC Medical Evacuation MOU Memorandum of Understanding MP Marking Plan NAICS North American Industry Classification System OAA Office of Acquisition and Assistance OFAC Office of Foreign Assets Control ORCA Online Representations and Certifications Application PAD Project Appraisal Document PDF Portable Document Format RCE Request for Categorical Exclusion RFP Request for Proposals RS Republika Srpska SAM System for Award Management SDN Specially Designated Nationals SIGMA Support for Improvement in Governance and Management SMEs Small and Medium Enterprises SOW Statement of Work TBD To be determined TIN Taxpayer Identification Number TCN Third Country National US United States of America USAID United States Agency for International Development USAID/W USAID Washington USG United States Government
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PART I—THE SCHEDULE
SECTION B – Supplies or services and prices/costs
B.1 Purpose
The purpose of this activity is to implement a set of fiscal reforms that will be supported by Information Technology (IT) interventions, with the goal of greater fiscal accountability and transparency in both BiH entities and enhanced services for citizens and private sector. The activity has two main purposes: First to improve fiscal discipline and fiscal regulatory framework conducive to business in BiH; and second, to improve overall public financial management through enhanced fiscal planning, tax compliance, control of spending, and debt management.
B.2 Contract Type
A Cost-Plus-Fixed-Fee Completion Contract is being contemplated. For the consideration set forth in the contract, the contractor must provide the deliverables and results described in Section C and Section F (to be incorporated at contract award). The contractor must also comply with all other contract requirements.
B.3 Estimated Cost, Ceiling Price, Fixed Fee, and Obligated Amount
a) The estimated cost for the performance of the work required hereunder, exclusive of fixed fee, is $TBD. The fixed fee, if any, is $TBD. The estimated cost plus fixed fee, if any, is $TBD.
b) Within the estimated cost plus fixed fee specified in paragraph (a) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the contractor (and payment of fee, if any) for performance hereunder is $TBD. The contractor cannot exceed the aforesaid obligated amount.
c) Funds obligated hereunder are anticipated to be sufficient through TBD.
B.4 Price Schedule
Item Total Estimate US$
Salaries and Wages
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Fringe Benefits Travel, Transportation and Per Diem Equipment Supplies Contractual Other Direct Costs Total Direct Costs Indirect Costs Total Fixed Fee TOTAL ESTIMATED COST & FIXED FEE Table 1 [USAID will insert the final total estimates of each cost category provided by the contractor in its budget at award; see SECTION J, ATTACHMENT J.2 - BUDGET TEMPLATE that informs the development of the budget]
(b) The inclusion of any costs in the above cost categories does not obviate the requirement for prior approval by the contracting officer of cost items designated as requiring prior approval by any of the terms and conditions of this contract, including the applicable cost principles (see FAR § 52.216-07, “Allowable Cost and Payment”); nor does it constitute a determination of allowability by the contracting officer of any item of cost, unless specifically stated elsewhere in this contract. Also, these amounts may not be adjusted without a written modification signed by the contracting officer. The contractor will not bill any amounts against this contract in excess of the amounts specified for each line item.
(c) The contractor agrees to furnish data that the contracting officer may request on costs expended or accrued under this contract in support of the budget information provided herein.
B.5 Option to Extend Services
Pursuant to FAR 37.111 and to the FAR clause incorporated by full text in Section I entitled “52.217-8 OPTION TO EXTEND SERVICES (NOV 1999)”, the Contractor hereby grants to the U.S. Government option to extend services under the contract for six additional one month periods. Such extension options are to be exercisable by issuance of a unilateral modification prior to the expiration of the contract. The six one-month extension options may be combined or exercised individually. Upon exercise of such options by the Government, the costs and fees evaluated at contract award will be increased by the amounts specified below for each option month to extend. TBD
Page 11 Cost Category 1st Option 2nd Option 3rd Option 4th Option 5th Option 6thOption To Extend To Extend To Extend To Extend To Extend To Extend (1 month) (1 month) (1 month) (1 month) (1 month) (1 month)
Total Estimated Cost
Fixed Fee
Total Estimated Cost
Plus Fixed Fee
B.6 Indirect Costs
(a) Pending establishment of revised provisional or final indirect cost rates, USAID will reimburse allowable indirect costs on the basis of the following negotiated provisional or predetermined rates and the appropriate bases pursuant to the contractor’s current executed Forward Pricing Rate Agreement (FPRA):
Description Rate Base Type Period % 1/ 1/ 1/
1/Base of Application:
Type of Rate:
Period:
(b) The contractor will make no change in its established method of classifying or allocating indirect costs without the prior written approval of the contracting officer.
B.7 Ceiling on Indirect Cost Rates (if applicable)
(a) Reimbursement for indirect costs will be at the lower of the negotiated final (or predetermined) rates or the following ceiling rates:
Description Rate Base Type Period % 1/ 1/ 1/
1/Base of Application:
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Type of Rate:
Period:
(b) The Government will not be obligated to pay any additional amount should the final indirect cost rates exceed the negotiated ceiling rates. If the final indirect cost rates are less than the negotiated ceiling rates, the negotiated rates will be reduced to conform to the lower rates.
(c) This understanding will not change any monetary ceiling, obligation, or specific cost allowance or disallowance. Any changes in classifying or allocating indirect costs require the prior written approval of the Contracting Officer.
B.8 Multi-year contract and cancellation ceiling
This contract is subject to the requirements of FAR 17.106. (a) Performance under this contract during the second and subsequent program years is contingent upon the appropriation of funds. All program years except the first are subject to cancellation. Cancellation shall occur by the dates specified below if the Contracting Officer:
1. Notifies the Contractor that funds are not available for contract performance for any subsequent program year, or
2. Fails to notify the Contractor that funds are available for performance of the succeeding program year.
(b) If cancellation under the clause at FAR 52.217-2, “CANCELLATION UNDER MULTI-YEAR CONTRACTS (OCT 1997)” occurs, the contractor will be paid a cancellation charge not over the cancellation ceiling defined as follows:
Cancellation Program Year Cancellation Date Ceiling Year 2 September, 2021 Year 3 September, 2022 Year 4 September, 2023
Year 5 September, 2024
Table 2
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The Government’s liability for cancellation charges shall not exceed $TBD. This amount will be reduced accordance with FAR 17.106-1 (c)(1) at the conclusion of each program year as follows:
The cancellation ceiling shall be the amount allotted to this contract under the Limitation of Funds clause (FAR 52.232-22(b)) at the time the cancellation notice is issued by the Contracting Officer.
(c) In accordance with the Cancellation under Multi-year Contracts clause, the cancellation charge will cover only:
1. Costs: − Incurred by the contractor and/or subcontractor; − Reasonably necessary for performance of the contract; and − That would have been equitably amortized over the entire multi-year contract period but, because of the cancellation, are not so amortized; and
2. A reasonable profit or fee on the costs.
B.9 Cost Reimbursable
(a) The U.S. dollar costs allowable will be limited to reasonable, allocable, and necessary costs determined in accordance with FAR § 52.216-7, “Allowable Cost and Payment,” FAR § 52.216-8, “Fixed Fee,” and FAR § 52-232-22, “Limitation of Funds,” if applicable, and AIDAR 752.7003, “Documentation for Payment.”
B.10 Payment of Fixed Fee
Pursuant to FAR 52.216-8 and upon receipt of a proper invoice, USAID will pay a portion of the fixed fee in accordance with the following delivery schedule:
Identifier Performance Reference Submission Date Means of $ Amount Objective/Deliverable Section Verification /Output ** Contractor to propose meaningful deliverables A B C Table 3 Pursuant to FAR 52.216-8 payment of the fixed fee shall be made as specified in the Schedule above; provided that the Contracting Officer withholds a reserve not to exceed 15 percent of the total fixed fee or $100,000, whichever is less, to protect the Government's
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interest. The Contracting Officer shall release 75 percent of all fee withholds under this contract after receipt of an adequate certified final indirect cost rate proposal covering the year of physical completion of this contract, provided the Contractor has satisfied all other contract terms and conditions, including the submission of the final patent and royalty reports, and is not delinquent in submitting final vouchers on prior years' settlements. The Contracting Officer may release up to 90 percent of the fee withholds under this contract based on the Contractor's past performance related to the submission and settlement of final indirect cost rate proposals.
Nothing in the preceding paragraph precludes the possibility of both parties agreeing to quick- closeout procedure in accordance with FAR 42.708. And others as proposed.
END OF SECTION B
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SECTION C - Description/Specifications
Statement of Work for Financial Reform Activity in Bosnia-Herzegovina
C.1 Objective
The fiscal sector is one of the key components of every country’s economic condition, which can be described as finding a balance between a government’s financial position and its ability to meet its financial obligations and service commitments on an ongoing basis. Hence, accountability and accessibility of the fiscal sector is of extreme importance for the sustainability of every country/society. The purpose of this SOW is to recommend the set of fiscal reforms that will be supported by the Information Technology (IT) interventions, with the goal of greater fiscal accountability and transparency in both BiH entities, and enhanced services for citizens and private sector. The activity has two main purposes: first to improve fiscal discipline and fiscal regulatory framework conducive to business in BiH; and second, to improve overall public financial management through enhanced fiscal planning, tax compliance, control of spending, and debt management. The activity purpose will be measured by two result outcome indicators of which one will be a score card developed by the implementer in close collaboration with MEL project, while the other indicator will record the number of financial stability management requirements significantly advanced with the Financial Reform Activity in Bosnia- Herzegovina assistance. The second indicator will be measured through a self- assessment questionnaire with stakeholders and targeted government institutions. This activity design document provides rational for such assistance and argues that the fiscal sustainability will be achieved through greater fiscal discipline – through a set of measures designed to enhance and rational the taxation systems, increase transparency, and achieve greater accountability and transparency through improved management of public expenditures at different levels of the economic governance. Since modern fiscal systems depend heavily on quality and efficiency of IT platforms used to improve its functionality, the proposed activity leans heavily on the ICT technology to improve quality of public spending, improve compliance, and enhance business environment through number of e-services.
C.2 Scope of the activity
The project will be implemented for five years, starting in fall of 2020. The overreaching theme of the activity is a fiscal discipline as a remedy for the country’s primary fiscal balance. To improve fiscal discipline this activity will entail multiple initiatives to rationalize and enhance the taxation system and improve control over the pubic funds, both at revenue and expenditure side. All fiscal activities approved under this project will have strong IT component rooted in their scopes, for added benefits such
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as transparency and accountability fraud prevention, fair business environment and enhanced interaction between governance and end-users (citizens and businesses).
The main activity goals are:
- Enhanced modern taxation system that corresponds to the best practices in taxation of EU member countries - Increased tax compliance and reduce tax evasions - Better control over the public expenditures - Improved fiscal discipline and public financial management - Improved business environment through further reduction of burden on private sector
C.3 Executive Summary and Development context
BiH’s public finances is a focus area for the EU that has been continuously reviewed and evaluated by the EC. The Public Administration Reform, which entails public finance reform in Bosnia and Herzegovina, is necessary for establishing effective, accountable and financially efficient services for businesses and citizens. This reform is a precondition for integration into the EU. There are the four major chapters in the acquis that evaluate BiH’s fiscal capacity to join the EU:
1. Chapter 17 of the EU acquis, concerning macroeconomic policy (fiscal and monetary policy), requires mid-term fiscal programming, and monitoring and evaluation of budgetary system results according to the Support for Improvement in Governance and Management (SIGMA) approach. 2. Chapter 22 of the EU acquis, for reducing socio-economic disparities between the regions, and implementation of general regulations and specific regulations related to Structural Funds and Cohesion Fund. 3. Chapter 32 of the acquis relates to the adoption of internationally agreed upon and EU-compliant principles, standards and methods of public internal financial control (PIFC), which essentially need to be in place to ensure transparent use of public funds. 4. Chapter 33 of the EU acquis, concerning the financial resources made up mainly from contributions from Member States, necessary for the funding of the EU budget.
Although USAID does not contribute to all four Chapters (USAID mainly focuses its assistance on Chapters 17 and 32), USAID’s assistance is often indirectly enhancing systems that operate and are reviewed and scrutinized by the EC under different Chapters.
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C.4 Relationship to the CDCS, and applicable agency policies
USAID Mission Strategic Plan. The 2012-2016 CDCS (which was extended throughout the FY20) for the USAID Mission in BiH identified economic growth and the strengthening of economic aspects of governance relevant to the business environment and private sector development as key foreign policy priorities for the United States Government (USG) in the country.
Development Objective and Crosscutting Linkages. The proposed Financial Reform Activity in Bosnia-Herzegovina which will be implemented under the PAD 2.2, Improving Economic Governance (IEG) Project, and in close cooperation with other USAID-funded projects, is designed to address critical needs identified in BiH’s CDCS. The overarching objective of this economic development project will indirectly address several crosscutting initiatives: 1) anti-corruption measures by simplifying procedures for businesses and citizens and by reducing opportunities for regulatory abuse that deter private sector development; 2) improved business enabling environment; and 3) creation of the single economic space in ethnically divided BiH
Linkages with the Results Framework. The following hypothesis designed by EG office is applicable to this activity:
This Project Design Paper (PDP) argues that tThe fiscal sustainability will be achieved through greater fiscal discipline – through measures designed to enhance the taxation systems, increase transparency, and achieve greater accountability through improved management of public expenditures at different levels of the economic governance. Since modern fiscal systems depend heavily on quality and efficiency of IT platforms, this PDP note states that deployment of such systems will improve efficiency and transparency of the government spending by increasing scrutiny over the government’s transactions, while minimizing discretion of public officials. Further, this PDP argues that tThe proposed activity will benefit the local business environment through reducing cost of doing business in BiH and by introducing greater scrutiny over illicit funding flows, which decrease competitiveness and disadvantage compliant businesses.
For this hypothesis to hold the businesses community, Civil Society Organizations (CSOs), media and governments at different levels must be willing and engaged in the reform and the necessary regulatory framework must be developed and implemented.
The planned project falls under and it will be implemented and accounted for under the DO2: Economic Growth/Economic Opportunity, as identified in the 2012-2016 USAID/BiH Country Development Cooperation Strategy. The activities that will be implemented under this project will directly support Intermediate Result (IR) 2.2 “Improved economic aspects of governance relevant to business activity”, with a focus on Sub IR 2.2.1 “Regulations and policies which foster a single economic space and private sector development and investment”.
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This IR was envisioned to improve business-relevant strategies and policies that will stimulate economic growth and attract investment by improving the economic governance while reducing corruption and improving the overall image of the country.
C.5 USAID Achievements in the Fiscal Sector to date
This section provides a brief overview of USAID funded activities related to the fiscal sector.
1. FAR Project (2014-present): Established the Registers of the Para-fiscal fees in both entities and Brcko District. Introduced umbrella Laws on Fiscal systems that codify the Registers effectively preventing chaotic introduction of new para-fiscal fees by different levels of the government. Reduce, consolidate or terminate number of unjust fees. Introduced e-filing in Respublika Srpska and developed number of IT tools that enhance communication between the government and citizens. Assisted Tax administrations in both entities to digitize and improve their processes and procedures. Provide IT tools for different levels of government to forecaster revenues and microsimulations to predict revenue implications due to policy changes (for Personal Income Tax (PIT), Corporate Income Tax (CIT), social contributions, and property tax). Enhance risk-based audit system in FBiH. Provide solutions for increased compliance of providers of games of chance. 2. TAF Project (2010-2013): Completed the efforts for the Unified Collection System (UCS) in FBiH and RS. Implemented regulations and IT solutions for detecting stop- fillers and non-fillers of direct taxes. Introduced a simplified payroll processing IT system by reducing the number of payment orders for the average of 10 orders down to five. Harmonization of Direct Taxation within Bosnia and Herzegovina by focusing on Brcko District as the direct taxation differed there from the entities. New Personal and Corporation Income tax laws drafted and enacted in Brcko District. Development and Implementation of Audit software to automate the taxpayer audit processes and to avoid discretion among tax administration staff in the selection of returns for audit. Developed the Fiscal Analyses Capacity in the RS and the FBiH by providing training on micro-simulation models using internationally recognized STATA software. 3. ELMO Project (2006-2010): Introduction of the Unified Collection System (UCS) in Republika Srpska and FBiH for simplified, one-stop-shop registration/deregistration of employees for taxes and social contributions. 4. TARA Project (2006-2010): Reform of direct taxation in both entities. Harmonization of direct taxes by introduction of the Personal Income Tax (PIT) and Corporate Income Tax (CIT) in RS and FBiH, at unified/identical rates. Modernized TAX administration
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systems. Introduction of the Property Tax in RS, and Brcko District (FBiH delayed the implementation). 5. TAMP Project (2001-2006): The reform that modernized tax structures in both entities and Brcko District. During this project, a work on Personal Income Tax and Corporate Income Tax commenced in both entities.
C.6 Other Donors in the Fiscal Sector
In addition to the USAID’s efforts in the fiscal sector, other donors recognized the importance of the sound fiscal management for the country’s economic and political stability.
European Commission
Given that the economic criteria for integration with the EU is prescribed in the SAA agreement, it is logical that the EU Delegation to BiH is one of the major donors in the reform of BiH’s public administration, including public finances and the fiscal system. In 2013, the European Commission allocated approximately 47 million Euros for IPA’s Component 1, focusing on Transition Assistance and Institution Building. Of that, approximately 1.6 million Euros will be provided for assistance in public procurement reform. IPA projects funded in previous years are listed below:
• IPA 2007 project “Development and implementation of overall BiH PIFC strategy” designed to strengthen the financial control environment of public administration. It ended in April 2012. • IPA 2009 project “Capacity building for the compilation of accounting data within the General Government and statistics of public finance.” Its purpose is to support the Ministries of Finance of the State and the Entities and the Brcko District Directorate in providing sound and inter-institutional harmonized data on public finance on the basis of accrual accounting in accordance with international, especially EU principles, standards and practices. It will end in early 2014. • IPA 2010 project “Coordination of policy making capacities and public financial management” with the purpose of improving the quality of fiscal policy and the links between policy makers and budgeting procedures. • IPA 2011 fund: EC allocated approximately 4 million Euros for public finance restructuring, and financial management in compliance with EU standards. Component I of the project is related to the strengthening of treasury operations at the level of the state and the entities and is currently in the drafting phase of terms of reference. • IPA II Fund: IPA II sets a new framework for providing pre-accession assistance for the period 2014-2020. Bilateral IPA II allocations in the period 2014-2020
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amount to €552.1 million (including funds for the Civil Society Facility (€ 9.1 million), Regional Housing Program (€ 10 million) and special measures following 2014 floods (€ 51 million). The most relevant key focus area for the Financial Reform Activity in Bosnia-Herzegovina is Democracy and Government which focuses on improving economic governance, public financial management, public service delivery, and anti-corruption.
PARCO (Public Administration Reform Coordinator’s Office)
The Government of BiH, through the Council of Ministers (CoM) and the Public Administration Reform Coordinator’s Office (PARCO), is tasked with implementation of the public administration reform projects. Under PARCO, a Public Administration Reform Fund (PAR Fund) has been established as a source of financing for technical assistance in the implementation of the projects that were defined in the Action Plan (later modified and referred to as the Revised Action Plan – RAP 1). Main contributors to the Fund are international donors and foreign governments: Delegation of the European Union in BiH, Ministry of Foreign Affairs of Great Britain, Swedish International Development Agency (SIDA), The Royal Netherlands Embassy, and Ministry of Foreign Affairs of the Kingdom of Norway. However, the reforms under PARCO are often implemented at a very slow pace and do not meet the expectations of the entity ministries. Although PARCO still formally exists, most of the international donors (as well as the entity governments) have refused to extend financial support to PARCO, which was in the past became notorious for its inefficiency.
IMF (International Monetary Fund)
The IMF Mission is a strong supporter of fiscal sector reform. IMF and USAID coordinated their activities in the fiscal arena in past years: USAID’s ELMO and TAF activities (Unified Collection System and Payroll Processing System) were recognized by the IMF as highly important reforms and were included in the negotiations for the Stand – By – Arrangement with BiH authorities. IMF also strongly supports work of all four Tax Administrations (TAs) in BiH, and conditions further monetary assistance for the country with direct assistance to the TAs. USAID traditionally has excellent relationship with IMS, as in the past many reforms made it into SBA agreements with the entity governments.
GIZ (German Government)
There is ongoing cooperation between the Governments of BiH and the German GIZ project for technical assistance for public administration reform. This project will introduce electronic processing in the public procurement system of Bosnia and Herzegovina. GIZ also supports the Public Procurement Agency (PPA).
DFID (ended in 2010)
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The Project for Strengthening Public Expenditure Management in BiH addressed the process of budget planning and preparation at all levels and has introduced the process of “Budget Planning in 10 Steps” representing basic concepts of program budgeting and strengthened medium term budget planning and preparation. In 2013, DFID initiated basic education on program budgeting for budget users and MOF employees.
C.7 Planned activities
A.1. Assistance for improved fiscal planning and analysis Beneficiary: State (Indirect taxes), FBiH, RSBiH, Brcko District BD, Parliament members, non-governmental groups Focus of assistance: Fiscal policy/ fiscal discipline
The capacity for static macroeconomic modeling and forecasting is still insufficient at all levels of government. Forecasting of expenditures is weak while analysis and forecasting of tax gaps is non-existent. Further, static micro-simulations are not inclusive of indirect taxes which represent approximately 70% of all tax-related revenues. The static micro- simulation models need to be expanded to include Cantons (so far only Sarajevo Canton was covered by USAID assistance), as social welfare/benefits/revenues are at the level of Cantons in the FBiH. As currently there is no modeling analytical unit in the Ministry of Finance, in order to expand the capabilities for fiscal accountability and fiscal oversight in BiH, this activity should train non-profit professionals in statistical modeling. Also, governments must learn other modelling technics such as dynamic modeling, an exercise that considers the corresponding "dynamic effects"--changes to the economy that are caused by the tax changes themselves. This modeling which includes the impact of population age(ing) and demographic changes are highly relevant for the current economic and development moment of BiH. And lastly, current modelling does not include behavioral elements that can be incorporated into static and dynamic models, to help us understand the possible changes in behavior as a result of reforms.
Activities will include:
- Analyze the current level of static (macro and micro) modeling and identified future needs for each level of government - Provide analysis of IT requirements required for continued interventions on static forecasting through follow-up training and routine training in institutions (licenses, etc.) - Further expand the knowledge and training on static macroeconomic forecasting, to include forecasting of expenditures and forecasting of tax-gaps as information
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provider for the ministries of finance on possible maximum tax revenues (State, Entities, Brcko District, Cantons) - Continue and further expand the knowledge and training on static micro- simulations through follow-up and routine training. Expand the current versions of micro simulations which are static in time to include time dimension for multi- year simulations - Further expand the knowledge and training on static micro-simulations to include simulations of indirect revenues - Further expand the knowledge and training on static micro-simulations to include direct revenues and social benefits (for Cantons) - Further expand the knowledge and training on static micro-simulations to include direct revenues and social benefits (for Parliamentary specialized working groups and non-government stakeholders) - Procure software and licenses for dynamic modelling (State, Entities, Brcko District) - Provide training on developing dynamic models, enabling development of dynamic models with static ageing where ageing is carried out through individual weights which are recalculated in line with demographic changes - Provide training on static and dynamic modeling that is inclusive of behavioral elements - Expand models to enable additional modules, which require the multi-year simulations (pension module, health-care module, long-term care module) - Provide education on fiscal analysis to enable interpretation of the results, particularly on a follow-up steps that include setting reform goals, measuring inequality and progressivity, vertical and horizontal equity, redistributive effects, simplicity, costs of reforms, potential influence on the deadweight loss, etc.
Expected Results:
Result 1: Analytical capacity of the Fiscal Council (FC), Federation of BiH Ministry of Finance (FBIH) and Republika Srpska Ministry of Finance (RS MoF) strengthened, resulting in enhanced fiscal analysis, forecasting and policies, planning and reporting Result 2: Macro-econometric and micro models implemented at State and the level of the entities. Result 3: Dynamic and behavioral models introduced in economic forecasting in BIH, at different levels of the government. Better forecasting of changes to the economy resulting in progressive policies.
A.2 Strengthening of the FBiH and Republika Srpska Health Sector Treasury Systems
Beneficiary: Federation of BiH (Cantons and municipalities)
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Republika Srpska (Health Sector Institutions) Focus of assistance: Public revenue/expenditure, fiscal discipline
Entering of transactions for budget users for health sector institutions in both entities, which are currently outside the system, is done by filling in paper forms. This is a slow, non-transparent process of reporting, open to mistakes and delays, particularly when preparing consolidated statements. Therefore, it is necessary to expand the treasury business operation and the real-time IT system to all budget users of the FBiH and RS Health Institutions to offer them a more efficient and transparent management of public funds.
In Republika Srpska, the government is taking the phased approach to inclusion of the health sector (HS) into the Treasury System (TS). In the Federation of BiH, USAID will select the pilot Cantons for inclusion of the health sector into the treasury operations.
Activities will include:
- Updated analysis and inventory of the present state of the TS system at the lower levels of governance in FBiH, identifying issues and weaknesses and focusing on effective solutions for Health sector in FBIH (focus on inclusion of HS into Cantonal TS) - Detail analysis of the present financial and technical capacity and condition of FBiH HS and the arrears in FBiH HS - Select 3 pilot Cantons for inclusion of the Health Sector into TS operations - Implementation of the most viable solution for inclusion of selected cantonal Health sector institutions into Treasury operation - Further advancing of the TS system in RS Health Sector (coordination and technical assistance for phased integration of health institutions into the RS TS)
Expected Results:
Result 1: Analysis produced, recommending the most viable solution for FBIH health sector TS system Result 2: Upgrades to the TS system(s) for number of Cantons in the FBiH (if required) Result 3: Number of health sector institutions in the FBiH included in a real-time treasury system. Result 4: Additional health sector budget users in RS included in the RS Treasury System
A.3 Strengthening of the business environment in BiH
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Beneficiary: Federation of BiH (FBiH)/Cantons, Republika Srpska (RS), Brcko District (BD) Focus of assistance: Business environment/parafiscal fees
There is excessive number of parafiscal fees and charges that are imposed on businesses and citizens at all levels of the government. In order to keep the momentum for further abolition of unjust fees and charges, USAID will continue with the adoption of the Law in FBiH, as well as on orchestrated work for elimination /consolidation/reduction of charges in both entities and BD. The continuation of these works is fundamental for creation of better business environment.
Activities will include:
- Adopt innovative technical approach to address the issue of para-fiscal taxes; Draft legislative amendments to improve the relevant legislation and eliminate burdensome fees. - Assist all levels of the government in identifying parafiscal fees and charges; promote efficient reduction or abolition of parafiscal fees. - Assist different levels of local government to replace the lost revenues by identifying other more productive and investor-friendly sources of revenue.
Expected Results:
Result 1: # of nuisance fees eliminated /reduced in both entities and BD Result 2: Fiscal stability of different levels of local government preserved Result 3: Cost and time for business operations in BiH reduced
A.4 Strengthening Public Debt Management
Beneficiary: State, FBiH, RS, Brcko District (BD)
Focus of assistance: Fiscal Sustainability – Debt Management
Bosnia and Herzegovina does not have an overreaching system for public debt management. The State, two entities and Brcko district are using old Access databases to record and trace the external debt, while internal debt is recorded in Excel files. Risk management and analyses are very poor and random. The contractor shall provide technical assistance in implementing IT solutions for debt management.
Activities will include:
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- Finalize/verify agreement with the BIH authorities (State, Entities) for viable IT solution for debt management (Focus on Debt Management and Financial Analysis System – DMFAS system for being reasonably priced, already approved from all 3 governments and for the fact that provisional agreement with United Nations Conference on Trade and Development (UNCTAD) already exists) - Assist BiH authorities in implementation of legislative and procedural changes if required - Assist UNCTAD in defining business, administrative and legal requirements for the new system at all levels of governance - Assist UNCTAD in implementation, expansion and modification of the system to cover all levels of the government based on the EC analysis and WB recommendations.
Expected Results:
Result 1: Legislation and procedures improved to enable software installation Result 2: DMS system installed at all levels of the government (State, both entities) using appropriate tools and techniques to manage and use the best methods and procedures for debt management. The IT solution will increase analytical capability of the three MoFs in debt management and debt reporting. It will also Increase the accuracy in the public debt reporting process.
A.5 Increased tax compliance
Beneficiary: MOFs in FBiH, RS, and BD (and Tax Administrations) Focus of assistance: Tax compliance – reducing tax evasion and improving services to citizens; Domestic Resource Mobilization
To increase the tax compliance and improve public revenue collection, while simultaneously leveling the playfield for compliant businesses, the contractor will implement several initiatives under this component. All IT solutions will be deployed on the current TA FBiH and TA RS infrastructure and environment, which satisfies all IT security concerns.
1. Address the widespread tax avoidance through offshore transactions
This activity aims at helping BiH mobilize domestic resources through increased scrutiny and control over the Illicit Finance Flows (IFF) or tax evasion. There are between 100 and 200 offshore companies associated with BiH citizens which are registered in the well- known tax havens, often for sole purpose of tax avoidance, i.e. IFF. The IFFs are capital flows that are illegal in the way they are created, transferred, or utilized. IFFs undermine
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fiscal stability and damage the competitiveness of compliant local companies. The most common IFF-related actions relevant to BiH companies are:
- tax avoidance through offshore companies
- non-transparent privatization of public enterprises through virtual offshore companies
- trade mispricing or one of sub-categories that fall under this category
BiH should address this issue by introducing efficient policies, procedures and mechanisms that will prevent such behaviors and tax leakages to avoid fiscal deficits. The IFFs could be a highly politicized and sensitive issue. This activity requires active participation of tax administrations in BiH and data exchange at the highest levels as well as internationally. This component requires complex and safe data exchange mechanisms, but also the political will and commitment, which seems to exist now.
In order to address the issue USAID needs to understand the types and volume of the IFFs in BiH. The first remedy for preventing tax avoidance would be through the appropriate legislative instruments known as specific and general anti-avoidance rules. Specific rules target the specific types of abuse and may include anti-avoidance clauses in tax treaties and regulations that prevent profit shifting to tax havens. General rules provide generalized definitions and procedures for preventing tax avoidance.
Activities will include:
- Work with tax administrations to analyze the transactions with tax-haven countries, analyze export-import transactions, and apply risk-based auditing to identify possible dishonest transactions
- Work with tax administrations to establish relationships and signed tax agreements & treaties with the relevant tax administrations in the region and outside the region (with main trade partner countries.
- Strengthen BiH’s technical capacity to fulfill its role in Organization for Economic Co- operation and Development (OECD) and in forums focusing on IFFs; help local authorities to adopt international standards on transparency and information exchange for prevention and detection of tax avoidance.
- Define specific sets of data and activities to meet the OECD Global Forums’ requirements. Define tasks required for data and information exchange
- Implement 13 tasks/requirements associated with Base Erosion and Profit Sharing (BEPS) project requirements (Action 13). Meet the Country-by-Country BEPS reporting standards
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- Use available BEPS tools and assistance programs to benefit BiH tax administrations
- Explore commonly used solutions and design software solution for BiH, for information exchange on regular basis according to the OECD Global Forum’s specific standards and for the BEPS Country-by-Country reporting. Define a way in which data and information will be exchanged, considering complex governmental structure in BiH (four tax administrations)
- Draft specific and general anti-avoidance rules for the TAs
- Provide capacity building assistance to the TAs
2. Strengthen the technical capacity of the three tax administrations, improve information exchange, digitize internal processes and enhance IT systems for efficient services for private sector and citizens
USAID will improve the business environment in both entities by strengthening the capacity of the on-line tax e-services in both entities and Brcko District. The goal of this activity is to introduce modern IT solutions which will reduce work loads and burden on tax officials, while resulting in savings in time and money for employers, citizens and Tax Administrations.
FBiH Activities will include:
a. Facilitate data exhange between FBiH TA and FBiH Financial and Information Agency (FIA):
- Analyse and define information and data that needs to be exchanged on the regular basis under and according to specific protocols - Design and develop software solution that will enable interoperability and data exchange between these two institutions.
b. Anlayze the business processes in the FBiH TA to identify weaknesses and recomend solutions:
- Perform a a comprehensive SWOT analysis, to include all phases of revenue collection from tax filing to enforced collection and provide recommendations for improvements - Based on findings of the SWOT analysis recommend reform of organisational and work procedures in the tax administration for different areas of work, e.g. Inspection, revenue collection, reporting etc.
c. Provide IT support for the further digitization and automatization of business process, more efficient risk based auditing and revenue collection
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- Provide upgrades and expand the TA's ADRIS IT system for inspection services - Enable interoperability and data exchange with the TA's nPIS system for enhanced data exhange - Develop interactive database of taxpayers that are under investigations or sucbject of criminal investigations andcourt proceedings. Enable interoperability and data exchange with the ADRIS software (possibly develop this as an additional modul to ADRIS system).
RS Activities will include:
- Annual Online Statement: Develop the web-based application that will allow all employees in the Republika Srpska to log on to the Tax Administration’s web site and see all their tax payment and social contribution payment history and records. The Aplication works in real time and must ensure data privacy and cyber security standards. A legislation changes may be needed to enable public access to annual statement data on paid contributions.
- Early warning system in RS to alert TA of non-compliance and failure of businesses to report taxes
- E-tracking of seized assets, tax appeals and law suit cases – develop a database that helps monitor the disputed cases, or the way they are settled so do not get timed out to expiry of statutes of limitation
- Provide additional e-services that will improve business operation of the tax administrations and esy burden on rpivate sector and citizens, including communication tools with the clients
BD Activities will include:
a. Anlayze the business processes in the BD Direction for finances (DIF) to identify weaknesses and recomend solutions - Perform a a comprehensive SWOT analysis, to include all aspects of DIF with the focus on the TA and provide recommendations for improvements
b. Provide IT support for the further digitization and automatization of business process, more efficient risk based auditing and revenue collection in the BD TA
3. Enhance the functionalities of the Unified Collection System (UCS) for registration and collection of social benefits in both entities. The activity is aimed at functional expansion of the existing IT platform for the Unified Collection System. The expansion is required in both BiH entities.
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Activities in RS will include:
- Analysis of the current condition and needs for upgrades in RS, including legislative deficiencies and required changes - Design and implement the IT solutions for improved management and reporting in USC, to address the specific needs and requirements form each of the extra- budgetary funds (pension, health, employment and child protection fund). These are sets of small interventions that are required in USC system to enhance reporting and data exchange between the responsible Tax administration and funds.
Activities in FBiH will include:
- Harmonization of the legal acts regulating registration and aplication process in USC; enhancing process of issuance of certificates and forms by the Tax administration to beneficiaries (businesses and citizens) by further simplification and digitization. Furhther expansion of the USC system with additional modules or development of applications which will be interoperabille with USC - Further digitization of business processes and services related to USC provided by the tax administration. Introducing electronic submission of social welfare/insurance applications, as well as all electronic reporting on obligations and payments, and other means of enhanced electronic communications with benefitiaries of the system (companies and citizens)
Expected Results:
Result 1: Tasks/requirements associated with Base Erosion and Profit Sharing (BEPS) project requirements (Action 13) implemented Result 2: Reporting on BEPS Country by Country (CbC) implemented Result 3: Specific and general anti-avoidance rules implemented Result 4: Data exhange between FBiH TA and FBiH Financial and Information Agency established Result 5: Additional IT support for the further digitization and automatization of business process impleemnted in Tax Administrations, resulting in reduced time and cost for citizens
A.6 Improved quality of budgeting and public spending
Beneficiary: FBiH & Cantonal Ministries of Finance; Brcko District Focus of assistance: Public Finance Management/Budget planning/Public expenditures
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At the moment, there is a total imbalance between the government’s strategic planning and its spending. BIH’s ability to access EU assistance and funds will be viewed through the country’s quality of economic governance and fiscal management. For the potential member countries, the EU’s enlargement plan requires sound fiscal discipline and management that provides assurance for strong economic governance that can manage the EU accession funds, such as the IPA. Essentially, this boils down to proving that your country is capable and ready to manage the accession funds in responsible and transparent manner, in order to be able to manage the large budgets associated with the full EU member-countries. The bottom line is that BiH needs to upgrade the quality of its spending, based on the strategic prioritizing and performance-based evaluation of results.
Activities will include:
- Evaluate progress made by USAID and EU-funded activities in terms of strategy and methodology for program and performance budgeting - Coordinate its workplan and actions with the EU, and relevant Ministries of Finance which will be in focus for USAID’s assistance - Provide training on program and performance budgeting for cantonal budget users - Adjust and deploy the software application for program& performance (P&P) budgeting, which will be developed under the FINRA for Sarajevo Canton, to other FBIH Cantonal MOFs, and Brcko District, integrated in the e-budget software - Work with the relevant Ministries of Finance to create spending programs; Work with MOFs and budget users to design and approve the planned results, and to determine measurable performance indicators for each budget user
Expected Results:
Result 1: Cantonal budget users familiar with program and performance budgeting Result 2: Software solution for P&P budgeting deployed in e-budget software in all cantons Result 3: Spending programs developed in accordance with strategy and methodology; results and indicators developed for all budget users.
C.8 Monitoring, Evaluation, and Learning (MEL)
Monitoring and evaluation of performance and impact will be a collaborative process with the participation of the project implementer(s), USAID, and the third party (MEL contractor). USAID will conduct a third-party performance evaluation for this award. The evaluation will be conducted to evaluate activity performance and to ensure that the approach is relevant to the current context.
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USAID will monitor the impact using the approved project-level logical framework (provided under Attachment J.4 MEL Plan Template) that provided basic guidance for project monitoring and evaluation. For the Financial Reform Activity in Bosnia- Herzegovina, USAID in cooperation with a third party contracted under the M&E award will develop an activity-specific indicator named Economic Governance Index (EGI), and the self-assessment questionnaire through collaborative work with stakeholders and targeted government institutions.
These indicators will be tailored to aggregate and analyze outputs from the individual sub- activities implemented under this reform and place them in a context of the overall achievement towards the DO Purpose and Goal. The overall EGI indicator will have to provide an overall review of the achieved improvements in fiscal efficiency, improved compliance in revenue collection, and improved business environment in terms of reduction of cost and time to operate a business, while the self-assessment questioner will measure and record the perception of the stakeholders on the progress achieved towards meeting financial stability requirements. The minimum agreed number of measurable outputs that will be collected by the implementer of this activity, aggregated and combined by the third-party M&E contractor in this process are listed below:
Assistance for improved fiscal planning 1. # of macro-econometric and micro and analysis models implemented at State and the level of the entities. 2. Dynamic and behavioral models introduced in economic forecasting in BIH, at different levels of the government
Strengthening of the FBiH and 1. Number of health sector institutions Republika Srpska Health Sector in the FBiH included in a real-time Treasury Systems treasury system 2. # of additional health sector budget users in RS included in the RS Treasury System Improved business environment in BiH 1. # of nuisance fees eliminated /reduced in both entities and BD 2. Cost and time for business operations in BiH reduced
Government debt management 1. Number of procedures/regulations strengthened /IT systems introduced
Improved tax compliance 1. # of requirements associated with Base Erosion and Profit Sharing
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(BEPS) project requirements (Action 13) implemented 2. # of specific and general anti- avoidance rules implemented 3. Data exhange between FBiH TA and FBiH Financial and Information Agency established 4. # of IT solutions and upgrades impleemnted in Tax Administrations 5. Amount of revenue collected as direct result of USAID compliance initiatives
Improved budgeting and public 1. # of software modules for P&P spending budgeting deployed in e-budget software in cantons (1-10) 2. # of spending programs developed in accordance with strategy and methodology Table 4 The Contractor shall propose an M&E plan that will include all indicators necessary for activity monitoring. The M&E plan shall include baseline data, and clear targets throughout the life of activity. Also, the Contractor shall develop a Performance Indicator Sheet (PIRS) for each indicator in the M&E plan (PIRS template to be provided by USAID/BiH).
In addition, the contractor must include the following Standard Foreign Assistance Indicator: Percent of U.S. Government-assisted organizations with improved performance (also known as: CBLD-9). This indicator measures whether USG-funded capacity development efforts have led to improved organizational performance in organizations receiving organizational capacity development support. This indicator should only be used when an activity intentionally allocates resources (human, financial, and/or other) toward strengthening organizational capacity and undergoes a deliberate performance improvement process that is documented. Details and resources related to this global indicator can be found on this link https://www.usaid.gov/npi/capacity- building-indicator-resources.
The last stage will be the learning process: This is often omitted because organizations have not adopted monitoring and evaluation as a way of evolving, and M&E is often done internally by the missions or projects. Since this is not the case with the Financial Reform Activity in Bosnia-Herzegovina, (as described above, the third party will be aggregating, analyzing and interpreting the measurable outputs), we can stipulate that the M&E results will be used for learning purposes. The outputs and milestones that will be defined in the
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work-plan and measured continuously during the implementation will be used for adjusting purposes during the project cycle in response to ongoing events.
C.9 Sustainability Analysis
To address the sustainability issue in a broad context, in order to protect the USG investment in the targeted sectors by ensuring permanence of the implemented reforms, USAID decided to design its activities around the relevant recommendations prescribed in the EU accession documents for BiH. These reforms are required for EU accession, so their sustainability is guaranteed by the strict EU conditionality and driven by the country’s strong commitment and keenness to join the EU. USAID also consulted the recommendations for BiH prescribed by the International Monetary Fund and the World Bank.
In order to verify the importance of the activities described in this PAD, USAID had consultations with host government officials during the concept and project design phases. Most of the activities proposed in this PAD were recommended by the relevant host government officials, or the local authorities confirmed their interest in the reforms during the consultations. In order to create a sense of ownership with the host government, USAID will include economic governance authorities in all phases of the project implementation. USAID/EDO’s technical team plans to identify champions for each of the proposed activities/reforms. These champions may include entire governmental agencies that can carry out the burden of implementation, or individuals from the government that have authority to make changes, NGOs, political parties etc. USAID plans to develop strong cooperation in the form of official coordinating/implementing bodies/workgroups that will include USG agencies but also the other donors and local partners. This broad inclusion of all stakeholders in all phases of planning and implementation was a key ingredient for USAID’s achievements and successes in a policy arena to date.
USAID also anticipates that most of hardware and software under the project will be procured locally or in US, but extensive knowledge and understanding of the EU PFM standards and regulations may be required during the implementation. Therefore, the authorized geo code for this contract is 935, to ensure adequate assistance is provided to the beneficiaries. Furthermore, to ensure appropriate technical skills and transfer of knowledge related to new ICT systems and databases, USAID insists on maximum engagement of the local ICT consulting companies, and full participation of the beneficiaries/recipients in all phases of the system(s) development.
The local partners and beneficiaries are willing and ready to accept the transfer of the hardware and software that will be provided under this project. All partners confirmed that they will cover the costs associated with maintenance and upgrades of the systems provided under this project, including the software licenses. To verify this, USAID plans to sign a Memorandum of Understanding with the relevant governments and governmental institutions which will specify the roles and responsibilities of USAID and the host government beneficiaries, including training, maintenance, renewal of licenses and
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warranties. Further, USAID plans to utilize the existing agreements that both entity governments have already signed with the major IT providers, such as Microsoft Inc. These existing Microsoft Products and Services Agreements (MPSA) for entity governments consolidate purchasing of Microsoft cloud services, software, and Microsoft Software Assurance. These are commitment-based licensing agreements for the governments, which enable governments to use Microsoft products. These are already existing agreements. All activities that are described in this PAD have a strong capacity building component that anticipates extensive training and transfer of knowledge to the final beneficiaries.
C.9 Environmental Analysis
As provided in USAID regulation 22 CFR 216 Environmental Procedures, all activities under the Fiscal reform fall under the categorical exclusion provided in Sections 216.2(c)(1)(i) and (c)(2)(i), for training and technical assistance, as they will not result in adverse environmental impacts. An Initial Environmental Examination (IEE) Amendment for PAD 2.2 level, recommending Categorical Exclusion (CE) for all fiscal activities was approved by the Bureau Environmental Officer (BEO) on October 02, 2018. The valid IEE AMD covers this activity until 09/30/2022. All components of this activity are categorically excluded from further environmental review.
C.10 Gender Analysis
All activity components will follow the applicable recommendations from 2019 Gender Assessment. To ensure gender equality the implementers will be asked to ensure gender balanced representation and participation in policy-making processes. USAID insist on improving the socio-economic situation of women when analyzing and drafting regulations/policies. Also, Project Manager/COR shall ensure gender balanced participation in all USAID funded capacity building events, trainings, technical assistance programs, study-tours etc.
The applicable recommendations are summarized below:
• Extending the set of data for gender to static and dynamic models to simulate fiscal policy impact analysis separately for women, men and the younger population • Through public finance support consider integrating gender-responsive budgeting capacities, especially on the public revenue side of budgets • Require all implementing partners to collect and report gender-disaggregated data. • Monitor work plans for consistency with gender considerations in proposals. • Continue to monitor gender components in evaluation criteria in USAID’s procurement processes. • Improve gender statements in activity approval documents. Ensure that no new activity documents are approved without an adequate gender statement.
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• Strengthen gender language in contracts/grants/ cooperative agreements.
C.11 Gender and Disability Considerations
Gender
Throughout its work, USAID aims to integrate a gender perspective that identifies and addresses the differential impact of development on women and men, as well as other groups such as the LGBTI community. As a policy, USAID strives to promote equality, in which all people have equal opportunity to benefit from and contribute to economic, social, cultural, and political development; enjoy socially valued resources and rewards; and realize their human rights. Ultimately, the goal of development programs is to achieve healthy outcomes and transform norms towards greater equality. USAID requires that all activities that the Agency supports fully address gender considerations, ensuring that both men and women benefit from USAID support and that gender awareness is a built-in component of a project's activities. Disability Considerations
USAID has a priority to help underserved groups, including people with disabilities. According to the United Nations Convention on the Rights of People with Disabilities, a person with a disability is defined as someone who has long term physical, mental, and intellectual or sensory impairments which, in interaction with various barriers, may hinder their full and effective participation in society on an equal basis with others. Under this award, every effort will be made to accommodate the needs of people with disabilities. Furthermore, the offeror/applicant shall include a disability inclusion plan specifically delineating how the project will address barriers for people with disabilities relevant to the project and ensure equal access and disability inclusive development practices.
Gender Performance Monitoring and Evaluation:
There are different gender analysis frameworks and there is no one framework that has been adopted as the standard USAID approach. The offeror shall describe proposed data collection and verification strategies to ensure reliability and accuracy of progress towards expected results related to gender. In all cases the Contractor will be encouraged to collaborate with relevant stakeholders in monitoring efforts to assure that monitoring and evaluation systems are as cost-effective as possible. Most gender analysis frameworks involve collecting quantitative and qualitative information in the following areas:
• Laws, Policies, Regulations and Institutional Practices
• Cultural Norms and Beliefs
• Gender Roles and Responsibilities
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• Access to and Control over Assets and Resources
• Patterns of Power and Decision Making
Disabilities Performance Monitoring and Evaluation:
The offeror shall describe proposed data collection and verification strategies to ensure reliability and accuracy of progress towards expected results related to People with Disabilities. In all cases the Contractor will be encouraged to collaborate with stakeholders in monitoring efforts. The offeror must demonstrate methods and approaches to capture data for project beneficiaries and people targeted for outreach, disaggregated by sex and type of disability and geographic operation area (region/district).
C.12 Critical Assumptions and Risks
Based on the current state of country’s political environment the following are the critical assumptions and risks that need to be taken into consideration.
Critical assumptions are:
• Continued commitment of BiH authorities to pursue implementation of the project and PAR reform • USG assistance budget remains sufficient for effective programming • Stable political and security situation in the region and in the country • EU and other bilateral donors continue supporting BiH on the path to EU membership
Risks are:
• Lack of political will to implement reforms • Continued delays associated with establishment of the new government • Nationalistic rhetoric further divides the reform agenda in BiH
END OF SECTION C
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SECTION D - Packaging and Marking
D.1 Marking
AIDAR 752.7009, “Marking,” (JAN 1993) provides:
(a) It is USAID policy that USAID-financed commodities and shipping containers, and project construction sites and other project locations be suitably marked with the USAID emblem. Shipping containers are also to be marked with the last five digits of the USAID financing document number. As a general rule, marking is not required for raw materials shipped in bulk (such as coal, grain, etc.), or for semifinished products which are not packaged.
(b) Specific guidance on marking requirements should be obtained prior to procurement of commodities to be shipped, and as early as possible for project construction sites and other project locations. This guidance will be provided through the cognizant technical office indicated on the cover page of this contract, or by the Mission Director in the Cooperating Country to which commodities are being shipped, or in which the project site is located.
(c) Authority to waive marking requirements is vested with the Regional Assistant Administrators, and with Mission Directors.
(d) A copy of any specific marking instructions or waivers from marking requirements is to be sent to the contracting officer; the original should be retained by the Contractor.
D.2 Branding
The Offeror shall comply with the requirements of the USAID branding policies available at www.usaid.gov/branding and appropriately mark all deliverables and public communications with the USAID brand.
USAID receives “exclusive branding and marking” for the work conducted under all acquisition awards. This means that the foreign assistance delivered is clearly credited to the American people. It also means that competing logos or identities, such as the contractor’s, are excluded. News releases/media alerts must be coordinated with the Contracting Officer’s Representative (COR). All media releases, press conferences and public events should incorporate the USAID identity. Approval by the USAID BiH Development outreach Coordinator (DOC) should be received before using any printed materials which incorporate the USAID identity.
Program Name: Financial Reform Activity in Bosnia-Herzegovina
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Branding: The branding shall incorporate the message that “This assistance is from the American People” sponsored by USAID.
Positioning on materials and communications: USAID policy requires exclusive branding and marking in USAID direct contracting.
Contractor is required to use USAID identity on any program-related deliverables, commodities or communication to be produced and delivered under this contract. Contractor and subcontractor’s corporate identities are prohibited on all program materials. Marking is not required on contractor vehicles, offices, and office supplies or other commodities used solely for administration of this contract.
Desired Level of Visibility: USAID identity must be prominently displayed on commodities or equipment; printed, audio, visual or electronic public communications; studies, reports, publications, web sites, and promotional and informational products; events and grants under contracts financed by USAID. Visibility for the program is a very important segment of the project implementation and is essential for the success of the
Exceptions: Exceptions and waivers to USAID marking requirements may be granted in accordance with ADS 320.
Other organizations to be acknowledged: Where appropriate and applicable, the branding may acknowledge the cooperation and participation of other organizations deemed as partners of an event or deliverable.
All branding must comply with the standardized USAID regulations on branding. All branding for USAID, its partners, and other Unites States Government (USG) and non- USG entities engaged in a specific activity implemented under this Contract, must have equal representation on all public or internal documentation, publications, advertising, presentations, brochures, etc.
The Marking Plan (MP) shall enumerate all of the public communications, commodities, program materials, events, deliverables, and other items that shall be marked with the USAID identity or brand.
The Contractor will adhere to all USAID policy directives and required procedures on branding and marking of USAID-funded programs, projects, activities, public communications, and commodities with the USAID “Standard Graphic Identity” (or “USAID Identity”) as specified in ADS 320 and the Graphic Standards Manual (GSM).
(a) In accordance with ADS 320, the Branding Strategy (BS) is a part of the contract requirements. Offerors are instructed to prepare a Branding Implementation Plan (BIP) and Marking Plan (MP) to implement the Branding Strategy for this program (Attachment J.3), unless otherwise instructed. Offeror shall submit Branding
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Implementation Plan with proposal and will be incorporated into the contract in Section D. The standard forms for the BRANDING AND MARKING TEMPLATES are located at: http://www.usaid.gov/branding/.
(b) Contractors and subcontractors' corporate identities or logos must not be used on USAID-funded program materials. Marking is not permitted on any communications that are strictly administrative, rather than programmatic, in nature. USAID identity is also prohibited on Contractor and recipient communications related to award administration, such as hiring/firing of staff or renting office space and/or equipment.
(c) Each proposal under this RFP shall provide a program-specific Branding Implementation Plan (BIP) and MP. The contractor shall develop a detailed BIP and MP. The Marking Plan may include requests for exceptions to marking requirements or programmatic reasons, to be approved by the Contracting Officer. Waivers, as defined by ADS 320, may be necessary for compelling political, safety or security concerns or if the marking shall have an adverse effect in the host country. Marking and attribution for physical structures may need to be visible as soon as work commences. If grants are authorized in the Statement of Work, the Contractor shall clearly and conspicuously state in the small grants documentation and all delivered procurement that resources for the grant have been donated by USAID and make clear that the Contractor is acting as USAID's agent.
The Contracting Officer will consider the Marking Plan's adequacy and reasonableness and will approve or disapprove any exemption requests. The Marking Plan will be reviewed to ensure the above information is adequately included and consistent with the stated objectives of the award, the offeror's cost data submissions, and the performance plan.
(d) If the Offeror receives an award, the Marking Plan, including any approved exemptions, will be included in and made part of the Contract, and will apply for the term of the award unless provided otherwise.
D.3 Branding and marking policy
In accordance with provision D.2 above, and where applicable, the Contractor shall comply with the requirements of the policy directives and required procedures outlined in USAID Automated Directive System (ADS) 320.3.2 “Branding and Marking in USAID Direct Contracting” at http://www.usaid.gov/policy/ads/300/320.pdf; and USAID “Graphic Standards Manual” available at http://www.usaid.gov/branding/gsm, or any successor branding policy.
END OF SECTION D
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SECTION E - Inspection and Acceptance
E.1 Notice Listing Contract Clauses Incorporated by Reference
The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with FAR § 52.252-2, “Clauses Incorporated by Reference,” in Section I of this contract.
NUMBER TITLE DATE
Federal Acquisition Regulation (48 CFR Chapter 1)
52.246-5 INSPECTION OF SERVICES - COST-REIMBURSEMENT (APR 1984)
E.2 Inspection and acceptance
(a) USAID inspection and acceptance of services, reports, and other required deliverables or outputs will take place at the below location:
Economic Development Office
USAID/Bosnia and Herzegovina
Robert Frasure Street #1
71000 Sarajevo
Bosnia and Herzegovina
(b) USAID reserves the right to inspect and accept any services, reports, and other required deliverables or outputs where the services are performed and where reports and deliverables or outputs are produced or submitted. The contracting officer has delegated authority to inspect and accept all services, reports, and required deliverables or outputs to the Contracting Officer’s Representative (COR) listed in Section G below.
END OF SECTION E
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SECTION F - DELIVERIES OR PERFORMANCE
F.1 Notice Listing Contract Clauses Incorporated by Reference
The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with FAR § 52.252-2, “Clauses Incorporated by Reference,” in Section I of this contract.
NUMBER TITLE DATE
Federal Acquisition Regulation (48 CFR Chapter 1)
52.242-15 STOP-WORK ORDER (AUG 1989) - ALTERNATE I (APR 1984)
F.2 Period of Performance
The period of performance for this contract is five years from the effective date of the contracting officer’s signature on the cover page until [TBD].
F.3 Place of Performance
The place of performance under this contract is Bosnia and Herzegovina (as specified in the Statement of Work in Section C).
F.4 Performance Standards
USAID will evaluate the contractor’s performance in accordance with FAR § 42.15, corresponding USAID procedures, and the contractor’s adherence to the annual work plan, reporting against its Monitoring, Evaluation, and Learning Plan (MEL) (Attachment J.4), and quality of reports described in Section F below. USAID will evaluate the contractor’s performance during the initial, intermediate, and final periods of the contract in accordance with the Contractor Performance Assessment Reporting System (CPARS). The Contracting Officer and the COR will jointly conduct the evaluation of the contractor’s overall performance. This evaluation will form the basis of the contractor’s permanent performance record under this contract.
F.5 Key Personnel
F.5.1 Contracting Officer consent to replace key personnel
(a) The key personnel who the contractor must furnish for the performance of this contract are as follows:
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No. Key Personnel Position TBD TBD TBD TBD
Table 5
(b) The key personnel identified above are considered essential to the work being performed under this contract. The contractor must remain responsible for providing such key personnel for full-time performance for the term of this contract unless otherwise agreed to by the contracting officer.
(c) The failure to provide the key personnel designated above may be considered nonperformance unless such failure is beyond the control, and through no fault or negligence, of the contractor.
(d) The contractor must immediately notify the contracting officer and the COR of any key personnel’s departure and the reasons therefore.
(e) The contractor must take steps to immediately rectify this situation and will propose a substitute candidate for each vacated position along with a budget impact statement in sufficient detail to permit evaluation of the impact on the program.
The contractor must not replace any of the key personnel without the written consent of the contracting officer whether provided in advance or by ratification.
F.6 Authorized Work Day/Week
(a) Overseas Employees - The work week for the Contractor's overseas employees must not be less than 40 hours and must be scheduled to coincide with the work week for those employees of the USAID Mission and the Cooperating Country associated with the work of this contract.
(b) A six-day work week may be authorized for short term personnel while in Bosnia with no premium pay if approved by the COR.
F.7 Periodic Progress Reports
AIDAR 752.242-70 provides:
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The contractor must prepare and submit progress reports as specified in the contract schedule. These reports are separate from the interim and final performance evaluation reports prepared by USAID in accordance with FAR § 42.15 and internal Agency procedures, but they may be used by USAID personnel or their authorized representatives when evaluating the contractor's performance.
During any delay in furnishing a progress report required under this contract, the contracting officer may withhold from payment an amount not to exceed US$25,000 (or local currency equivalent) or 5 percent of the amount of this contract, whichever is less, until such time as the contractor submits the report or the contracting officer determines that the delay no longer has a detrimental effect on the Government's ability to monitor the contractor's progress.
F.8 Reports
In addition to providing the services described in Section C, and requirements as set forth in AIDAR 752.242-70, Periodic Progress Reports, the Contractor must submit the following reports to the COR specified in Section G.
All written documentation (correspondence, reports, information sheets, updates) submitted to USAID must be written in professional-level English. Reports must be submitted electronically unless otherwise agreed or directed by USAID. In addition to the reports outlined below and elsewhere in this contract, the fluid nature of the planned activity may require the contractor to respond quickly to information requests, often with little preparation time.
Web-based Geographic Information System (GIS) – The Contractor must submit the M&E Plan and Quarterly/Annual Reports with accompanying data on performance indicators to the COR through USAID/BiH’s web-based performance management/geographic information system.
On a quarterly basis the Contractor must also submit to the COR, through the web-based performance management/geographic information system, data identifying the approximate distribution of Activity spending by main work types and key issues. Activity spending must be based on the last three vouchers approved. The main work types are Small Grants; Property, Plants, Equipment, and Technical Assistance.
Reported data on both performance indicators and Activity spending must be geographically distributed whenever possible. During the MEL plan preparation phase, it will be decided on which geographical level(s) each performance indicator will be reported. Reported data on Activity spending per main work type must be geographically distributed by location point for Small Grants, Property, Plants, and Equipment and by geographic level (State, Entity, Canton, and municipality/city) for Technical Assistance.
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All data and deliverables submitted through the web-based performance management/geographic information system will be confirmed by Activity CORs.
The Contractor is responsible for delivery of draft reports, schedules, plans, and other documents described below.
F.8.1 Reports Submission Schedule
(a) The contractor must comply with the below schedule for the submission of each report listed in Table 6 below.
No. Reporting Requirement Submission Date 1 Annual Work Plan Within 60 calendar days after the start date of the contract, and subsequent annual work plans are due no later than 30 days before the beginning of succeeding contract years. 2 Final Monitoring, Evaluation, and Within 60 calendar days after the start date of the Learning (MEL) Plan contract.
3 Quarterly Accrual Reports (based on 10 calendar days before the end of the quarter. USG FY quarters)
4 Quarterly Performance Reports Within 15 calendar days after the end of the quarter. 5 Quarterly Financial Reports Within 15 calendar days after the end of the quarter. 6 Annual Summary Reports Within 30 calendar days after the end of the fiscal year. 7 Demobilization Plan Four months prior to the completion date of the contract 8 Completion Report 60 calendar days prior to the end date of the contract. 9 Special Reporting On a monthly basis.
10 Government Property Reporting Within 30 days after the end of each contract year. Table 6
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(b) The contractor must comply with the schedule for the submission of each Section C deliverable provided under Table 7 below.
SoW Reference Deliverable(s) Due Date Relevant for all IT Technical Review Submission in During first 5 components of the accordance with the USAID ADS months of project Chapter300.3.11.4 and ADS 509 for implementation each IT system, including review of the hardware and proposed software.
Source code for all IT systems Upon completion of each system
For all described systems aside from the system development user acceptance test plan should be Upon completion developed and user acceptance testing of each system (black box testing) by stakeholders/users of the system should be conducted. In addition, the Contractor must provide on-site training and develop user manuals and system technical documentation, including source code to ensure sustainability. The contractor should describe analytics tools to enable easy monitoring of data and enable tighter managerial control and intelligent report generation. A warranty and maintenance period for both systems should also be clearly indicated in the transfer documents.
Activity Component One— A.1.1: Analytical update of the current 3 months after level of static (macro and micro) contract start A.1. Assistance for modeling and identified future needs (continues below) improved fiscal for each level of government planning and analysis
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A.1.2 Analysis of IT requirements required for continued interventions “ on static forecasting through follow-up training and routine training in institutions
A.1.3 Analysis of the software and “ license requirements required for dynamic modelling, and the training plan/dynamic for dynamic modelling for different levels of the government
A.1.4 Software installed 12 months after contract start
A.1.5 Education and trainings and From 12 months knowledge assessment report after the contract measuring level of knowledge before start to the end of and after the education and trainings activity for different types of modelling
Activity Component A.2.2: SWOT analysis and inventory 24 months after Two— of the present state of the TS system at contract start governance in FBiH, focusing on A.2 Strengthening of effective solutions for Health sector in the FBiH and FBIH (focus on inclusion of HS into Republika Srpska Cantonal TS) Health Sector Treasury Systems A.2.3 Detail analysis of the present 26 months after financial and technical capacity and contract start condition of FBiH HS and the arrears in FBiH HS; Report on selected 3 pilot Cantons for inclusion of the Health Sector into TS operations and the MOU demonstrating their commitment
A.2.4 Analysis of required hardware 28 months after and software licenses for the 3 pilot contract start cantons
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Draft System Design and Functional 36 months after Requirements document contract start
Approved System Design and 38 months after Functional Requirements document contract start
Approved Test Plan and completed 55 months after tests, user manual and system contract start documentation completed
Procured and installed hardware and 48 months after software in 3 cantons contract start
Acceptance document for the system 59 months after signed/ Cantonal HS institutions in the contract start 3 partner Cantons fully integrated into the Treasury System
Plan for phased Integrating of RS 3 months after Health Institutions into the existing RS contract start and Health Sector Treasury System annually provided by USAID afterwards after entity budget is publicized
Report on progress towards phased Annually integration of RS Health institutions in following the the TS adopted budget
Activity Component A.3.1: a. Report on identified 4 months after Three— parafiscal fees and charges for contract start reduction or abolition at different A.3 Strengthening of levels of the government; Analysis of the business legislative requirements required to environment in BiH improve the relevant legislation and eliminate/reduce/consolidate burdensome fees in RS, FBiH, BD
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b. Approved action plan to 14 months after eliminate/reduce/consolidate fees contract start in RS, FBiH, BD (approved by relevant governments)
A.3.2 Report on more productive and 18 mos. after investor-friendly sources of revenue contract start for local government to replace the lost revenues generated by lost fees
A.3.3. Draft legislative amendments 22 mos. after contract start required to enable the implementation
Activity Component Four— A.4.1: Renewed/updated agreement 3 months after A.4 Strengthening with the BIH authorities (State, contract start Public Debt Entities) for viable IT solution for debt Management management (Focus on DMFAS system for the fact that provisional agreement with UNCTAD already exists)
A.4.2: Agreement with UNCTAD 4 months after finalized contract start
A.4.3: Hardware and software for 8 months after DMFAS system by UNCTAD contract start procured and installed
A.4.4: System testing completed 10 mos. after contract start
A.4.5: Acceptance letter signed 12 mos. after
contract start Activity Component Five—
A.5 Improving Tax Compliance A.5.1: Analysis of the transactions with 10 months after tax-haven countries, export-import contract start A.5.a Address the transactions, and report on frequency widespread tax and volume of the possible dishonest
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avoidance through transactions based on risk-based offshore transactions auditing
A.5.2: Analysis of the requirements and 12 months after needs associated with the participation contract start and role in the Organization for Economic Co-operation and Development (OECD); Analysis of the required international standards on transparency and information exchange for prevention and detection of tax avoidance; Report on specific activities to meet the OECD Global Forums’ requirements
A.5.3 a: Analysis of software solution for 12 months after information exchange on regular basis contract start according to the OECD Global Forum’s specific standards and for the BEPS Country-by-Country reporting.
b: Approved System Design and 13 months after Functional Requirements document contract start (coordinated and approved with the local stakeholders)
c: First version of the system 16 months after contract start
d: Draft Test Plan 18 months after Approved Test Plan and completed contract start tests
A.5.b. Strengthen the e: Final version of the software 20 mos. after technical capacity of the installed contract start three tax administrations, f: Approved Training Plan and 22 mos. after improve information implemented training with knowledge- contract start exchange, digitize checker questioner internal processes and enhance IT systems for g: Delivery of code and system 24 mos. after efficient services for documentation contract start
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private sector and citizens A.5.4 a. Analysis of software solution for 15 mos. After information exchange between FBiH contract start TA and FIA
b: Approved System Design and 17 mos. After Functional Requirements document contract start (coordinated and approved with the stakeholders)
c: First version of the system 18 mos. after contract start
d: Draft Test Plan 21 mos. After Approved Test Plan and completed contract start tests
e: Final version of the software 24 mos. After installed, and acceptance letter signed contract start
A.5.5. SWOT analysis of business 10 mos. After processes in the FBiH TA and contract star recommendation for organizational restructuring and business process improvements for all sectors of the TA
12 months after A.5.6 Analysis of possible upgrades to contract start the TA's ADRIS IT system for
inspection services, ensbling interoperability and data exchange with
the TA's nPIS system
36 months after A.5.7 Designed, approved, tested and implemented upgrades to the ADRIS contract start
and nPIS systems
A.5.8 a: Analysis of software application for 35 months after contract start interactive database of taxpayers that are under investigations or subject of
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criminal investigations and court proceedings
b: Approved System Design and 38 months after Functional Requirements document contract start (coordinated and approved with the stakeholders)
c: First version of the system 40 mos. after contract start
d: Draft Test Plan 42 mos. After Approved Test Plan and completed contract start tests
e: Final version of the software 45 mos. after installed, and acceptance letter signed contract start
A.5.9 a: Analysis of software application for 24 mos. after Annual Online Statement on paid contract start contributions in RS
b: Approved System Design and 26 mos. after Functional Requirements document contract start (coordinated and approved with the stakeholders) A.5.c Enhance the functionalities of the c: First version of the system 28 mos. after Unified Collection contract start System for registration and collection of social d: Draft Test Plan 33 mos. after benefits in both entities. Approved Test Plan and completed contract start The activity is aimed at tests functional expansion of the existing IT platform e: Final version of the software 35 mos. after for the Unified installed, and acceptance letter signed contract start Collection System (UCS). A.5.10 a: Analysis of other needed e- 26 mos. after applications for simplified taxation and contract start improved business environment in the RS TA
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b: Approved Systems Design and 36 mos. after Functional Requirements documents contract start (coordinated and approved with the stakeholders)
c: First versions of the systems 46 mos. after contract start
d: Draft Test Plan 48 mos. after Approved Test Plan and completed contract start tests A.6 Improved quality of budgeting and public e: Final version of the software 55 mos. after spending installed, and acceptance letter signed contract start
A.5.11 a. Analysis of the current condition 10 months after and identification of specific upgrades contract start to be implemented in RS and FBiH, including legislative changes
b. Approved System Upgrades and 14 months after Functional Requirement documents contract start (coordinated and approved with the stakeholders)
c: First versions of the systems 26 months after contract start
d: Draft Test Plan 30 months after Approved Test Plan and completed contract start tests
e: Final version of the software 38 months after installed, and acceptance letter signed contract start
A.6.1 Analysis of the current state and 5 months after progress in terms of strategy and contract start methodology for program and performance budgeting
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A.6.2 Delivered training on program 14 months after and performance budgeting for project start cantonal budget users
A.6.3 Software application for program 26 months after & performance budgeting (E-budget contract start application) adjusted and deployed in cantonal MOFs
A.6.4 Spending programs for the 48 months after Cantonal MOFs developed in contract start accordance with the P&P strategy and methodology
Table 7
F.8.2 Annual Work Plans
Within 60 calendar days from the start date of the contract, the Contractor must provide to USAID for review and approval a draft work plan for the first year’s activities, schedules and targets. USAID will provide approval to the Contractor of the work plan for the first year’s activities, schedules and targets. This work plan must include a description of the principal tasks and assistance activities to be undertaken by the Contractor over the first year of the contract, a proposed schedule of such activities, a listing of principal counterpart for each proposed activity, and a description and estimate of amounts of short-term expertise, training and other support resources that would be required to provide the assistance proposed.
The work plan must also include a description of what each assistance activity or combination of activities is expected to accomplish and its baseline data and will indicate how and to what extent those accomplishments will contribute to the achievement of overall targets and benchmarks for the project.
It must further include a detailed MEL Plan indicating results indicators. Subsequent annual work plans will be updated annually, due no later than 30 days before the beginning of succeeding year. Unexpected and unforeseen windows of opportunity must be incorporated on a periodic basis. The final work plan is due 10 days after receiving comments.
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F.8.3 Monitoring, Evaluation, and Learning (MEL) Plan
As a part of the initial work plan, the Contractor must provide to USAID for review and approval a draft Monitoring, Learning, and Evaluation Plan (MEL Plan) (Attachment J.4) that allows for measuring implementation progress against performance indicators and related targets and benchmarks. The M&E Plan must clearly correspond to the award and work plan, and must include indicators for the overall performance period as well as for each year. Appropriate consideration/indicators for youth, gender and environment are required. The Contractor must develop performance indicators; collect necessary baseline and annual follow-up data, and numerical targets to measure the results for each activity component and to assess the impact of proposed interventions. The Contractor must produce a Performance Indicator Sheet (PIRS) for each indicator, which will identify the data sources and collection methods.
The Contractor must report on results achieved and corresponding indicators using Activity Indicator Performance Tracking Table (Annex IV in Attachment J.4 MEL Plan Template) in quarterly/annual reports.
F.8.4 Quarterly Accrual Reports
Quarterly accrual reports will be submitted to USAID that will provide contractual information pertaining to the following information:
• Total Estimated Cost remaining in the contract;
• Unliquidated balance in the contract;
• Accrual amount;
• Estimated Pipeline amount
F.8.5 Quarterly Performance Reports
Quarterly performance reports must present progress on all activities and must include the following information at a minimum:
– Outline of activity purpose and approach;
– Description of significant events during the reporting period;
– Status of each of activities and tasks as defined in the Work Plan;
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– Status of overall activity progress per impact indicators as defined in the Work Plan and the M&E plan;
– Achieved outputs compared to planned outputs;
– Achieved outcome objective(s) compared to planned outcome objective(s), or progress towards achieving the outcome objective(s), and an assessment of the likelihood of achieving the planned outcome objectives;
– An assessment of risk factors that may affect achievement of planned objectives; and
– An assessment of possible adjustments in activity implementation, including risk management;
– List of reports/deliverables completed in the reporting period;
– Performance problems during the reporting period;
– Status of budget expenditures;
– List of major activities planned for next quarter including indicators and associated targets;
– Any relevant information that has affected or will affect activity progress.
F.8.6 Quarterly Financial Report
Quarterly financial reports will be submitted to USAID. They should be disaggregated by element level and contain, at a minimum:
• Total funds awarded to date by USAID into the contract;
• Total funds previously reported as expended by contractor by main line items;
• Total funds expended in the current quarter by the contractor by main line items;
• Total un-liquidated obligations by main line items;
• List of the significant expenses incurred during the period;
• Projected expenditures for next quarter;
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• Estimate to Complete Contract;
• Estimate at Completion of Contract.
The contractor is solely responsible for not exceeding obligated amounts, and is reminded of the required notification to the CO as to the percentage of funds expended against the total obligated and available amount as set forth in FAR § 52.232-22 “Limitation of Funds.”
F.8.7 Annual Summary Report
The contractor will prepare and submit to the USAID COR an annual report in TBD after the end of the first full activity year and annually thereafter (unless a different annual schedule is provided by USAID), for each authorized year of performance. Annual reports will summarize activities and results during the year in relation to the approved Work Plan and will be based on the USAID fiscal year, which runs from October 1- September 30.
F.8.8 Regular Meetings
Regular meetings between the Contractor’s key personnel and the USAID COR must occur at least once every two weeks.
F.8.9 Demobilization Plan
Four months prior to the completion date of the contract, the Contractor must submit a Demobilization Plan to the COR. The Demobilization Plan must include at a minimum, an illustrative Property Disposition Plan; a plan for the phase out of in-country operations; a delivery schedule for all reports and other deliverables required under the contract; and a timeline for completing all required actions in the Demobilization Plan to the cognizant Contracting Officer. Both the illustrative and final Property Disposition Plans must address all requirements under U.S. and Bosnia and Herzegovina’s law for the transfer of property and must include the inventory schedule required by FAR 52.245-1, a plan for the disposition of property to eligible parties and a timeline for disposition of such property. The Demobilization Plan must be approved in writing by the Contracting Officer.
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F.8.10 Completion Report
Sixty (60) calendar days from the end date of the contract, the Contractor must prepare a completion report which highlights accomplishments against the work plan, gives the final status of benchmarks and tangible results, addresses lessons learned during the implementation and suggests ways to resolve constraints identified. A final M&E will be part of the final report.
F.8.11 Special Reporting
During the performance of this activity, some special reporting may be required from the Contractor such as a brief paragraph on note-worthy activities and events, successes stories etc.
F.8.12 Government Property—USAID Reporting Requirements
The contractor must comply with AIDAR 752.245-70 “Government Property—USAID Reporting Requirements (July 1997)”, which provides in full:
The term Government-furnished property wherever it may appear in the following clause, must mean (1) non-expendable personal property owned by or leased to the U.S. Government and furnished to the contractor and (2) personal property furnished either prior to or during the performance of this contract by any U.S. Government accountable officer to the contractor for use in connection with performance of this contract and identified by such officer as accountable. The term Government property, wherever it may appear in the following clause, must mean Government-furnished property and non- expendable personal property title to which vests in the U.S. Government under this contract. Non-expendable property, for purposes of this contract, is defined as property which is complete in itself, does not lose its identity or become a component part of another article when put into use; is durable, with an expected service life of two years or more; and which has a unit cost of more than $500. Reporting Requirements: The contractor will submit an annual report on all nonexpendable property in a form and manner acceptable to USAID substantially as follows:
ANNUAL REPORT OF GOVERNMENT PROPERTY IN CONTRACTOR‘S CUSTODY
[Name of contractor as of (end of contract year), 20XX]
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Motor Vehicles Furniture and Furnishings Other Non-Expendable Property Office Living Quarters A. Value of Property as of Last Report B. Transactions during this reporting period 1. Acquisitions (add): a. Purchased by Contractor b. Transferred from USAID c. Transferred from others, without reimbursement 2. Disposals (deduct): a. Returned to USAID b. Transferred to USAID – Contractor Purchased c. Transferred to other Government Agencies d. Other Disposals C. Value of property as of reporting date D. Estimated Average Age of Contractor Held Property Years Years Years Years
Property Inventory Verifications
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I attest that (1) physical inventories of Government property are taken not less frequently than annually; (2) the accountability records maintained for Government property in our possession are in agreement with such inventories; and (3) the total of the detailed accountability records maintained agrees with the property value shown opposite line C above, and the estimated average age of each category of property is as cited opposite line D above.
Authorized Signature
F.9 Evaluation
USAID reserves the right to conduct an evaluation of the Financial Reform Activity in Bosnia-Herzegovina. Unless agreed otherwise by USAID, funds for evaluation are outside the budget for the Contract, and evaluation will be contracted with a third-party contractor. This evaluation will meet all the high-quality evaluation criteria as described in USAID’s Evaluation Policy (the link for this policy: http://www.usaid.gov/evaluation/policy ). The Contractor must provide any documentation or other information required to assist with the evaluation or monitoring mission, and grant access rights.
F.10 Audit
The Contractor will be subject to audit standards and procedures based on USAID regulations and GAAP.
F.11 Submission of reports
The contractor must electronically submit all written deliverables to the COR. Additionally, the COR may request printed or bound deliverables.
END OF SECTION F
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SECTION G – CONTRACT ADMINISTRATION DATA
G.1 Administrative Contracting Office
(a) The Contracting Officer(s) in the Office of Acquisition and Assistance (OAA) at USAID/Bosnia and Herzegovina, physically located at the address found on the cover page of this contract, have the authority to administer this contract.
(b) The contractor will submit any questions concerning the administration of this contract to the Acquisition and Assistance Office at USAID/Bosnia and Herzegovina. Technical questions will be submitted to the COR.
(c) It is the contractor’s sole responsibility to inform the Contracting Officer of any requests that will affect any and all sections of the contract.
G.2 Contracting Officer’s Authority
(a) The Contracting Officer is the only person authorized to make or approve any changes in the requirements of this contract and notwithstanding any provisions contained elsewhere in this contract, the said authority remains solely in the Contracting Officer. In the event the contractor makes any changes at the direction of any person other than the Contracting Officer, the change must be considered to have been made without authority and no adjustment must be made in the contract terms and conditions, including price.
G.3 Contracting Officer’s Representative
(a) The Contracting Officer’s designated representative (COR) for this contract is TBD.
(b) The COR will be appointed by separate letter. The Contracting Officer will provide a copy of the COR designation letter to the contractor after award.
G.4 Technical Direction/Limitations of Contracting Officer’s Representative
(a) Technical Direction is defined to include:
(1) Written directions to the Contractor which fill in details, suggest possible lines of inquiry, or otherwise facilitate completion of work;
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(2) Provision of written information to the Contractor which assists in the interpretation of drawings, specifications, or technical portions of the work statement;
(3) Review and, where required, provide written approval of technical reports, drawings, specifications, or technical information to be delivered. Technical directions must be in writing, and must be within the scope of the work as detailed in Section C.
(b) The Contracting Officer, by separate designation letter, authorizes the COR to take any or all action with respect to the following which could lawfully be taken by the Contracting Officer, except any action specifically prohibited by the terms of this Contract:
(1) Assure that the Contractor performs the technical requirements of the contract in accordance with the contract terms, conditions, and specifications.
(2) Perform or cause to be performed, inspections necessary in connection with a) above and require the Contractor to correct all deficiencies; perform acceptance for the Government.
(3) Maintain all liaison and direct communications with the Contractor. Written communications with the Contractor and documents must be signed as “Contracting Officer’s Representative” with a copy furnished to the Contracting Officer.
(4) Issue written interpretations of technical requirements of Government drawings, designs, and specifications.
(5) Monitor the Contractor’s production or performance progress and notify the Contractor in writing of deficiencies observed during surveillance, and direct appropriate action to effect correction. Record and report to the Contracting Officer incidents of faulty or nonconforming work, delays or problems.
(6) Complete Contractor Performance Reports (CPR’s) every six to 12 months for task orders.
(7) Obtain necessary security clearance and appropriate identification if access to Government facilities is required.
(8) If to be provided, ensure that Government furnished property is available when required.
(9) Review and approve statements of work for individuals proposed to provide short-term technical assistance.
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(10) Review and approve statements of work for subcontracts of technical nature.
LIMITATIONS: The COR is not empowered to award, agree to, or sign any contract (including delivery or purchase orders) or modifications thereto, or in any way to obligate the payment of money by the Government. The COR may not take any action which may impact on the contract schedule, funds, scope or rate of utilization of LOE. All contractual agreements, commitments, or modifications which involve prices, quantities, quality, and schedules must be made only by the Contracting Officer.
In the separately-issued COR designation letter, the CO designates an alternate COR to act in the absence of the designated COR, in accordance with the terms of the letter.
(c) Contractual Problems: Contractual problems of any nature that may arise during the life of the contract must be handled in conformance with specific public laws and regulations (i.e. Federal Acquisition Regulation and Agency for International Development Acquisition Regulation). The Contractor and the COR must bring all contracting problems to the immediate attention of the Contracting Officer. Only the Contracting Officer is authorized to formally resolve such problems. The Contracting Officer will be responsible for resolving legal issues, determining contract scope and interpreting contract terms and conditions. The Contracting Officer is the sole authority authorized to approve changes in any of the requirements under this contract. Notwithstanding any clause contained elsewhere in this contract, the said authority remains solely with the Contracting Officer. These changes include, but will not be limited to the following areas: scope of work, price, quantity, technical specifications, delivery schedules, and contract terms and conditions. In the event the Contractor effects any changes at the direction of any other person other than the Contracting Officer, the change will be considered to have been made without authority.
Failure by the Contractor to report to the Contracting Office any action by the Government considered to be a change, within the specified number of days contained in FAR 52.243-7 (Notification of Changes), waives the Contractor’s right to any claims for equitable adjustments.
(d) In case of a conflict between this contract and the COR designation letter, the contract prevails.
G.5 Acceptance and Approval
(a) The COR must accept and approve all deliverables before receipt of final payment.
G.6 Paying Office
(a) The Regional Financial Management Center (RFMC) located in USAID/Bosnia and Herzegovina will serve as the paying office for this contract.
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G.7 Documentation for payment
AIDAR 752.7003, “Documentation for Payment,” (NOV 1998) provides in full:
(a) Claims for reimbursement or payment under this contract must be submitted to the Paying Office indicated in the schedule of this contract. The contracting officer's representative (CTO) is the authorized representative of the Government to approve vouchers under this contract. The Contractor must submit either paper or fax versions of the SF-1034 -Public Voucher for Purchases and Services Other Than Personal. Each voucher shall be identified by the appropriate USAID contract number, in the amount of dollar expenditures made during the period covered.
(1) The SF 1034 provides space to report by line item for products or services provided. The form provides for the information to be reported with the following elements:
TOTAL EXPENDITURES (Document Number: XXX-X-XX-XXXX-XX) Line Amt. Amt. Vouchered This item Description Vouchered to Period No. date Product/Service Desc. 001 $XXXX.XX $XXXX.XX for Line Item 001 Product/Service Desc. 002 $XXXX.XX $XXXX.XX for Line Item 002 Total $XXXX.XX $XXXX.XX
(2) The fiscal report shall include the following certification signed by an authorized representative of the Contractor:
The undersigned hereby certifies to the best of my knowledge and belief that the fiscal report and any attachments have been prepared from the books and records of the Contractor in accordance with the terms of this contract and are correct: the sum claimed under this contract is proper and due, and all the costs of contract performance (except as herewith reported in writing) have been paid, or to the extent allowed under the applicable payment clause, will be paid currently by the Contractor when due in the ordinary course of business; the work reflected by these costs has been performed, and the quantities and amounts involved are consistent with the requirements of this Contract; all required contracting officer approvals have been obtained; and appropriate refund to USAID will be made promptly upon request in the event of disallowance of costs not reimbursable under the terms of this contract.
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BY: [ ]
TITLE: [ ]
DATE: [ ]
(b) Local currency payment. The Contractor is fully responsible for the proper expenditure and control of local currency, if any, provided under this contract. Local currency will be provided to the Contractor in accordance with written instructions provided by the Mission Director. The written instructions will also include accounting, vouchering, and reporting procedures. A copy of the instructions shall be provided to the Contractor's Chief of Party and to the contracting officer. The costs of bonding personnel responsible for local currency are reimbursable under this contract.
(c) Upon compliance by the Contractor with all the provisions of this contract, acceptance by the Government of the work and final report, and a satisfactory accounting by the Contractor of all Government-owned property for which the Contractor had custodial responsibility, the Government shall promptly pay to the Contractor any moneys (dollars or local currency) due under the completion voucher. The Government will make suitable reduction for any disallowance or indebtedness by the Contractor by applying the proceeds of the voucher first to such deductions and next to any unliquidated balance of advance remaining under this contract.
(d) The Contractor agrees that all approvals of the Mission Director and the contracting officer which are required by the provisions of this contract shall be preserved and made available as part of the Contractor's records which are required to be presented and made available by the clause of this contract entitled "Audit and Records - Negotiation".
G.8 Invoicing Instructions
1) Paper Invoice Submission:
The contractor will submit one (1) original of each invoice on an SF-1034, Public Voucher for Purchases and Services Other Than Personal, to the Regional Financial Management Center (RFMC) and one (1) copy of the voucher and the invoice to the COR at USAID/Bosnia and Herzegovina:
Regional Controller Regional Financial Management Center USAID/Bosnia and Herzegovina Robert Frasure Street #1
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71000 Sarajevo Bosnia and Herzegovina
And
Economic Development Office USAID/Bosnia and Herzegovina Robert Frasure Street #1 71000 Sarajevo Bosnia and Herzegovina
The contractor must sign the SF-1034. Also, the contractor must submit the SF-1034 with the invoice and any other documentation in Adobe.
2) Electronic Invoice Submission: USAID encourages the electronic submission of invoices to: [email protected] copying the COR on the submission.
G.9 Accounting and Appropriation Data
TBD at contract award.
A: GLAAS Requisition REQ-168-20-000003
BBFY EBFY FUND PA DIST PE PSE SOC FUNDED AMOUNT $
B. Contractor Specific Information:
DUNS: ______TIN: ______
END OF SECTION G
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SECTION H - Special Contract Requirements
H.1 Notice Listing Contract Clauses Incorporated by Reference
The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR 52.252-2 CLAUSES INCORPORATED BY REFERENCE” in Section I of this contract. Full text of the FAR clauses is available at https://www.acquisition.gov/far/ and full text of the AIDAR clauses is available at http://www.usaid.gov/ads/policy/300/aidar.
NUMBER TITLE DATE
Agency for International Development Acquisition Regulation (48 CFR Chapter 7)
722.170 EMPLOYMENT OF THIRD COUNTRY NATIONALS (TCN'S) AND COOPERATING COUNTRY NATIONALS (CCN'S) 752.228-70 MEDICAL EVACUATION (MEDEVAC) SERVICES (JUL 2007) 752.7027 PERSONNEL (DEC 1990) 752.7032 INTERNATIONAL TRAVEL APPROVAL AND NOTIFICATION REQUIREMENTS (APR 2014)
H.2 Language requirements
(a) The contractor will produce all reports and deliverables in Standard English. (b) The contractor must ensure the contractor’s employees and consultants possess the appropriate level of skill in written and spoken English and local language proficiency, as needed, to perform the contract requirements. (c) Contractor key personnel and/or consultants must have English and local language proficiency as needed, to perform contract requirements.
H.3 752.222-70 USAID disability policy (DEC 2004)
(a) The objectives of the USAID Disability Policy are:
(1) To enhance the attainment of United States foreign assistance program goals by promoting the participation and equalization of opportunities of individuals with disabilities in USAID policy, country and sector strategies, activity designs and implementation;
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(2) To increase awareness of issues of people with disabilities both within USAID programs and in host countries;
(3) To engage other U.S. Government agencies, host country counterparts, governments, implementing organizations and other donors in fostering a climate of nondiscrimination against people with disabilities; and
(4) To support international advocacy for people with disabilities. The full text of USAID's policy can be found at the following Web site: http://pdf.usaid.gov/pdf_docs/PDABQ631.pdf.
(b) USAID therefore requires that the contractor not discriminate against people with disabilities in the implementation of USAID programs and that it make every effort to comply with the objectives of the USAID Disability Policy in performing this contract. To that end and within the scope of the contract, the contractor's actions must demonstrate a comprehensive and consistent approach for including men, women, and children with disabilities.
H.4 752.222-71 Nondiscrimination (JUN 2012)
FAR part 22 and the clauses prescribed in that part prohibit contractors performing in or recruiting from the U.S. from engaging in certain discriminatory practices.
USAID is committed to achieving and maintaining a diverse and representative workforce and a workplace free of discrimination. Based on law, Executive Order, and Agency policy, USAID prohibits discrimination in its own workplace on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, disability, age, veteran's status, sexual orientation, genetic information, marital status, parental status, political affiliation, and any other conduct that does not adversely affect the performance of the employee. USAID does not tolerate any type of discrimination (in any form, including harassment) of any employee or applicant for employment on any of the above-described bases.
Contractors are required to comply with the nondiscrimination requirements of the FAR. In addition, the Agency strongly encourages all its contractors (at all tiers) to develop and enforce nondiscrimination policies consistent with USAID's approach to workplace nondiscrimination as described in this clause, subject to applicable law.
H.5 752.225-70 Source and nationality requirements (FEB 2012)
The contractor must comply with AIDAR 752.225-70, “Source and Nationality Requirements,” (FEB 2012), which provides in full:
(a) Except as may be specifically approved by the contracting officer, the contractor must procure all commodities (e.g., equipment, materials, vehicles,
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supplies) and services (including commodity transportation services) in accordance with the requirements at 22 CFR part 228 "Rules on Procurement of Commodities and Services Financed by USAID." The authorized source for procurement is Geographic Code 937 unless otherwise specified in the schedule of this contract. Guidance on eligibility of specific goods or services may be obtained from the contracting officer.
(b) Ineligible goods and services. The contractor must not procure any of the following goods or services under this contract:
(1) Military equipment;
(2) Surveillance equipment;
(3) Commodities and services for support of police and other law enforcement activities;
(4) Abortion equipment and services;
(5) Luxury goods and gambling equipment; or
(6) Weather modification equipment.
(c) Restricted goods. The contractor must obtain prior written approval of the contracting officer or comply with required procedures under an applicable waiver as provided by the contracting officer when procuring any of the following goods or services:
(1) Agricultural commodities;
(2) Motor vehicles;
(3) Pharmaceuticals and contraceptive items;
(4) Pesticides;
(5) Fertilizer;
(6) Used equipment; or
(7) U.S. Government-owned excess property.
If USAID determines that the contractor has procured any of these specific restricted goods under this contract without the prior written authorization of the
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contracting officer or fails to comply with required procedures under an applicable waiver as provided by the contracting officer, and has received payment for such purposes, the contracting officer may require the contractor to refund the entire amount of the purchase.
H.6 Authorized geographic code
As stipulated above in Section H.5 AIDAR 752.225.70 paragraph (a), the authorized source for procurement of goods and services under this award is Geographic Code 935 (any area or country including the recipient country, but excluding any country that is a prohibited source). For more information on Source and Nationality Requirements see ADS 310).
H.7 752.228-3 Worker’s compensation insurance (Defense Base Act) (DEC 1991)
In addition to the requirements specified in (48 CFR) FAR 52.228-3, the contractor agrees to the following:
(a) The Contractor agrees to procure Defense Base Act (DBA) insurance pursuant to the terms of the contract between USAID and USAID's DBA insurance carrier unless the Contractor has a DBA self insurance program approved by the Department of Labor or has an approved retrospective rating agreement for DBA.
(b) If USAID or the contractor has secured a waiver of DBA coverage (see (48 CFR) AIDAR 728.305-70(a)) for contractor's employees who are not citizens of, residents of, or hired in the United States, the contractor agrees to provide such employees with worker's compensation benefits as required by the laws of the country in which the employees are working, or by the laws of the employee's native country, whichever offers greater benefits.
(c) The Contractor further agrees to insert in all subcontracts hereunder to which the DBA is applicable, a clause similar to this clause, including this sentence, imposing on all subcontractors a like requirement to provide overseas workmen's compensation insurance coverage and obtain DBA coverage under the USAID requirements contract.
Pursuant to AIDAR 752.228-3 Worker’s Compensation Insurance (Defense Base Act), to obtain DBA insurance Contractors must apply for coverage directly to AON Risk Insurance Services Inc., the agent for AWAC DBA Insurance. For instructions on the required application form and submission requirements, contact the following office:
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H.7.1 DBA Insurance and services agent a) Pursuant to AIDAR 752.228-3 Worker's Compensation Insurance (Defense Base Act), to obtain DBA insurance, contractors and subcontractors must apply for coverage directly from AON Risk Insurance Services (AON), the agent for Allied World Assurance Company (AWAC).
Contractors must apply for coverage directly to AON Risk Insurance Services Inc., the agent for AWAC DBA Insurance. For instructions on the required application form and submission requirements, contact the following office:
AON Risk Insurance Services West, Inc. 2033 N. Main St., Suite 760 Walnut Creek, CA 94596-3722 Hours: 8:30 A.M. to 5:00 PM, Pacific Time Primary Contact: Fred Robinson Phone: (925) 951-1856 Fax: (925) 951-1890 Email: [email protected] b) In compliance with Agency guidelines, Contractors will be required to submit a copy of DBA coverage for which contract performance is to occur outside of the U.S. This document must be provided prior to start of performance overseas.
H.8 752.231-72 Conference planning and required approvals (AUG 2013)
(a) Definitions. Conference means a seminar, meeting, retreat, symposium, workshop, training activity or other such event that requires temporary duty travel of USAID employees. For the purpose of this policy, an employee is defined as a U.S. direct hire; personal services contractor, including U.S. PSCs, Foreign Service National (FSN)/Cooperating Country National (CCN) and Third Country National (TCN); or a Federal employee detailed to USAID from another government agency.
(b) The contractor must obtain approval from the contracting officer or the contracting officer's representative (COR), if delegated in the Contracting Officer's Representative Designation Letter, as prescribed in 731.205-43, prior to committing costs related to conferences funded in whole or in part with USAID funds when:
(1) Twenty (20) or more USAID employees are expected to attend.
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(2) The net conference expense funded by USAID will exceed $100,000 (excluding salary of employees), regardless of the number of USAID participants.
(c) Conferences approved at the time of award will be incorporated into the award. Any subsequent requests for approval of conferences must be submitted by the contractor to the USAID contracting officer representative (COR). The contracting officer representative will obtain the required agency approvals and communicate such approvals to the contractor in writing.
(d) The request for conference approval must include:
(1) A brief summary of the proposed event;
(2) A justification for the conference and alternatives considered, e.g., teleconferencing and videoconferencing;
(3) The estimated budget by line item (e.g., travel and per diem, venue, facilitators, meals, equipment, printing, access fees, ground transportation);
(4) A list of USAID employees attending and a justification for each; and the number of other USAID-funded participants (e.g., institutional contractors);
(5) The venues considered (including government-owned facility), cost comparison, and justification for venue selected if it is not the lowest cost option;
(6) If meals will be provided to local employees (a local employee would not be in travel status), a determination that the meals are a necessary expense for achieving Agency objectives; and
(7) A certification that strict fiscal responsibility has been exercised in making decisions regarding conference expenditures, the proposed costs are comprehensive and represent the greatest cost advantage to the U.S. Government, and that the proposed conference representation has been limited to the minimum number of attendees necessary to support the Agency's mission.
H.9 752.7005 Submission requirements for development experience documents (SEP 2013)
(a) Contract Reports and Information/Intellectual Products.
(1) Within thirty (30) calendar days of obtaining the contracting officer representative's approval, the contractor must submit to USAID's Development Experience Clearinghouse (DEC) one copy each of reports and information products which describe, communicate or organize program/project development assistance activities, methods, technologies,
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management, research, results and experience. These reports include: Assessments, evaluations, studies, technical and periodic reports, annual and final reports, and development experience documents (defined as documents that:
(i) Describe the planning, design, implementation, evaluation, and results of development assistance; and
(ii) Are generated during the life cycle of development assistance programs or activities.) The contractor must also submit copies of information products including training materials, publications, videos and other intellectual deliverable materials required under the Contract Schedule. The following information is not to be submitted:
(A) Time-sensitive materials such as newsletters, brochures or bulletins.
(B) The contractor's information that is incidental to award administration, such as financial, administrative, cost or pricing, or management information.
(2) Within thirty (30) calendar days after completion of the contract, the contractor must submit to the DEC any reports that have not been previously submitted and an index of all reports and information/intellectual products referenced in paragraph (a)(1) of this clause.
(b) Submission requirements. The contractor must review the DEC Web site for the most up-to-date submission instructions, including the DEC address for paper submissions, the document formatting and the types of documents to be submitted. The submission instructions can be found at: https://dec.usaid.gov.
(1) Standards. (i) Material must not include financially sensitive information or personally identifiable information (PII) such as social security numbers, home addresses and dates of birth. Such information must be removed prior to submission.
(ii) All submissions must conform to current USAID branding requirements.
(iii) Contract reports and information/intellectual products can be submitted in either electronic (preferred) or paper form. Electronic documentation must comply with Section 508 of the Rehabilitation Act of 1973.
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(iv) The electronic submissions must consist of only one electronic file, which comprises the complete and final equivalent of the paper copy.
(v) Electronic documents must be in one of the National Archives and Records Administration (NARA)-approved formats as described in NARA guidelines related to the transfer of permanent E-records. (See http://www.archives.gov/records- mgmt/initiatives/transfer-to-nara.html).
(2) Essential bibliographic information. Descriptive information is required for all contractor products submitted. The title page of all reports and information products must include the contract number(s), contractor name(s), name of the USAID contracting officer's representative, the publication or issuance date of the document, document title, (if non- English, provide an English translation of the title), author name(s), and development objective or activity title (if non-English, provide a translation) and associated number, and language of the document (if non- English). In addition, all hard copy materials submitted in accordance with this clause must have, attached as a separate cover sheet, the name, organization, address, telephone number, fax number, and internet address of the submitting party.
H.10 752.7007 Personnel compensation (JUL 2007)
The contractor must comply with AIDAR 752.7007, “Personnel Compensation”, (JUL 2007), which provides in full:
(a) Direct compensation of the Contractor's personnel will be in accordance with the Contractor's established policies, procedures, and practices, and the cost principles applicable to this contract.
(b) Reimbursement of the employee's base annual salary plus overseas recruitment incentive, if any, which exceed the USAID Contractor Salary Threshold (USAID CST) stated in USAID Automated Directives System (ADS) Chapter 302 USAID Direct Contracting, must be approved in writing by the contracting officer, as prescribed in 731.205-6(b) or 731.371(b), as applicable.
H.11 Additional requirements for personnel compensation
(a) Limitations
Salary ranges for all positions under this award must be established based on the market value of the position in the country of contract performance as well as based on the
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Contractor’s established personnel policy. The established range must be realistic and reasonable for the responsibilities of each position and must not be based on the salary history or the qualifications of the candidate selected. The salary ranges of the compensation plan must be certified by the Contractor and submitted to the Contracting Officer for approval. Upon establishment of the salary ranges, an appropriate candidate must be selected based on the qualifications sought for that position and the Contractor’s personnel practices. That individual’s salary must be negotiated within the established range and the conditions stated further in this paragraph. The Contractor must avoid “rank-in-person” salaries, which are in excess of the value and the responsibilities of the position. In addition, the salary ranges may not exceed the Contractor's established policy and practice, including the Contractor's established pay scale for equivalent classifications of employees. If, during contract performance, the Contractor proposes salary or wages for an individual(s) that exceeds the market value of the position, the cognizant Contracting Officer’s approval is required.
Notwithstanding the above requirements, for professional level employees, the COR’s technical concurrence must be obtained prior to commencement of their work under the contract.
Nothing specified above limits in any way the authority of the Contracting Officer to determine the allowability, allocability, or reasonableness of any cost, including those relating to compensation. Please note that no waivers to the U.S. Mission’s Local Compensation Plan will be provided. The maximum annual rate is BAM 110,673.
Ranges for the Mission LCP are as follows:
Professional level 57,601-110,673 Mid-level assistant 36,386-71,485 Unskilled/laborer 24,335-46,311
(b) Salaries during Travel
Salaries and wages paid while in travel status will not be reimbursed for a travel period greater than the time required for travel by the most direct and expeditious air route.
(c) Return of Overseas Employees
Salaries and wages paid to an employee serving overseas who is discharged by the Contractor for misconduct, inexcusable nonperformance, or security reasons will in no event be reimbursed for a period which extends beyond the time required to return him/her promptly to his/her point of origin by the most direct and expeditious air route.
(d) Annual Salary Increases
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Annual salary increases (e.g. cost of living and merit increases and other) for the current labor pool may be granted once a year and cannot exceed the escalation rate TBD that was negotiated for this contract. Annual salary increases of any kind exceeding this limitation or exceeding the USAID Contractor Salary Threshold (CST) may be granted only with the advance written approval of the Contracting Officer.
(e) Definitions
As used herein, the terms “Salaries,” “Wages,” and “Compensation” mean the periodic remuneration received for professional or technical services rendered, exclusive of any of the differentials or allowances defined in the clause of this contract entitled “Differentials and Allowances” (AIDAR 752.7028), unless otherwise stated. The term “compensation” includes payments for personal services (including fees and honoraria). It excludes earnings from sources other than the individual’s professional or technical work, overhead, or other charges under the contract.”
H.12 752.7019 Participant training (JAN 1999)
(a) Definitions. (1) Participant training is the training of any foreign national outside of his or her home country, using USAID funds.
(2) A Participant is any foreign national being trained under this contract outside of his or her country.
(b) Applicable regulations. Participant training conducted under this contract shall comply with the policies and essential procedures pertaining to training-related services contained in USAID Automated Directive System (ADS) Ch. 253 "Training for Development Impact". Any exceptions to ADS 253 requirements are specified as such within this contract. The entire ADS is accessible to the general public at the following USAID Internet address: http://www.usaid.gov/policy/ads/
(c) The contractor shall be reimbursed for the reasonable and allocable costs incurred in providing training to participants in the United States or other approved location provided such costs do not exceed the limitations in, or have been waived in accordance with, ADS 253
Note: Academic rates are available through a special website monitored by the United States Information Agency. The website for academic programs is: http://www.iie.org/fulbright/posts/restrict. U.S.-based participants receive the standardized U.S. travel per diem rates maintained by GSA for short-term training (website: http://policyworks.gov).
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H.13 302.3.5.22 Submission of datasets to the Development Data Library (DDL)
(a) Definitions. For the purpose of submissions to the DDL:
(1) “Dataset” is an organized collection of structured data, including data contained in spreadsheets, whether presented in tabular or non-tabular form. For example, a Dataset may represent a single spreadsheet, an extensible mark-up language (XML) file, a geospatial data file, or an organized collection of these. This requirement does not apply to aggregated performance reporting data that the Contractor submits directly to a USAID portfolio management system or to unstructured data, such as email messages, PDF files, PowerPoint presentations, word processing documents, photos and graphic images, audio files, collaboration software, and instant messages. Neither does the requirement apply to the Contractor’s information that is incidental to award administration, such as financial, administrative, cost or pricing, or management information. Datasets submitted to the DDL will generally be those generated with USAID resources and created in support of Intellectual Work that is uploaded to the Development Experience Clearinghouse (DEC) (see AIDAR 752.7005 “Submission Requirements for Development Experience Documents”).
(2) “Intellectual Work” includes all works that document the implementation, monitoring, evaluation, and results of international development assistance activities developed or acquired under this award, which may include program and communications materials, evaluations and assessments, information products, research and technical reports, progress and performance reports required under this award (excluding administrative financial information), and other reports, articles and papers prepared by the contractor under the award, whether published or not. The term does not include the contractor’s information that is incidental to award administration, such as financial, administrative, cost or pricing, or management information.
(b) Submissions to the Development Data Library (DDL)
(1) The Contractor must submit to the Development Data Library (DDL), at www.usaid.gov/data, in a machine-readable, non-proprietary format, a copy of any Dataset created or obtained in performance of this award, including Datasets produced by a subcontractor at any tier. The submission must include supporting documentation describing the Dataset, such as code books, data dictionaries, data gathering tools, notes on data quality, and explanations of redactions.
(2) Unless otherwise directed by the Contracting Officer (CO) or the Contracting Officer Representative (COR), the Contractor must submit the Dataset and supporting documentation within thirty (30) calendar days after the Dataset is first used to produce an Intellectual Work or is of sufficient quality to produce an Intellectual Work. Within thirty (30) calendar days after award completion, the contractor must submit to the DDL any Datasets and supporting documentation that have not previously been submitted to the DDL, along with an index of all Datasets and Intellectual Work created or obtained
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under the award. The Contractor must also provide to the COR an itemized list of any and all DDL submissions.
The Contractor is not required to submit the data to the DDL, when, in accordance with the terms and conditions of this award, datasets containing results of federally funded scientific research are submitted to a publicly accessible research database. However, the contractor must submit a notice to the DDL by following the instructions at www.usaid.gov/data, with a copy to the COR, providing details on where and how to access the data. The direct results of federally funded scientific research must be reported no later than when the data are ready to be submitted to a peer-reviewed journal for publication, or no later than five calendar days prior to the conclusion of the award, whichever occurs earlier.
(3) The Contractor must submit the Datasets following the submission instructions and acceptable formats found at www.usaid.gov/data.
(4) The Contractor must ensure that any Dataset submitted to the DDL does not contain any proprietary or personally identifiable information, such as social security numbers, home addresses, and dates of birth. Such information must be removed prior to submission.
(5) The Contractor must not submit classified data to the DDL.
H.14 Nonexpendable property purchases
(a) With the exception of restricted commodities, the contracting officer hereby approves all non-expendable property, including Information Technology (IT) equipment listed in the offeror’s technical and cost proposal, dated TBD.
H.15 Government furnished facilities or property
(a) The contractor and any employee or consultant of the contractor is prohibited from using U.S. Government facilities (such as office space or equipment) or U.S. Government clerical or technical personnel in the performance of the services specified in the contract unless the use of U.S. Government facilities or personnel is specifically authorized in the contract or is authorized in advance, in writing, by the COR.
H.16 Logistic support
The contractor will furnish all logistic support in the United States and overseas.
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H.17 Disclosure of information
(a) Contractors are reminded that information furnished under this solicitation may be subject to disclosure under the Freedom of Information Act (FOIA). Therefore, all items that are confidential to business, or contain trade secrets, proprietary, or personnel information must be clearly marked. Marking of items will not necessarily preclude disclosure when the U.S. Office of Personnel Management (OPM or The Government) determines disclosure is warranted by FOIA. However, if such items are not marked, all information contained within the submitted documents will be deemed to be releasable.
(b) Any information made available to the Contractor by the Government must be used only for the purpose of carrying out the provisions of this contract and must not be divulged or made known in any manner to any person except as may be necessary in the performance of the contract.
(c) In performance of this contract, the Contractor assumes responsibility for protection of the confidentiality of Government records and must ensure that all work performed by its subcontractors must be under the supervision of the Contractor or the Contractor’s responsible employees.
(d) Each officer or employee of the Contractor or any of its subcontractors to whom any Government record may be made available or disclosed must be notified in writing by the Contractor that information disclosed to such officer or employee can be used only for a purpose and to the extent authorized herein, and that further disclosure of any such information, by any means, for a purpose or to an extent unauthorized herein, may subject the offender to criminal sanctions imposed by 19 U.S.C. 641. That section provides, in pertinent part, that whoever knowingly converts to their use or the use of another, or without authority, sells, conveys, or disposes of any record of the United States or whoever receives the same with intent to convert it to their use or gain, knowing it to have been converted, must be guilty of a crime punishable by a fine of up to $10,000, or imprisoned up to ten years, or both.
H.18 Organizational conflicts of interest
(a) Any concerns/issues related to Organizational Conflict of Interest prior to or during the performance of this contract must be brought to the attention of the Contracting Officer as soon as it appears.
H.19 Executive order on terrorism financing
(a) The Contractor is reminded that U.S. Executive Orders and U.S. law prohibits transactions with, and the provision of resources and support to, individuals and
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organizations associated with terrorism. It is the legal responsibility of the Contractor to ensure compliance with these Executive Orders and laws. This provision must be included in all subcontracts/subawards issued under this contract. A list of these names can be found at the web site of the Office of Foreign Assets Control (OFAC) with the Department of Treasury at http://treasury.gov/ofac.
H.20 Foreign government delegations to international conferences
(a) Funds in this contract may not be used to finance the travel, per diem, hotel expenses, meals, conference fees or other conference costs for any member of a foreign government’s delegation to an international conference sponsored by a public international organization, except as provided in ADS Mandatory Reference “Guidance on Funding Foreign Government Delegations to International Conferences” https://www.usaid.gov/ads/policy/300/350maa or as approved by the CO.
H.21 Environmental compliance
1a) The Foreign Assistance Act of 1961, as amended, Section 117 requires that the impact of USAID’s activities on the environment be considered and that USAID include environmental sustainability as a central consideration in designing and carrying out its development programs. This mandate is codified in Federal Regulations (22 CFR 216) and in USAID’s Automated Directives System (ADS) Parts 201.5.10g and 204 (http://www.usaid.gov/policy/ads/200/), which, in part, require that the potential environmental impacts of USAID-financed activities are identified prior to a final decision to proceed and that appropriate environmental safeguards are adopted for all activities. The contractor’s environmental compliance obligations under these regulations and procedures are specified in the following paragraphs of this contract.
1b) In addition, the contractor must comply with host country environmental regulations unless otherwise directed in writing by USAID. In case of conflict between host country and USAID regulations, the latter must govern.
1c) No activity funded under this contract will be implemented unless an environmental threshold determination, as defined by 22 CFR 216, has been reached for that activity, as documented in a Request for Categorical Exclusion (RCE), Initial Environmental Examination (IEE), or Environmental Assessment (EA) duly signed by the Bureau Environmental Officer (BEO)
2) An Initial Environmental Examination (IEE) has been approved for the Financial Reform Activity in BiH. The IEE covers activities expected to be implemented
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under this contract. USAID has determined that a Categorical Exclusion applies to the proposed activities.
3a) As part of its initial Work Plan, and all Annual Work Plans thereafter, the contractor, in collaboration with the USAID COR and Mission Environmental Officer or Bureau Environmental Officer, as appropriate, must review all ongoing and planned activities under this contract to determine if they are within the scope of the approved Regulation 216 environmental documentation.
3b) If the contractor plans any new activities outside the scope of the approved Regulation 216 environmental documentation, it must prepare an amendment to the documentation for USAID review and approval. No such new activities must be undertaken prior to receiving written USAID approval of environmental documentation amendments.
3c) Any ongoing activities found to be outside the scope of the approved Regulation 216 environmental documentation must be halted until an amendment to the documentation is submitted and written approval is received from USAID.
4) When the approved Regulation 216 documentation is (1) an IEE that contains one or more Negative Determinations with conditions and/or (2) an EA, the contractor must:
4a) Unless the approved Regulation 216 documentation contains a complete environmental mitigation and monitoring plan (EMMP) or a project mitigation and monitoring (M&M) plan, the contractor must prepare an EMMP or M&M Plan describing how the contractor will, in specific terms, implement all IEE and/or EA conditions that apply to proposed project activities within the scope of the award. The EMMP or M&M Plan must include monitoring the implementation of the conditions and their effectiveness.
4b) Integrate a completed EMMP or M&M Plan into the initial work plan.
4c) Integrate an EMMP or M&M Plan into subsequent Annual Work Plans, making any necessary adjustments to activity implementation in order to minimize adverse impacts to the environment.
5a) Cost and technical proposals must reflect IEE or EA preparation costs and approaches.
5b) The Contractor will be expected to comply with all conditions specified in the approved IEE and/or EA.
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5c) If an IEE, as developed by the contractor and approved by USAID, includes a Positive Determination for one or more activities, the contractor will be required to develop and submit an EA addressing these activities.
H.22 Subcontracting plan and the SF294-Subcontracting report for individual contracts, and SF295-Summary contracting report
The Contractor's small business subcontracting plan (Attachment J.6) dated TBD is hereby incorporated as a material part of this contract. Effective December 30, 2005, USAID commenced participation in the electronic Subcontracting Reporting System (eSRS). As a result, hard copies of the SF-294 and SF-295 are no longer accepted and contractors are required to submit these reports electronically. The requirement to report the use of subcontractors in the eSRS applies to any contract in which there is a subcontracting plan to utilize U.S. small businesses.
If you need more information or to register in eSRS, please visit the official website at http://www.esrs.gov. Please note that contract data in eSRS is tied to the DUNS Number of record. When submitting your individual and summary reports in eSRS, please be sure to include the email address of the Contract Officer specified on the contract.
H.23 Consent to subcontract
Pursuant to FAR § 52.244-2, “Subcontracts,” the Contracting Officer hereby consents to the contractor’s award of the below subcontracts as proposed in the contractor’s proposal that resulted in the award of this contract to the following firms for the products or services specified below:
Subcontractor Name: TBD. Amount: TBD.
All STTAs and consultants must be treated as subcontractors if they are not employees of the Contractor or subcontractors. The contractor must request Contracting Officer consent and submit the information required by the aforementioned clause for any subcontracts requiring consent but not listed above.
H.24 USAID-financed third-party web sites (AUG 2013)
(a) Definitions :
“Third-party web sites”
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Sites hosted on environments external to USAID boundaries and not directly controlled by USAID policies and staff, except through the terms and conditions of a contract. Third-party Web sites include project sites.
(b) The contractor must adhere to the following requirements when developing, launching, and maintaining a third-party Web site funded by USAID for the purpose of meeting the project implementation goals:
(1) Working through the COR, the contractor must notify the USAID Bureau for Legislative and Public Affairs/Public Information, Production and Online Services (LPA/PIPOS) of the Web site URL as far in advance of the site’s launch as possible.
(2) The contractor must comply with Agency branding and marking requirements comprised of the USAID logo and brandmark with the tagline “from the American people,” located on the USAID Web site at www.usaid.gov/branding, and USAID Graphics Standards manual at http://www.usaid.gov.
(3) The Web site must be marked on the index page of the site and every major entry point to the Web site with a disclaimer that states:
“The information provided on this Web site is not official U.S. Government information and does not represent the views or positions of the U.S. Agency for International Development or the U.S. Government.”
(4) The Web site must provide persons with disabilities access to information that is comparable to the access available to others. As such, all site content must be compliant with the requirements of the Section 508 amendments to the Rehabilitation Act.
(5) The contractor must identify and provide to the COR, in writing, the contact information for the information security point of contact. The contractor is responsible for updating the contact information whenever there is a change in personnel assigned to this role.
(6) The contractor must provide adequate protection from unauthorized access, alteration, disclosure, or misuse of information processed, stored, or transmitted on the Web sites. To minimize security risks and ensure the integrity and availability of information, the contractor must use sound: system/software management; engineering and development; and secure-coding practices consistent with USAID standards and information security best practices. Rigorous security safeguards, including but not limited to, virus protection; network intrusion detection and prevention programs; and vulnerability management systems must be implemented and critical security issues must be resolved as quickly as possible or within 30 days. Contact the USAID Chief Information Security Officer (CISO) at [email protected] for specific standards and guidance.
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(7) The contractor must conduct periodic vulnerability scans, mitigate all security risks identified during such scans, and report subsequent remediation actions to CISO at [email protected] and COR within 30 workdays from the date vulnerabilities are identified. The report must include disclosure of the tools used to conduct the scans. Alternatively, the contractor may authorize USAID CISO at [email protected] to conduct periodic vulnerability scans via its Web-scanning program. The sole purpose of USAID scanning will be to minimize security risks. The contractor will be responsible for taking the necessary remediation action and reporting to USAID as specified above.
I For general information, agency graphics, metadata, privacy policy, and 508 compliance requirements, refer to http://www.usaid.gov.
H.25 Electronic payment system
1. Definitions:
a. “Cash Payment System” means a payment system that generates any transfer of funds through a transaction originated by cash, check, or similar paper instrument. This includes electronic payments to a financial institution or clearing house that subsequently issues cash, check, or similar paper instrument to the designated payee.
b. “Electronic Payment System” means a payment system that generates any transfer of funds, other than a transaction originated by cash, check, or similar paper instrument, which is initiated through an electronic terminal, telephone, mobile phone, computer, or magnetic tape, for the purpose of ordering, instructing or authorizing a financial institution to debit or credit an account. The term includes debit cards, wire transfers, transfers made at automatic teller machines, and point-of-sale terminals.
2. The contractor agrees to use an electronic payment system for any payments under this award to beneficiaries, subcontractors, or grants under contracts, where applicable.
3. Exceptions. The contractor is allowed the following exceptions, provided the contractor documents its contract file with the appropriate justification:
a. Cash payments made while establishing electronic payment systems, provided that this exception is not used for more than six months from the effective date of this award.
b. Cash payments made to payees where the contractor does not expect to make payments to the same payee on a regular, recurring basis, and payment through an electronic payment system is not reasonably available. c. Cash payments to vendors below the micro purchase level as defined by FAR 2.101, or for Grants Under Contracts for less than $3000, when payment through an electronic payment system is not reasonably available.
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d. The contractor has received a specific written exception from the Contracting Officer that a specific payment or all cash payments are authorized, based on the contractor’s written justification, which provides a basis and cost analysis for the requested exception.
4. More information about how to establish, implement, and manage electronic payment methods is available to contractors at http://solutionscenter.nethope.org/programs/c2e- toolkit.”
END OF SECTION H
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PART II—CONTRACT CLAUSES
SECTION I - Contract Clauses
I.1 52.252-2 Clauses incorporated by reference (FEB 1998)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address(es):
Full text of the FAR clauses is available at https://www.acquisition.gov/far/ and full text of the AIDAR clauses is available at http://www.usaid.gov/ads/policy/300/aidar and http://www.usaid.gov/ads/policy/300/300.
I.2 Notice listing contract clauses incorporated by reference
The following contract clauses are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" as follows:
Clause Item Clause Number Clause Title Database List FAR 52.202-1 Definitions. (NOV 2013) FAR 52.203-3 Gratuities. (APR 1984) Covenant Against Contingent Fees. FAR 52.203-5 (MAY 2014) Restrictions on Subcontractor Sales to FAR 52.203-6 the Government. (SEP 2006) FAR 52.203-7 Anti-Kickback Procedures. (MAY 2014) Cancellation, Rescission, and Recovery of FAR 52.203-8 Funds for Illegal or Improper Activity. (MAY 2014) Price or Fee Adjustment for Illegal or FAR 52.203-10 Improper Activity. (MAY 2014)
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Clause Item Clause Number Clause Title Database List Limitation on Payments to Influence FAR 52.203-12 Certain Federal Transactions. (OCT 2010) Contractor Code of Business Ethics and FAR 52.203-13 Conduct. (OCT 2015) FAR 52.203-14 Display of Hotline Poster(s). (OCT 2015) Contractor Employee Whistleblower Rights and Requirement To Inform FAR 52.203-17 Employees of Whistleblower Rights. (APR 2014) FAR 52.204-2 Security Requirements. (AUG 1996) Printed or Copied Double-Sided on FAR 52.204-4 Postconsumer Fiber Content Paper. (MAY 2011) Personal Identity Verification of FAR 52.204-9 Contractor Personnel. (JAN 2011) Reporting Executive Compensation and FAR 52.204-10 First-Tier Subcontract Awards. (OCT 2018) System for Award Management FAR 52.204-13 Maintenance. (OCT 2018) Service Contract Reporting FAR 52.204-14 Requirements (OCT 2016) Protecting the Government's Interest When Subcontracting With Contractors FAR 52.209-6 Debarred, Suspended, or Proposed for Debarment. (OCT 2015) Updates of Publicly Available FAR 52.209-9 Information Regarding Responsibility Matters. (OCT 2018) Prohibition on Contracting With FAR 52.209-10 Inverted Domestic Corporations. (NOV 2015) FAR 52.210-1 Market Research. (APR 2011) Audit and Records - Negotiation. (OCT FAR 52.215-2 2010) Subcontractor Certified Cost or Pricing FAR 52.215-12 Data. (OCT 2010) Integrity of Unit Prices. (OCT 2010) - FAR 52.215-14 Alternate I (OCT 1997)
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Clause Item Clause Number Clause Title Database List Pension Adjustments and Asset FAR 52.215-15 Reversions. (OCT 2010) Waiver of Facilities Capital Cost of FAR 52.215-17 Money. (OCT 1997) Reversion or Adjustment of Plans for FAR 52.215-18 Postretirement Benefits (PRB) Other Than Pensions. (JUL 2005) Notification of Ownership Changes. FAR 52.215-19 (OCT 1997) Limitations on Pass-Through Charges. FAR 52.215-23 (OCT 2009) Limitations on Pass-Through Charges. FAR 52.215-23 (OCT 2009) -- Alternate I (OCT 2009) FAR 52.216-7 Allowable cost and Payment (AUG 2018) FAR 52.216-8 Fixed Fee. (JUN 2011) Cancellation under Multiyear Contracts FAR 52.217-2 (OCT 1997) Utilization of Small Business Concerns FAR 52.219-8 (OCT 2018) Small Business Subcontracting Plan. FAR 52.219-9 (AUG 2018) Limitations on Subcontracting. (JAN FAR 52.219-14 2017) Nondisplacement of Qualified Workers. FAR 52.222-17 (MAY 2014) Prohibition of segregated facilities. (APR FAR 52.222-21 2015) FAR 52.222-26 Equal Opportunity. (SEP 2016) FAR 52.222-29 Notification of visa denial. (APR 2015) Combating Trafficking in Persons. (JAN FAR 52.222-50 2019) Employment Eligibility Verification. FAR 52.222-54 (OCT 2015) Minimum Wages Under Executive Order FAR 52.222-55 13658. (DEC 2015) Encouraging Contractor Policies To Ban FAR 52.223-18 Text Messaging While Driving. (AUG 2011) Restrictions on Certain Foreign FAR 52.225-13 Purchases. (JUN 2008)
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Clause Item Clause Number Clause Title Database List Inconsistency between English Version FAR 52.225-14 and Translation of Contract. (FEB 2000) FAR 52.227-5 Waiver of Indemnity. (APR 1984) FAR 52.227-14 Rights in Data-General. (MAY 2014) Workers' Compensation Insurance FAR 52.228-3 (Defense Base Act). (JUL 2014) Insurance - Liability to Third Persons. FAR 52.228-7 (MAR 1996) Taxes - Foreign Cost-Reimbursement FAR 52.229-8 Contracts. (MAR 1990) FAR 52.230-2 Cost Accounting Standards. (OCT 2015) Disclosure and Consistency of Cost FAR 52.230-3 Accounting Practices. (OCT 2015) Disclosure and Consistency of Cost FAR 52.230-4 Accounting Practices-Foreign Concerns. (OCT 2015) Administration of Cost Accounting FAR 52.230-6 Standards. (JUN 2010) Limitation on Withholding of Payments. FAR 52.232-9 (APR 1984) FAR 52.232-17 Interest. (MAY 2014) FAR 52.232-22 Limitation of Funds. (APR 1984) FAR 52.232-23 Assignment of Claims. (MAY 2014) Prompt Payment. (JAN 2017) - Alternate FAR 52.232-25 I (FEB 2002) Payment by Electronic Funds Transfer- FAR 52.232-33 System for Award Management (OCT 2018) Unenforceability of Unauthorized FAR 52.232-39 Obligations. (JUN 2013) Providing Accelerated Payments to Small FAR 52.232-40 Business Subcontractors. (DEC 2013) FAR 52.233-1 Disputes. (MAY 2014) Protest After Award. (AUG 1996) - FAR 52.233-3 Alternate I (JUN 1985) Applicable Law for Breach of Contract FAR 52.233-4 Claim. (OCT 2004) Waiver of Limitation on Severance FAR 52.237-9 Payments to Foreign Nationals. (MAY 2014)
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Clause Item Clause Number Clause Title Database List Notice of Intent to Disallow Costs. (APR FAR 52.242-1 1984) Production Progress Reports. (APR FAR 52.242-2 1991) Penalties for Unallowable Costs. (MAY FAR 52.242-3 2014) Certification of Final Indirect Costs. FAR 52.242-4 (JAN 1997) Payments to Small Business FAR 52.242-5 Subcontractors. (JAN 2017) FAR 52.242-13 Bankruptcy (JUL 1995) Changes - Cost-Reimbursement. (AUG FAR 52.243-2 1987) - Alternate I (APR 1984) FAR 52.244-2 Subcontracts. (OCT 2010) Competition in Subcontracting. (DEC FAR 52.244-5 1996) Subcontracts for Commercial Items. FAR 52.244-6 (AUG 2019) FAR 52.245-1 Government Property. (JAN 2017) FAR 52.245-9 Use and Charges. (APR 2012) Limitation of Liability - Services. (FEB FAR 52.246-25 1997) Preference for U.S.-Flag Air Carriers FAR 52.247-63 (JUN 2003) FAR 52.248-1 Value Engineering. (OCT 2010) Value Engineering. (OCT 2010) - FAR 52.248-1 Alternate I (APR 1984) Termination (Cost-Reimbursement). FAR 52.249-6 (MAY 2004) FAR 52.249-14 Excusable Delays. (APR 1984) FAR 52.253-1 Computer Generated Forms. (JAN 1991) Partner vetting pre-award requirements. AIDAR 752.204-70 (FEB 2012) AIDAR 752.204-71 Partner vetting. (FEB 2012) Partner vetting. (FEB 2012) - Alternate I AIDAR 752.204-71 (FEB 2012) Access to USAID Facilities and USAID's AIDAR 752.204-72 Information Systems. (AUG 2013) Organizational conflicts of interest AIDAR 752.209-71 discovered after award. (JUN 1993)
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Clause Item Clause Number Clause Title Database List AIDAR 752.211-70 Language and measurement. (JUN 1992) Utilization of small business concerns AIDAR 752.219-8 and small disadvantaged business concerns. (MAR 2015) USAID Mentor-Protege Program. (JUL AIDAR 752.219-70 2007) Mentor requirements and evaluation. AIDAR 752.219-71 (JUL 2007) Buy American Act - Trade Agreements AIDAR 752.225-9 Act - Balance of Payments Program. AIDAR 752.227-14 Rights in Data-general. (OCT 2007) AIDAR 752.227-70 Patent reporting procedures. (AUG 1999) Insurance - liability to third persons. AIDAR 752.228-7 (JUL 1997) AIDAR 752.228-9 Cargo insurance. (DEC 1998) Medical Evacuation (MEDEVAC) AIDAR 752.228-70 Services. (JUL 2007) AIDAR 752.229-70 Federal, state and local taxes. Conference planning and required AIDAR 752.231-72 approvals. (AUG 2013) Letter of Credit Advance Payment. AIDAR 752.232-70 (MAR 2015) Standards for Accessibility for the AIDAR 752.236-70 Disabled in USAID Construction Contracts. (JUL 2007) AIDAR 752.242-70 Periodic progress reports. (OCT 2007) Preference for privately owned U.S.-flag AIDAR 752.247-70 commercial vessels. (OCT 1996) Provisions and clauses to be completed AIDAR 752.252-70 by the offeror. (MAR 2015) AIDAR 752.7001 Biographical data. (JUL 1997) AIDAR 752.7002 Travel and transportation. (JAN 1990) Emergency locator information. (JUL AIDAR 752.7004 1997) Use of Government Facilities or AIDAR 752.7008 Personnel. (APR 1984) Conversion of U.S. Dollars to Local AIDAR 752.7010 Currency. (APR 1984) Orientation and Language Training. AIDAR 752.7011 (APR 1984)
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Clause Item Clause Number Clause Title Database List Contractor-Mission Relationships. (OCT AIDAR 752.7013 1989) Notice of Changes in Travel Regulations. AIDAR 752.7014 (JAN 1990) AIDAR 752.7015 Use of Pouch Facilities. (JUL 1997) Health and accident coverage for USAID AIDAR 752.7018 participant trainees. (JAN 1999) AIDAR 752.7019 Participant training. (JAN 1999) AIDAR 752.7021 Changes in Tuition and Fees. (APR 1984) Conflicts Between Contract and Catalog. AIDAR 752.7022 (APR 1984) Required Visa Form for USAID AIDAR 752.7023 Participants. (APR 1984) AIDAR 752.7025 Approvals. (APR 1984) AIDAR 752.7027 Personnel. (DEC 1990) AIDAR 752.7028 Differential and allowances. (JUL 1996) AIDAR 752.7029 Post Privileges. (JUL 1993) Inspection Trips by Contractor's Officers AIDAR 752.7030 and Executives. (APR 1984) AIDAR 752.7031 Leave and holidays. (OCT 1989) International Travel Approval and AIDAR 752.7032 Notification Requirements (APR 2014) AIDAR 752.7033 Physical fitness. (JUL 1997) Acknowledgment and Disclaimer. (DEC AIDAR 752.7034 1991) AIDAR 752.7035 Public notices. (DEC 1991) Child safeguarding standards. (AUG AIDAR 752.7037 2016) Nondiscrimination against End-Users of AIDAR 752.7038 Supplies or Services. (OCT 2016) Voluntary Population Planning Activities AIDAR 752.7101 (JUN 2008)
I.3 52.204-1 Approval of contract (DEC 1989)
This contract is subject to the written approval of the Contracting Officer and shall not be binding until so approved.
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I.4 52.217-8 Option to extend services (NOV 1999)
The Government may require continued performance of any services within the limits and at the rates specified in the contract. These rates may be adjusted only as a result of revisions to prevailing labor rates provided by the Secretary of Labor. The option provision may be exercised more than once, but the total extension of performance hereunder shall not exceed 6 months. The Contracting Officer may exercise the option by written notice to the Contractor within 30 days.
I.6 52.222-35 Equal opportunity for veterans (OCT 2015)
(a) Definitions. As used in this clause-
"Active duty wartime or campaign badge veteran," "Armed Forces service medal veteran," "disabled veteran," "protected veteran," "qualified disabled veteran," and "recently separated veteran" have the meanings given at FAR 22.1301.
(b) Equal opportunity clause. The Contractor shall abide by the requirements of the equal opportunity clause at 41 CFR 60-300.5(a), as of March 24, 2014. This clause prohibits discrimination against qualified protected veterans, and requires affirmative action by the Contractor to employ and advance in employment qualified protected veterans.
(c) Subcontracts. The Contractor shall insert the terms of this clause in subcontracts of $150,000 or more unless exempted by rules, regulations, or orders of the Secretary of Labor. The Contractor shall act as specified by the Director, Office of Federal Contract Compliance Programs, to enforce the terms, including action for noncompliance. Such necessary changes in language may be made as shall be appropriate to identify properly the parties and their undertakings.
I.7 52.222-36 Equal opportunity for workers with disabilities (JUL 2014)
(a) Equal opportunity clause. The Contractor shall abide by the requirements of the equal opportunity clause at 41 CFR 60-741.5(a), as of March 24, 2014. This clause prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by the Contractor to employ and advance in employment qualified individuals with disabilities.
(b) Subcontracts. The Contractor shall include the terms of this clause in every subcontract or purchase order in excess of $15,000 unless exempted by rules, regulations, or orders of the Secretary, so that such provisions will be binding
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upon each subcontractor or vendor. The Contractor shall act as specified by the Director, Office of Federal Contract Compliance Programs of the U.S. Department of Labor, to enforce the terms, including action for noncompliance. Such necessary changes in language may be made as shall be appropriate to identify properly the parties and their undertakings.
I.8 52.222-50 Combating trafficking in persons (MAR 2015)
(a) Definitions. As used in this clause-
Agent means any individual, including a director, an officer, an employee, or an independent contractor, authorized to act on behalf of the organization.
Coercion means-
(1) Threats of serious harm to or physical restraint against any person;
(2) Any scheme, plan, or pattern intended to cause a person to believe that failure to perform an act would result in serious harm to or physical restraint against any person; or
(3) The abuse or threatened abuse of the legal process.
Commercial sex act means any sex act on account of which anything of value is given to or received by any person.
Commercially available off-the-shelf (COTS) item means-
(1) Any item of supply (including construction material) that is-
(i) A commercial item (as defined in paragraph (1) of the definition at FAR 2.101);
(ii) Sold in substantial quantities in the commercial marketplace; and
(iii) Offered to the Government, under a contract or subcontract at any tier, without modification, in the same form in which it is sold in the commercial marketplace; and
(2) Does not include bulk cargo, as defined in 46 U.S.C. 40102(4), such as agricultural products and petroleum products.
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Debt bondage means the status or condition of a debtor arising from a pledge by the debtor of his or her personal services or of those of a person under his or her control as a security for debt, if the value of those services as reasonably assessed is not applied toward the liquidation of the debt or the length and nature of those services are not respectively limited and defined.
Employee means an employee of the Contractor directly engaged in the performance of work under the contract who has other than a minimal impact or involvement in contract performance.
Forced Labor means knowingly providing or obtaining the labor or services of a person-
(1) By threats of serious harm to, or physical restraint against, that person or another person;
(2) By means of any scheme, plan, or pattern intended to cause the person to believe that, if the person did not perform such labor or services, that person or another person would suffer serious harm or physical restraint; or
(3) By means of the abuse or threatened abuse of law or the legal process.
Involuntary servitude includes a condition of servitude induced by means of-
(1) Any scheme, plan, or pattern intended to cause a person to believe that, if the person did not enter into or continue in such conditions, that person or another person would suffer serious harm or physical restraint; or
(2) The abuse or threatened abuse of the legal process.
Severe forms of trafficking in persons means-
(1) Sex trafficking in which a commercial sex act is induced by force, fraud, or coercion, or in which the person induced to perform such act has not attained 18 years of age; or
(2) The recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.
Sex trafficking means the recruitment, harboring, transportation, provision, or obtaining of a person for the purpose of a commercial sex act.
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Subcontract means any contract entered into by a subcontractor to furnish supplies or services for performance of a prime contract or a subcontract.
Subcontractor means any supplier, distributor, vendor, or firm that furnishes supplies or services to or for a prime contractor or another subcontractor.
United States means the 50 States, the District of Columbia, and outlying areas.
(b) Policy. The United States Government has adopted a policy prohibiting trafficking in persons including the trafficking-related activities of this clause. Contractors, contractor employees, and their agents shall not-
(1) Engage in severe forms of trafficking in persons during the period of performance of the contract;
(2) Procure commercial sex acts during the period of performance of the contract;
(3) Use forced labor in the performance of the contract;
(4) Destroy, conceal, confiscate, or otherwise deny access by an employee to the employee's identity or immigration documents, such as passports or drivers' licenses, regardless of issuing authority;
(5)(i) Use misleading or fraudulent practices during the recruitment of employees or offering of employment, such as failing to disclose, in a format and language accessible to the worker, basic information or making material misrepresentations during the recruitment of employees regarding the key terms and conditions of employment, including wages and fringe benefits, the location of work, the living conditions, housing and associated costs (if employer or agent provided or arranged), any significant cost to be charged to the employee, and, if applicable, the hazardous nature of the work;
(ii) Use recruiters that do not comply with local labor laws of the country in which the recruiting takes place;
(6) Charge employees recruitment fees;
(7)(i) Fail to provide return transportation or pay for the cost of return transportation upon the end of employment-
(A) For an employee who is not a national of the country in which the work is taking place and who was brought into that country for the purpose of working on a U.S.
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Government contract or subcontract (for portions of contracts performed outside the United States); or
(B) For an employee who is not a United States national and who was brought into the United States for the purpose of working on a U.S. Government contract or subcontract, if the payment of such costs is required under existing temporary worker programs or pursuant to a written agreement with the employee (for portions of contracts performed inside the United States); except that-
(ii) The requirements of paragraphs (b)(7)(i) of this clause shall not apply to an employee who is-
(A) Legally permitted to remain in the country of employment and who chooses to do so; or
(B) Exempted by an authorized official of the contracting agency from the requirement to provide return transportation or pay for the cost of return transportation;
(iii) The requirements of paragraph (b)(7)(i) of this clause are modified for a victim of trafficking in persons who is seeking victim services or legal redress in the country of employment, or for a witness in an enforcement action related to trafficking in persons. The contractor shall provide the return transportation or pay the cost of return transportation in a way that does not obstruct the victim services, legal redress, or witness activity. For example, the contractor shall not only offer return transportation to a witness at a time when the witness is still needed to testify. This paragraph does not apply when the exemptions at paragraph (b)(7)(ii) of this clause apply.
(8) Provide or arrange housing that fails to meet the host country housing and safety standards; or
(9) If required by law or contract, fail to provide an employment contract, recruitment agreement, or other required work document in writing. Such written work document shall be in a language the employee understands. If the employee must relocate to perform the work, the work document shall be provided to the employee at least five days prior to the employee relocating. The employee's work document shall include, but is not limited to, details about work description, wages, prohibition on charging recruitment fees, work location(s), living accommodations and associated costs, time off, roundtrip transportation arrangements, grievance process,
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and the content of applicable laws and regulations that prohibit trafficking in persons.
(c) Contractor requirements. The Contractor shall-
(1) Notify its employees and agents of-
(i) The United States Government's policy prohibiting trafficking in persons, described in paragraph (b) of this clause; and
(ii) The actions that will be taken against employees or agents for violations of this policy. Such actions for employees may include, but are not limited to, removal from the contract, reduction in benefits, or termination of employment; and
(2) Take appropriate action, up to and including termination, against employees, agents, or subcontractors that violate the policy in paragraph (b) of this clause.
(d) Notification. (1) The Contractor shall inform the Contracting Officer and the agency Inspector General immediately of-
(i) Any credible information it receives from any source (including host country law enforcement) that alleges a Contractor employee, subcontractor, subcontractor employee, or their agent has engaged in conduct that violates the policy in paragraph (b) of this clause (see also 18 U.S.C. 1351, Fraud in Foreign Labor Contracting, and 52.203-13(b)(3)(i)(A), if that clause is included in the solicitation or contract, which requires disclosure to the agency Office of the Inspector General when the Contractor has credible evidence of fraud); and
(ii) Any actions taken against a Contractor employee, subcontractor, subcontractor employee, or their agent pursuant to this clause.
(2) If the allegation may be associated with more than one contract, the Contractor shall inform the contracting officer for the contract with the highest dollar value.
(e) Remedies. In addition to other remedies available to the Government, the Contractor's failure to comply with the requirements of paragraphs (c), (d), (g), (h), or (i) of this clause may result in-
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(1) Requiring the Contractor to remove a Contractor employee or employees from the performance of the contract;
(2) Requiring the Contractor to terminate a subcontract;
(3) Suspension of contract payments until the Contractor has taken appropriate remedial action;
(4) Loss of award fee, consistent with the award fee plan, for the performance period in which the Government determined Contractor non- compliance;
(5) Declining to exercise available options under the contract;
(6) Termination of the contract for default or cause, in accordance with the termination clause of this contract; or
(7) Suspension or debarment.
(f) Mitigating and aggravating factors. When determining remedies, the Contracting Officer may consider the following:
(1) Mitigating factors. The Contractor had a Trafficking in Persons compliance plan or an awareness program at the time of the violation, was in compliance with the plan, and has taken appropriate remedial actions for the violation, that may include reparation to victims for such violations.
(2) Aggravating factors. The Contractor failed to abate an alleged violation or enforce the requirements of a compliance plan, when directed by the Contracting Officer to do so.
(g) Full cooperation. (1) The Contractor shall, at a minimum-
(i) Disclose to the agency Inspector General information sufficient to identify the nature and extent of an offense and the individuals responsible for the conduct;
(ii) Provide timely and complete responses to Government auditors' and investigators' requests for documents;
(iii) Cooperate fully in providing reasonable access to its facilities and staff (both inside and outside the U.S.) to allow contracting agencies and other responsible Federal agencies to conduct audits,
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investigations, or other actions to ascertain compliance with the Trafficking Victims Protection Act of 2000 (22 U.S.C. chapter 78), E.O. 13627, or any other applicable law or regulation establishing restrictions on trafficking in persons, the procurement of commercial sex acts, or the use of forced labor; and
(iv) Protect all employees suspected of being victims of or witnesses to prohibited activities, prior to returning to the country from which the employee was recruited, and shall not prevent or hinder the ability of these employees from cooperating fully with Government authorities.
(2) The requirement for full cooperation does not foreclose any Contractor rights arising in law, the FAR, or the terms of the contract. It does not-
(i) Require the Contractor to waive its attorney-client privilege or the protections afforded by the attorney work product doctrine;
(ii) Require any officer, director, owner, employee, or agent of the Contractor, including a sole proprietor, to waive his or her attorney client privilege or Fifth Amendment rights; or
(iii) Restrict the Contractor from-
(A) Conducting an internal investigation; or
(B) Defending a proceeding or dispute arising under the contract or related to a potential or disclosed violation.
(h) Compliance plan. (1) This paragraph (h) applies to any portion of the contract that-
(i) Is for supplies, other than commercially available off-the-shelf items, acquired outside the United States, or services to be performed outside the United States; and
(ii) Has an estimated value that exceeds $500,000.
(2) The Contractor shall maintain a compliance plan during the performance of the contract that is appropriate-
(i) To the size and complexity of the contract; and
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(ii) To the nature and scope of the activities to be performed for the Government, including the number of non-United States citizens expected to be employed and the risk that the contract or subcontract will involve services or supplies susceptible to trafficking in persons.
(3) Minimum requirements. The compliance plan must include, at a minimum, the following:
(i) An awareness program to inform contractor employees about the Government's policy prohibiting trafficking-related activities described in paragraph (b) of this clause, the activities prohibited, and the actions that will be taken against the employee for violations. Additional information about Trafficking in Persons and examples of awareness programs can be found at the Web site for the Department of State's Office to Monitor and Combat Trafficking in Persons at http://www.state.gov/j/tip/.
(ii) A process for employees to report, without fear of retaliation, activity inconsistent with the policy prohibiting trafficking in persons, including a means to make available to all employees the hotline phone number of the Global Human Trafficking Hotline at 1-844-888-FREE and its email address at [email protected].
(iii) A recruitment and wage plan that only permits the use of recruitment companies with trained employees, prohibits charging recruitment fees to the employee, and ensures that wages meet applicable host-country legal requirements or explains any variance.
(iv) A housing plan, if the Contractor or subcontractor intends to provide or arrange housing, that ensures that the housing meets host-country housing and safety standards.
(v) Procedures to prevent agents and subcontractors at any tier and at any dollar value from engaging in trafficking in persons (including activities in paragraph (b) of this clause) and to monitor, detect, and terminate any agents, subcontracts, or subcontractor employees that have engaged in such activities.
(4) Posting. (i) The Contractor shall post the relevant contents of the compliance plan, no later than the initiation of contract performance, at the workplace (unless the work is to be performed in the field or not in a fixed location) and on the Contractor's Web site (if one is maintained). If posting at the workplace or on the Web site is impracticable, the
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Contractor shall provide the relevant contents of the compliance plan to each worker in writing.
(ii) The Contractor shall provide the compliance plan to the Contracting Officer upon request.
(5) Certification. Annually after receiving an award, the Contractor shall submit a certification to the Contracting Officer that-
(i) It has implemented a compliance plan to prevent any prohibited activities identified at paragraph (b) of this clause and to monitor, detect, and terminate any agent, subcontract or subcontractor employee engaging in prohibited activities; and
(ii) After having conducted due diligence, either-
(A) To the best of the Contractor's knowledge and belief, neither it nor any of its agents, subcontractors, or their agents is engaged in any such activities; or
(B) If abuses relating to any of the prohibited activities identified in paragraph (b) of this clause have been found, the Contractor or subcontractor has taken the appropriate remedial and referral actions.
(i) Subcontracts. (1) The Contractor shall include the substance of this clause, including this paragraph (i), in all subcontracts and in all contracts with agents. The requirements in paragraph (h) of this clause apply only to any portion of the subcontract that-
(A) Is for supplies, other than commercially available off- the-shelf items, acquired outside the United States, or services to be performed outside the United States; and
(B) Has an estimated value that exceeds $500,000.
(2) If any subcontractor is required by this clause to submit a certification, the Contractor shall require submission prior to the award of the subcontract and annually thereafter. The certification shall cover the items in paragraph (h)(5) of this clause.
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I.9 52.232-40 Providing accelerated payments to small business subcontractors (DEC 2013)
(a) Upon receipt of accelerated payments from the Government, the Contractor shall make accelerated payments to its small business subcontractors under this contract, to the maximum extent practicable and prior to when such payment is otherwise required under the applicable contract or subcontract, after receipt of a proper invoice and all other required documentation from the small business subcontractor.
(b) The acceleration of payments under this clause does not provide any new rights under the Prompt Payment Act.
(c) Include the substance of this clause, including this paragraph (c), in all subcontracts with small business concerns, including subcontracts with small business concerns for the acquisition of commercial items.
I.10 752.227-14 Rights in data - General (OCT 2007)
The following paragraph (d) replaces paragraph (d) of (48 CFR) FAR 52.227-14 Rights in Data-General.
(d) Release, publication and use of data. (1) For all data first produced or specifically used by the Contractor in the performance of this contract in the United States, its territories, or Puerto Rico, the Contractor shall have the right to use, release to others, reproduce, distribute, or publish such data, except to the extent such data may be subject to the Federal export control or national security laws or regulations, or unless otherwise provided in this paragraph of this clause or expressly set forth in this contract (see paragraph (d)(3) for limitations on contracts performed outside of the US).
(2) The Contractor agrees that to the extent it receives or is given access to data necessary for the performance of this contract which contain restrictive markings, the Contractor shall treat the data in accordance with such markings unless otherwise specifically authorized in writing by the contracting officer.
(3) For all data first produced or specifically used by the Contractor in the overseas performance of this contract, the Contractor shall not release, reproduce, distribute, or publish such data without the written permission of the contracting officer. The Government also may require the contractor to assign copyright to the Government or another party as circumstances warrant or as specifically stated elsewhere in the contract.
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I.11 752.229-71 Reporting of foreign taxes (JUL 2007)
(a) The contractor must annually submit a report by April 16 of the next year.
(b) Contents of report. The report must contain:
(1) Contractor name.
(2) Contact name with phone, fax number and email address.
(3) Contract number(s).
(4) Amount of foreign taxes assessed by a foreign government (each foreign government must be listed separately) on commodity purchase transactions valued at $500 or more financed with U.S. foreign assistance funds under this agreement during the prior U.S. fiscal year.
(5) Only foreign taxes assessed by the foreign government in the country receiving U.S. assistance are to be reported. Foreign taxes by a third party foreign government are not to be reported. For example, if a contractor performing in Lesotho using foreign assistance funds should purchase commodities in South Africa, any taxes imposed by South Africa would not be included in the report for Lesotho (or South Africa).
(6) Any reimbursements received by the contractor during the period in paragraph (b)(4) of this clause regardless of when the foreign tax was assessed and any reimbursements on the taxes reported in paragraph (b)(4) of this clause received through March 31.
(7) Report is required even if the contractor did not pay any taxes during the reporting period.
(8) Cumulative reports may be provided if the contractor is implementing more than one program in a foreign country.
(c) Definitions. As used in this clause-
(1) Agreement includes USAID direct and country contracts, grants, cooperative agreements and interagency agreements.
(2) Commodity means any material, article, supply, goods, or equipment.
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(3) Foreign government includes any foreign governmental entity.
(4) Foreign taxes means value-added taxes and customs duties assessed by a foreign government on a commodity. It does not include foreign sales taxes.
(d) Where. Submit the reports to: One copy of each report should be sent to the COR and one copy to the Regional Controller located at USAID/Bosnia at the Bosnian address listed in Section G.8, “Invoicing Instructions”.
(e) Subagreements. The contractor must include this reporting requirement in all applicable subcontracts and other subagreements.
(f) For further information see http://2001-2009.state.gov/s/d/rm/c10443.htm.
I.12 752.231-71 Salary supplements for host government employees (MAR 2015)
(a) Salary supplements are payments made that augment an employee's base salary or premiums, overtime, extra payments, incentive payment and allowances for which the HG employee would qualify under HG rules or practice for the performance of his/hers regular duties or work performed during his/hers regular office hours. Per diem, invitational travel, honoraria and payment for work carried out outside of normal working hours are not considered to be salary supplements.
(b) Salary supplements to HG Employees are not allowable without the written approval of the contracting officer.
(c) The Contractor must insert a clause containing all the terms of this clause, including the requirement to obtain the written approval of the contracting officer for all salary supplements, in all subcontracts under this contract that may entail HG employee salary supplements.
I.13 752.7036 USAID implementing partner notices (IPN) portal for acquisition (JUL 2014)
(a) Definitions. As used in this clause-
"Universal" bilateral modification means a bilateral modification, as defined in FAR subpart 43.1, that updates or incorporates new FAR or AIDAR clauses, other terms and conditions, or special requirements, affecting all USAID awards or a class of awards, as specified in the Agency notification of such modification.
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USAID Implementing Partner Notices (IPN) Portal for Acquisition (IPN Portal) means the single point where USAID uploads universal bilateral modifications, which can be accessed electronically by registered USAID contractors. The IPN Portal is located at https://sites.google.com/site/usaidipnforacquisitions/.
IPN Portal Administrator means the USAID official designated by the M/OAA Director, who has overall responsibility for managing the USAID Implementing Partner Notices Portal for Acquisition.
(b) By submission of an offer and execution of a contract, the Offeror/Contractor acknowledges the requirement to:
(1) Register with the IPN Portal if awarded a contract resulting from this solicitation; and
(2) Receive universal bilateral modifications of this contract and general notices through the IPN Portal.
(c) Procedure to register for notifications. Go to: https://sites.google.com/site/usaidipnforacquisitions/ and click the "Register" button at the top of the page. Contractor representatives must use their official organization email address when subscribing, not personal email addresses.
(d) Processing of IPN portal modifications.
(1) The contractor may access the IPN Portal at any time to review all IPN Portal modifications; however, the system will also notify the contractor by email when the USAID IPN Portal Administrator uploads a universal bilateral modification for contractor review and signature. Proposed IPN Portal modifications distributed through the IPN Portal are applicable to all awards, unless otherwise noted in the proposed modification.
(2) Within 15 calendar days from receipt of the notification email from the IPN Portal, the contractor must do one of the following:
(i)(A) Verify applicability of the proposed modification to their award(s) per the instructions provided with each modification;
(B) Download the modification and incorporate the following information on the SF30 form: contract number, organization name, and organization mailing address as it appears in the basic award;
(C) Sign the hardcopy version; and
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(D) Send the signed modification (by email or hardcopy) to the contracting officer for signature;
Note to paragraph (d)(2)(i): The contractor must not incorporate any other changes to the IPN Portal modification.
(ii) Notify the Contracting Officer in writing if the modification requires negotiation of the additional changes to terms and conditions of the contract; or
(iii) Notify the contracting officer that the contractor declines to sign the modification.
(3) Within 30 calendar days of receipt of a signed modification from the contractor, the contracting officer must provide the fully executed modification to the contractor or initiate discussions with the contractor. Bilateral modifications provided through the IPN Portal are not effective until both the contractor and the contracting officer sign the modification.
I.14 752.7037 Child safeguarding standards (AUG 2016)
(a) Implementation of activities under this award may involve children, or personnel engaged in the implementation of the award may come into contact with children, which could raise the risk of child abuse, exploitation, or neglect within this award. The contractor agrees to abide by the following child safeguarding core principles:
(1) Ensure compliance with host country and local child welfare and protection legislation or international standards, whichever gives greater protection, and with U.S. law where applicable;
(2) Prohibit all personnel from engaging in child abuse, exploitation, or neglect;
(3) Consider child safeguarding in project planning and implementation to determine potential risks to children that are associated with project activities and operations;
(4) Apply measures to reduce the risk of child abuse, exploitation, or neglect, including, but not limited to, limiting unsupervised interactions with children; prohibiting exposure to pornography; and complying with applicable laws, regulations, or customs regarding the photographing, filming, or other image- generating activities of children;
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(5) Promote child-safe screening procedures for personnel, particularly personnel whose work brings them in direct contact with children; and
(6) Have a procedure for ensuring that personnel and others recognize child abuse, exploitation, or neglect; mandating that personnel and others report allegations; investigating and managing allegations; and taking appropriate action in response to such allegations, including, but not limited to, dismissal of personnel.
(b) The contractor must also include in the code of conduct for all personnel implementing USAID-funded activities, the child safeguarding principles in paragraphs (a)(1) through (6) of this clause.
(c) The following definitions apply for purposes of this clause:
(1) Child. A child or children are defined as persons who have not attained 18 years of age.
(2) Child abuse, exploitation, or neglect. Constitutes any form of physical abuse; emotional ill-treatment; sexual abuse; neglect or insufficient supervision; trafficking; or commercial, transactional, labor, or other exploitation resulting in actual or potential harm to the child's health, well-being, survival, development, or dignity. It includes, but is not limited to: Any act or failure to act which results in death, serious physical or emotional harm to a child, or an act or failure to act which presents an imminent risk of serious harm to a child.
(3) Emotional abuse or ill treatment. Constitutes injury to the psychological capacity or emotional stability of the child caused by acts, threats of acts, or coercive tactics. Emotional abuse may include, but is not limited to: Humiliation, control, isolation, withholding of information, or any other deliberate activity that makes the child feel diminished or embarrassed.
(4) Exploitation. Constitutes the abuse of a child where some form of remuneration is involved or whereby the perpetrators benefit in some manner. Exploitation represents a form of coercion and violence that is detrimental to the child's physical or mental health, development, education, or wellbeing.
(5) Neglect. Constitutes failure to provide for a child's basic needs within USAID- funded activities that are responsible for the care of a child in the absence of the child's parent or guardian.
(6) Physical abuse. Constitutes acts or failures to act resulting in injury (not necessarily visible), unnecessary or unjustified pain or suffering without causing injury, harm or risk of harm to a child's health or welfare, or death. Such acts may include, but are not limited to: Punching, beating, kicking, biting, shaking,
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throwing, stabbing, choking, or hitting (regardless of object used), or burning. These acts are considered abuse regardless of whether they were intended to hurt the child.
(7) Sexual abuse. Constitutes fondling a child's genitals, penetration, incest, rape, sodomy, indecent exposure, and exploitation through prostitution or the production of pornographic materials.
(d) The contractor must insert this clause in all subcontracts under this award.
I.15 752.7038 Nondiscrimination against end-users of supplies or services (OCT 2016)
(a) USAID policy requires that the contractor not discriminate against any end- user of the contract supplies or services (i.e., the beneficiaries of the supplies or services) in implementation of this award, such as, but not limited to, by withholding, adversely impacting, or denying equitable access to the supplies or services (benefits) provided through this contract on the basis of any factor not expressly stated in the award. This includes, for example, race, color, religion, sex (including gender identity, sexual orientation, and pregnancy), national origin, disability, age, genetic information, marital status, parental status, political affiliation, or veteran's status. Nothing in this clause is intended to limit the ability of the contractor to target activities toward the assistance needs of certain populations as defined in the contract.
(b) The Contractor must insert this clause, including this paragraph, in all subcontracts under this contract.
END OF SECTION I
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PART III—LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS
SECTION J—LIST OF EXHIBITS AND ATTACHMENTS
Documents may be accessed electronically at the sites listed below. If the form is not available on a site, it is attached to this solicitation. All attachments are also provided as separate files in https://beta.sam.gov/.
Attachment Title Number J.1 Annex to the SOW-Background (It is included in the attachments section at the end of this solicitation) J.2 Budget template (Uploaded to beta.sam.gov as a separate Microsoft Excel file) J.3 Branding and Marking template (It is included in the attachments section at the end of this solicitation and as a separate Microsoft Word document in https://beta.sam.gov/) J.4 MEL Template including Logframe (It is included in the attachments section at the end of this solicitation and as a separate Microsoft Word document in https://beta.sam.gov/) J.5 SF LLL Disclosure of Lobbying Activities (It is included in the attachments section at the end of this solicitation. Also see fill-in version at: https://www.gsa.gov/forms-library/disclosure-lobbying- activities) J.6 Small Business Subcontracting Plan Template (The electronic version is uploaded in the solicitation package as a separate Microsoft Word file in https://beta.sam.gov/ .See also http://www.usaid.gov/business/small_business/subcontracting-program) J.7 Contractor Past Performance Information (It is included in the attachments section at the end of this solicitation)
END OF SECTION J
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SECTION K - REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF OFFERORS
K.1 Notice listing contract clauses incorporated by reference
The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with FAR § 52.252-2, “Clauses Incorporated By Reference,” in Section I of this contract.
NUMBER TITLE DATE
Federal Acquisition Regulation (48 CFR Chapter 1)
52.203-11 CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (SEP 2007) 52.204-17 OWNERSHIP OR CONTROL OF OFFEROR (JUL 2016) 52.204-19 INCORPORATION BY REFERENCE OF REPRESENTATIONS AND CERTIFICATIONS (DEC 2014) 52.209-2 PROHIBITION ON CONTRACTING WITH INVERTED DOMESTIC CORPORATIONS-REPRESENTATION (NOV 2015) 52.222-38 COMPLIANCE WITH VETERANS' EMPLOYMENT REPORTING REQUIREMENTS (FEB 2016) 52.225-25 PROHIBITION ON CONTRACTING WITH ENTITIES ENGAGING IN CERTAIN ACTIVITIES OR TRANSACTIONS RELATING TO IRAN-REPRESENTATION AND CERTIFICATIONS (OCT 2015) 52.222-56 CERTIFICATION REGARDING TRAFFICKING IN PERSONS COMPLIANCE PLAN (MAR 2015)
K.2 52.204-8 Annual representations and certifications (JAN 2017)
(a)(1) The North American Industry Classification System (NAICS) code for this acquisition is 541990.
(2) The small business size standard is $15Million.
(3) The small business size standard for a concern which submits an offer in its own name, other than on a construction or service contract, but
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which proposes to furnish a product which it did not itself manufacture, is 500 employees.
(b)(1) If the provision at 52.204-7, System for Award Management, is included in this solicitation, paragraph (d) of this provision applies.
(2) If the provision at 52.204-7 is not included in this solicitation, and the offeror is currently registered in the System for Award Management (SAM), and has completed the Representations and Certifications section of SAM electronically, the offeror may choose to use paragraph (d) of this provision instead of completing the corresponding individual representations and certifications in the solicitation. The offeror shall indicate which option applies by checking one of the following boxes:
___ (i) Paragraph (d) applies.
___ (ii) Paragraph (d) does not apply and the offeror has completed the individual representations and certifications in the solicitation.
(c)(1) The following representations or certifications in SAM are applicable to this solicitation as indicated:
(i) 52.203-2, Certificate of Independent Price Determination. This provision applies to solicitations when a firm-fixed-price contract or fixed-price contract with economic price adjustment is contemplated, unless-
(A) The acquisition is to be made under the simplified acquisition procedures in Part 13;
(B) The solicitation is a request for technical proposals under two-step sealed bidding procedures; or
(C) The solicitation is for utility services for which rates are set by law or regulation.
(ii) 52.203-11, Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions. This provision applies to solicitations expected to exceed $150,000.
(iii) 52.203-18, Prohibition on Contracting with Entities that Require Certain Internal Confidentiality Agreements or Statements-Representation. This provision applies to all solicitations.
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(iv) 52.204-3, Taxpayer Identification. This provision applies to solicitations that do not include provision at 52.204-7, System for Award Management.
(v) 52.204-5, Women-Owned Business (Other Than Small Business). This provision applies to solicitations that-
(A) Are not set aside for small business concerns;
(B) Exceed the simplified acquisition threshold; and
(C) Are for contracts that will be performed in the United States or its outlying areas.
(vi) 52.209-2, Prohibition on Contracting with Inverted Domestic Corporations-Representation.
(vii) 52.209-5, Certification Regarding Responsibility Matters. This provision applies to solicitations where the contract value is expected to exceed the simplified acquisition threshold.
(viii) 52.209-11, Representation by Corporations Regarding Delinquent Tax Liability or a Felony Conviction under any Federal Law. This provision applies to all solicitations.
(ix) 52.214-14, Place of Performance-Sealed Bidding. This provision applies to invitations for bids except those in which the place of performance is specified by the Government.
(x) 52.215-6, Place of Performance. This provision applies to solicitations unless the place of performance is specified by the Government.
(xi) 52.219-1, Small Business Program Representations (Basic & Alternate I). This provision applies to solicitations when the contract will be performed in the United States or its outlying areas.
(A) The basic provision applies when the solicitations are issued by other than DoD, NASA, and the Coast Guard.
(B) The provision with its Alternate I applies to solicitations issued by DoD, NASA, or the Coast Guard.
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(xii) 52.219-2, Equal Low Bids. This provision applies to solicitations when contracting by sealed bidding and the contract will be performed in the United States or its outlying areas.
(xiii) 52.222-22, Previous Contracts and Compliance Reports. This provision applies to solicitations that include the clause at 52.222- 26, Equal Opportunity.
(xiv) 52.222-25, Affirmative Action Compliance. This provision applies to solicitations, other than those for construction, when the solicitation includes the clause at 52.222-26, Equal Opportunity.
(xv) 52.222-38, Compliance with Veterans' Employment Reporting Requirements. This provision applies to solicitations when it is anticipated the contract award will exceed the simplified acquisition threshold and the contract is not for acquisition of commercial items.
(xvi) 52.222-57, Representation Regarding Compliance with Labor Laws (Executive Order 13673). This provision applies to solicitations expected to exceed $50 million which are issued from October 25, 2016 through April 24, 2017, and solicitations expected to exceed $500,000, which are issued after April 24, 2017.
Note to paragraph (c)(1)(xvi): By a court order issued on October 24, 2016, 52.222-57 is enjoined indefinitely as of the date of the order. The enjoined paragraph will become effective immediately if the court terminates the injunction. At that time, DoD, GSA, and NASA will publish a document in the Federal Register advising the public of the termination of the injunction.
(xvii) 52.223-1, Biobased Product Certification. This provision applies to solicitations that require the delivery or specify the use of USDA-designated items; or include the clause at 52.223-2, Affirmative Procurement of Biobased Products Under Service and Construction Contracts.
(xviii) 52.223-4, Recovered Material Certification. This provision applies to solicitations that are for, or specify the use of, EPA- designated items.
(xix) 52.223-22, Public Disclosure of Greenhouse Gas Emissions and Reduction Goals-Representation. This provision applies to solicitations that include the clause at 52.204-7.)
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(xx) 52.225-2, Buy American Certificate. This provision applies to solicitations containing the clause at 52.225-1.
(xxi) 52.225-4, Buy American-Free Trade Agreements-Israeli Trade Act Certificate. (Basic, Alternates I, II, and III.) This provision applies to solicitations containing the clause at 52.225-3.
(A) If the acquisition value is less than $25,000, the basic provision applies.
(B) If the acquisition value is $25,000 or more but is less than $50,000, the provision with its Alternate I applies.
(C) If the acquisition value is $50,000 or more but is less than $77,533, the provision with its Alternate II applies.
(D) If the acquisition value is $77,533 or more but is less than $100,000, the provision with its Alternate III applies.
(xxii) 52.225-6, Trade Agreements Certificate. This provision applies to solicitations containing the clause at 52.225-5.
(xxiii) 52.225-20, Prohibition on Conducting Restricted Business Operations in Sudan-Certification. This provision applies to all solicitations.
(xxiv) 52.225-25, Prohibition on Contracting with Entities Engaging in Certain Activities or Transactions Relating to Iran- Representation and Certifications. This provision applies to all solicitations.
(xxv) 52.226-2, Historically Black College or University and Minority Institution Representation. This provision applies to solicitations for research, studies, supplies, or services of the type normally acquired from higher educational institutions.
(2) The following representations or certifications are applicable as indicated by the Contracting Officer:
(Contracting Officer check as appropriate.)
[ ] (i) 52.204-17, Ownership or Control of Offeror.
[ ] (ii) 52.204-20, Predecessor of Offeror.
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[ ] (iii) 52.222-18, Certification Regarding Knowledge of Child Labor for Listed End Products.
[ ] (iv) 52.222-48, Exemption from Application of the Service Contract Labor Standards to Contracts for Maintenance, Calibration, or Repair of Certain Equipment-Certification.
[ ] (v) 52.222-52, Exemption from Application of the Service Contract Labor Standards to Contracts for Certain Services- Certification.
[ ] (vi) 52.223-9, with its Alternate I, Estimate of Percentage of Recovered Material Content for EPA-Designated Products (Alternate I only).
[ ] (vii) 52.227-6, Royalty Information.
[ ] (A) Basic.
[ ] (B) Alternate I.
[ ] (viii) 52.227-15, Representation of Limited Rights Data and Restricted Computer Software.
(d) The offeror has completed the annual representations and certifications electronically via the SAM Web site accessed through https://www.acquisition.gov. After reviewing the SAM database information, the offeror verifies by submission of the offer that the representations and certifications currently posted electronically that apply to this solicitation as indicated in paragraph (c) of this provision have been entered or updated within the last 12 months, are current, accurate, complete, and applicable to this solicitation (including the business size standard applicable to the NAICS code referenced for this solicitation), as of the date of this offer and are incorporated in this offer by reference (see FAR 4.1201); except for the changes identified below (offeror to insert changes, identifying change by clause number, title, date). These amended representation(s) and/or certification(s) are also incorporated in this offer and are current, accurate, and complete as of the date of this offer.
FAR Clause No. Title Date Change
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Any changes provided by the offeror are applicable to this solicitation only, and do not result in an update to the representations and certifications posted on SAM.
K.3 52.204-20 Predecessor of offeror (JUL 2016)
(a) Definitions. As used in this provision-
Commercial and Government Entity (CAGE) code means-
(1) An identifier assigned to entities located in the United States or its outlying areas by the Defense Logistics Agency (DLA) Commercial and Government Entity (CAGE) Branch to identify a commercial or government entity; or
(2) An identifier assigned by a member of the North Atlantic Treaty Organization (NATO) or by the NATO Support and Procurement Agency (NSPA) to entities located outside the United States and its outlying areas that the DLA Commercial and Government Entity (CAGE) Branch records and maintains in the CAGE master file. This type of code is known as a NATO CAGE (NCAGE) code.
Predecessor means an entity that is replaced by a successor and includes any predecessors of the predecessor.
Successor means an entity that has replaced a predecessor by acquiring the assets and carrying out the affairs of the predecessor under a new name (often through acquisition or merger). The term "successor" does not include new offices/divisions of the same company or a company that only changes its name. The extent of the responsibility of the successor for the liabilities of the predecessor may vary, depending on State law and specific circumstances.
(b) The Offeror represents that it [ ] is or [ ] is not a successor to a predecessor that held a Federal contract or grant within the last three years.
(c) If the Offeror has indicated "is" in paragraph (b) of this provision, enter the following information for all predecessors that held a Federal contract or grant within the last three years (if more than one predecessor, list in reverse chronological order):
Predecessor CAGE code: [(or mark "Unknown")].
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Predecessor legal name: [(Do not use a "doing business as" name)].
K.4 52.209-5 Certification regarding responsibility matters (OCT 2015)
(a)(1) The Offeror certifies, to the best of its knowledge and belief, that-
(i) The Offeror and/or any of its Principals-
(A) Are [ ] are not [ ] presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal agency;
(B) Have [ ] have not [ ], within a three-year period preceding this offer, been convicted of or had a civil judgment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) contract or subcontract; violation of Federal or State antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, violating Federal criminal tax laws, or receiving stolen property (if offeror checks "have", the offeror shall also see 52.209-7, if included in this solicitation);
(C) Are [ ] are not [ ] presently indicted for, or otherwise criminally or civilly charged by a governmental entity with, commission of any of the offenses enumerated in subdivision (a)(1)(i)(B) of this provision; and
(D) Have [ ], have not [ ], within a three-year period preceding this offer, been notified of any delinquent Federal taxes in an amount that exceeds $3,500 for which the liability remains unsatisfied.
(1) Federal taxes are considered delinquent if both of the following criteria apply:
(i) The tax liability is finally determined. The liability is finally determined if it has been assessed. A liability is not finally determined if there is a pending
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administrative or judicial challenge. In the case of a judicial challenge to the liability, the liability is not finally determined until all judicial appeal rights have been exhausted.
(ii) The taxpayer is delinquent in making payment. A taxpayer is delinquent if the taxpayer has failed to pay the tax liability when full payment was due and required. A taxpayer is not delinquent in cases where enforced collection action is precluded.
(2) Examples. (i) The taxpayer has received a statutory notice of deficiency, under I.R.C. Sec. 6212, which entitles the taxpayer to seek Tax Court review of a proposed tax deficiency. This is not a delinquent tax because it is not a final tax liability. Should the taxpayer seek Tax Court review, this will not be a final tax liability until the taxpayer has exercised all judicial appeal rights.
(ii) The IRS has filed a notice of Federal tax lien with respect to an assessed tax liability, and the taxpayer has been issued a notice under I.R.C. Sec. 6320 entitling the taxpayer to request a hearing with the IRS Office of Appeals contesting the lien filing, and to further appeal to the Tax Court if the IRS determines to sustain the lien filing. In the course of the hearing, the taxpayer is entitled to contest the underlying tax liability because the taxpayer has had no prior opportunity to contest the liability. This is not a delinquent tax because it is not a final tax liability. Should the taxpayer seek tax court review, this will not be a final tax liability until the taxpayer has exercised all judicial appeal rights.
(iii) The taxpayer has entered into an installment agreement pursuant to I.R.C. Sec. 6159. The taxpayer is making timely payments and is in full compliance with the agreement terms. The taxpayer is not
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delinquent because the taxpayer is not currently required to make full payment.
(iv) The taxpayer has filed for bankruptcy protection. The taxpayer is not delinquent because enforced collection action is stayed under 11 U.S.C. 362 (the Bankruptcy Code).
(ii) The Offeror has [ ] has not [ ], within a 3-year period preceding this offer, had one or more contracts terminated for default by any Federal agency.
(2) Principal, for the purposes of this certification, means an officer, director, owner, partner, or a person having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a division or business segment; and similar positions).
(b) The Offeror shall provide immediate written notice to the Contracting Officer if, at any time prior to contract award, the Offeror learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.
(c) A certification that any of the items in paragraph (a) of this provision exists will not necessarily result in withholding of an award under this solicitation. However, the certification will be considered in connection with a determination of the Offeror's responsibility. Failure of the Offeror to furnish a certification or provide such additional information as requested by the Contracting Officer may render the Offeror nonresponsible.
(d) Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by paragraph (a) of this provision. The knowledge and information of an Offeror is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
(e) The certification in paragraph (a) of this provision is a material representation of fact upon which reliance was placed when making award. If it is later determined that the Offeror knowingly rendered an erroneous certification, in addition to other remedies available to the Government, the Contracting Officer may terminate the contract resulting from this solicitation for default.
K.6 52.209-7 Information regarding responsibility matters (JUL 2013)
(a) Definitions. As used in this provision-
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"Administrative proceeding" means a non-judicial process that is adjudicatory in nature in order to make a determination of fault or liability (e.g., Securities and Exchange Commission Administrative Proceedings, Civilian Board of Contract Appeals Proceedings, and Armed Services Board of Contract Appeals Proceedings). This includes administrative proceedings at the Federal and State level but only in connection with performance of a Federal contract or grant. It does not include agency actions such as contract audits, site visits, corrective plans, or inspection of deliverables.
"Federal contracts and grants with total value greater than $10,000,000" means-
(1) The total value of all current, active contracts and grants, including all priced options; and
(2) The total value of all current, active orders including all priced options under indefinite-delivery, indefinite-quantity, 8(a), or requirements contracts (including task and delivery and multiple-award Schedules).
"Principal" means an officer, director, owner, partner, or a person having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a division or business segment; and similar positions).
(b) The offeror [ ] has [ ] does not have current active Federal contracts and grants with total value greater than $10,000,000.
(c) If the offeror checked "has" in paragraph (b) of this provision, the offeror represents, by submission of this offer, that the information it has entered in the Federal Awardee Performance and Integrity Information System (FAPIIS) is current, accurate, and complete as of the date of submission of this offer with regard to the following information:
(1) Whether the offeror, and/or any of its principals, has or has not, within the last five years, in connection with the award to or performance by the offeror of a Federal contract or grant, been the subject of a proceeding, at the Federal or State level that resulted in any of the following dispositions:
(i) In a criminal proceeding, a conviction.
(ii) In a civil proceeding, a finding of fault and liability that results in the payment of a monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more.
(iii) In an administrative proceeding, a finding of fault and liability that results in-
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(A) The payment of a monetary fine or penalty of $5,000 or more; or
(B) The payment of a reimbursement, restitution, or damages in excess of $100,000.
(iv) In a criminal, civil, or administrative proceeding, a disposition of the matter by consent or compromise with an acknowledgment of fault by the Contractor if the proceeding could have led to any of the outcomes specified in paragraphs (c)(1)(i), (c)(1)(ii), or (c)(1)(iii) of this provision.
(2) If the offeror has been involved in the last five years in any of the occurrences listed in (c)(1) of this provision, whether the offeror has provided the requested information with regard to each occurrence.
(d) The offeror shall post the information in paragraphs (c)(1)(i) through (c)(1)(iv) of this provision in FAPIIS as required through maintaining an active registration in the System for Award Management database via https://www.acquisition.gov (see 52.204-7).
K.7 52.209-11 Representation by corporations regarding delinquent tax liability or a felony conviction under any federal law (FEB 2016)
(a) As required by sections 744 and 745 of Division E of the Consolidated and Further Continuing Appropriations Act, 2015 (Pub. L. 113-235), and similar provisions, if contained in subsequent appropriations acts, the Government will not enter into a contract with any corporation that-
(1) Has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability, where the awarding agency is aware of the unpaid tax liability, unless an agency has considered suspension or debarment of the corporation and made a determination that suspension or debarment is not necessary to protect the interests of the Government; or
(2) Was convicted of a felony criminal violation under any Federal law within the preceding 24 months, where the awarding agency is aware of the conviction, unless an agency has considered suspension or debarment of the corporation and made a determination that this action is not necessary to protect the interests of the Government.
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(b) The Offeror represents that-
(1) It is ___ is not ___ a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability; and
(2) It is ___ is not ___ a corporation that was convicted of a felony criminal violation under a Federal law within the preceding 24 months.
K.8 52.222-22 Previous contracts and compliance reports (FEB 1999)
The offeror represents that-
(a) It [ ] has, [ ] has not participated in a previous contract or subcontract subject the Equal Opportunity clause of this solicitation;
(b) It [ ] has, [ ] has not filed all required compliance reports; and
(c) Representations indicating submission of required compliance reports, signed by proposed subcontractors, will be obtained before subcontract awards.
K.9 52.222-25 Affirmative action compliance (APR 1984)
The offeror represents that-
(a) It [ ] has developed and has on file, [ ] has not developed and does not have on file, at each establishment, affirmative action programs required by the rules and regulations of the Secretary of Labor (41 CFR 60-1 and 60-2); or
(b) It [ ] has not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor.
(End of provision)
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K.10 52.225-20 Prohibition on conducting restricted business operations in Sudan -- Certification (AUG 2009)
(a) Definitions. As used in this provision--
"Business operations" means engaging in commerce in any form, including by acquiring, developing, maintaining, owning, selling, possessing, leasing, or operating equipment, facilities, personnel, products, services, personal property, real property, or any other apparatus of business or commerce.
"Marginalized populations of Sudan" means--
(1) Adversely affected groups in regions authorized to receive assistance under section 8(c) of the Darfur Peace and Accountability Act (Pub. L. 109-344) (50 U.S.C. 1701 note); and
(2) Marginalized areas in Northern Sudan described in section 4(9) of such Act.
"Restricted business operations" means business operations in Sudan that include power production activities, mineral extraction activities, oil-related activities, or the production of military equipment, as those terms are defined in the Sudan Accountability and Divestment Act of 2007 (Pub. L. 110-174). Restricted business operations do not include business operations that the person (as that term is defined in Section 2 of the Sudan Accountability and Divestment Act of 2007) conducting the business can demonstrate--
(1) Are conducted under contract directly and exclusively with the regional government of southern Sudan;
(2) Are conducted pursuant to specific authorization from the Office of Foreign Assets Control in the Department of the Treasury, or are expressly exempted under Federal law from the requirement to be conducted under such authorization;
(3) Consist of providing goods or services to marginalized populations of Sudan;
(4) Consist of providing goods or services to an internationally recognized peacekeeping force or humanitarian organization;
(5) Consist of providing goods or services that are used only to promote health or education; or
(6) Have been voluntarily suspended.
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(b) Certification. By submission of its offer, the offeror certifies that the offeror does not conduct any restricted business operations in Sudan.
K.11 Agreement on, or exceptions to, terms and conditions
The Offeror has reviewed the solicitation (Sections B through J of which will become the contract) and
[ ] agrees to the terms and conditions set forth therein; or
[ ] has the following exceptions (continue on a separate attachment page, if necessary):
______
______
______
______
K.12 Authorized negotiators
The Offeror or quoter represents that the following persons are authorized to negotiate on its behalf with the Government in connection with this request for proposals or quotations: [list names, titles, and telephone numbers of the authorized negotiators].
______
______
______
K.13 Signature
By signature hereon, or on an offer incorporating these Representations, Certifications, and Other Statements of Offerors, the Offeror certifies that they are accurate, current, and complete, and that the Offeror is aware of the penalty prescribed in 18 U.S.C. 1001 for making false statements in offers.
Solicitation No. ______
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Offer/Proposal No. ______
DUNS No. ______
Date of Offer ______
Name of Offeror______
Typed Authorized Official’s Name______
Typed Authorized Official’s Title______
Signature______Date______
END OF SECTION K
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SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS
L.1 52.252-1 Solicitation Provisions Incorporated by Reference (FEB 1998)
This solicitation incorporates one or more solicitation provisions by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. The offeror is cautioned that the listed provisions may include blocks that must be completed by the offeror and submitted with its quotation or offer. In lieu of submitting the full text of those provisions, the offeror may identify the provision by paragraph identifier and provide the appropriate information with its quotation or offer. Also, the full text of a solicitation provision may be accessed electronically at this/these addresses:
https://www.acquisition.gov/far/ (FAR)
http://www.usaid.gov/ads/policy/300/aidar (AIDAR)
L.2 Notice Listing Contract Clauses Incorporated by Reference
The following solicitation provisions and contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with FAR § 52.252-1, “Solicitation Provisions Incorporated By Reference” and FAR § 52.252-2, “Clauses Incorporated By Reference,” in Section I of this contract.
NUMBER TITLE DATE
Federal Acquisition Regulation (48 CFR Chapter 1)
52.204-7 SYSTEM FOR AWARD MANAGEMENT (OCT 2016) 52.204-16 COMMERCIAL AND GOVERNMENT ENTITY CODE REPORTING (JUL 2016) 52.204-18 COMMERCIAL AND GOVERNMENT ENTITY CODE MAINTENANCE (JUL 2016) 52.214-34 SUBMISSION OF OFFERS IN THE ENGLISH LANGUAGE (APR 1991) 52.214-35 SUBMISSION OF OFFERS IN U.S. CURRENCY (APR 1991) 52.215-16 FACILITIES CAPITAL COST OF MONEY (JUN 2003) 52.215-20 REQUIREMENTS FOR CERTIFIED COST OR PRICING DATA AND DATA OTHER THAN COST OR PRICING DATA (OCT 2010)
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52.215-22 LIMITATIONS ON PASS-THROUGH CHARGES-- IDENTIFICATION OF SUBCONTRACT EFFORT. (OCT 2009) 52.222-46 EVALUATION OF COMPENSATION FOR PROFESSIONAL EMPLOYEES (FEB 1993) 52.237-10 IDENTIFICATION OF UNCOMPENSATED OVERTIME (MAR 2015)
L.3 52.215-1 Instructions to offerors – Competitive acquisition (JAN 2017)
(a) Definitions. As used in this provision-
Discussions are negotiations that occur after establishment of the competitive range that may, at the Contracting Officer's discretion, result in the offeror being allowed to revise its proposal.
In writing, writing, or written means any worded or numbered expression that can be read, reproduced, and later communicated, and includes electronically transmitted and stored information.
Proposal modification is a change made to a proposal before the solicitation's closing date and time, or made in response to an amendment, or made to correct a mistake at any time before award.
Proposal revision is a change to a proposal made after the solicitation closing date, at the request of or as allowed by a Contracting Officer as the result of negotiations.
Time, if stated as a number of days, is calculated using calendar days, unless otherwise specified, and will include Saturdays, Sundays, and legal holidays. However, if the last day falls on a Saturday, Sunday, or legal holiday, then the period shall include the next working day.
(b) Amendments to solicitations. If this solicitation is amended, all terms and conditions that are not amended remain unchanged. Offerors shall acknowledge receipt of any amendment to this solicitation by the date and time specified in the amendment(s).
(c) Submission, modification, revision, and withdrawal of proposals. (1) Unless other methods (e.g., electronic commerce or facsimile) are permitted in the solicitation, proposals and modifications to proposals shall be submitted in paper media in sealed envelopes or packages (i) addressed to the office specified in the solicitation, and (ii) showing the time and date specified for receipt, the solicitation number, and the name and address of the offeror. Offerors using commercial carriers should ensure that the proposal is marked on the outermost
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wrapper with the information in paragraphs (c)(1)(i) and (c)(1)(ii) of this provision.
(2) The first page of the proposal must show-
(i) The solicitation number;
(ii) The name, address, and telephone and facsimile numbers of the offeror (and electronic address if available);
(iii) A statement specifying the extent of agreement with all terms, conditions, and provisions included in the solicitation and agreement to furnish any or all items upon which prices are offered at the price set opposite each item;
(iv) Names, titles, and telephone and facsimile numbers (and electronic addresses if available) of persons authorized to negotiate on the offeror's behalf with the Government in connection with this solicitation; and
(v) Name, title, and signature of person authorized to sign the proposal. Proposals signed by an agent shall be accompanied by evidence of that agent's authority, unless that evidence has been previously furnished to the issuing office.
(3) Submission, modification, revision, and withdrawal of proposals. (i) Offerors are responsible for submitting proposals, and any modifications or revisions, so as to reach the Government office designated in the solicitation by the time specified in the solicitation. If no time is specified in the solicitation, the time for receipt is 4:30 p.m., local time, for the designated Government office on the date that proposal or revision is due.
(ii)(A) Any proposal, modification, or revision, received at the Government office designated in the solicitation after the exact time specified for receipt of offers is "late" and will not be considered unless it is received before award is made, the Contracting Officer determines that accepting the late offer would not unduly delay the acquisition; and -
(1) If it was transmitted through an electronic commerce method authorized by the solicitation, it was received at the initial point of entry to the Government infrastructure not later than 5:00 p.m. one working day prior to the date specified for receipt of proposals; or
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(2) There is acceptable evidence to establish that it was received at the Government installation designated for receipt of offers and was under the Government's control prior to the time set for receipt of offers; or
(3) It is the only proposal received.
(B) However, a late modification of an otherwise successful proposal that makes its terms more favorable to the Government, will be considered at any time it is received and may be accepted.
(iii) Acceptable evidence to establish the time of receipt at the Government installation includes the time/date stamp of that installation on the proposal wrapper, other documentary evidence of receipt maintained by the installation, or oral testimony or statements of Government personnel.
(iv) If an emergency or unanticipated event interrupts normal Government processes so that proposals cannot be received at the office designated for receipt of proposals by the exact time specified in the solicitation, and urgent Government requirements preclude amendment of the solicitation, the time specified for receipt of proposals will be deemed to be extended to the same time of day specified in the solicitation on the first work day on which normal Government processes resume.
(v) Proposals may be withdrawn by written notice received at any time before award. Oral proposals in response to oral solicitations may be withdrawn orally. If the solicitation authorizes facsimile proposals, proposals may be withdrawn via facsimile received at any time before award, subject to the conditions specified in the provision at 52.215-5, Facsimile Proposals. Proposals may be withdrawn in person by an offeror or an authorized representative, if the identity of the person requesting withdrawal is established and the person signs a receipt for the proposal before award.
(4) Unless otherwise specified in the solicitation, the offeror may propose to provide any item or combination of items.
(5) Offerors shall submit proposals in response to this solicitation in English, unless otherwise permitted by the solicitation, and in U.S. dollars, unless the provision at FAR 52.225-17, Evaluation of Foreign Currency Offers, is included in the solicitation.
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(6) Offerors may submit modifications to their proposals at any time before the solicitation closing date and time, and may submit modifications in response to an amendment, or to correct a mistake at any time before award.
(7) Offerors may submit revised proposals only if requested or allowed by the Contracting Officer.
(8) Proposals may be withdrawn at any time before award. Withdrawals are effective upon receipt of notice by the Contracting Officer.
(d) Offer expiration date. Proposals in response to this solicitation will be valid for the number of days specified on the solicitation cover sheet (unless a different period is proposed by the offeror).
(e) Restriction on disclosure and use of data. Offerors that include in their proposals data that they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall -
(1) Mark the title page with the following legend: This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosed - in whole or in part - for any purpose other than to evaluate this proposal. If, however, a contract is awarded to this offeror as a result of - or in connection with - the submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets (insert numbers or other identification of sheets); and
(2) Mark each sheet of data it wishes to restrict with the following legend: Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.
(f) Contract award. (1) The Government intends to award a contract or contracts resulting from this solicitation to the responsible offeror(s) whose proposal(s) represents the best value after evaluation in accordance with the factors and subfactors in the solicitation.
(2) The Government may reject any or all proposals if such action is in the Government's interest.
(3) The Government may waive informalities and minor irregularities in proposals received.
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(4) The Government intends to evaluate proposals and award a contract without discussions with offerors (except clarifications as described in FAR 15.306(a)). Therefore, the offeror's initial proposal should contain the offeror's best terms from a cost or price and technical standpoint. The Government reserves the right to conduct discussions if the Contracting Officer later determines them to be necessary. If the Contracting Officer determines that the number of proposals that would otherwise be in the competitive range exceeds the number at which an efficient competition can be conducted, the Contracting Officer may limit the number of proposals in the competitive range to the greatest number that will permit an efficient competition among the most highly rated proposals.
(5) The Government reserves the right to make an award on any item for a quantity less than the quantity offered, at the unit cost or prices offered, unless the offeror specifies otherwise in the proposal.
(6) The Government reserves the right to make multiple awards if, after considering the additional administrative costs, it is in the Government's best interest to do so.
(7) Exchanges with offerors after receipt of a proposal do not constitute a rejection or counteroffer by the Government.
(8) The Government may determine that a proposal is unacceptable if the prices proposed are materially unbalanced between line items or subline items. Unbalanced pricing exists when, despite an acceptable total evaluated price, the price of one or more line items is significantly overstated or understated as indicated by the application of cost or price analysis techniques. A proposal may be rejected if the Contracting Officer determines that the lack of balance poses an unacceptable risk to the Government.
(9) If a cost realism analysis is performed, cost realism may be considered by the source selection authority in evaluating performance or schedule risk.
(10) A written award or acceptance of proposal mailed or otherwise furnished to the successful offeror within the time specified in the proposal shall result in a binding contract without further action by either party.
(11) If a post-award debriefing is given to requesting offerors, the Government shall disclose the following information, if applicable:
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(i) The agency's evaluation of the significant weak or deficient factors in the debriefed offeror's offer.
(ii) The overall evaluated cost or price and technical rating of the successful and the debriefed offeror and past performance information on the debriefed offeror.
(iii) The overall ranking of all offerors, when any ranking was developed by the agency during source selection.
(iv) A summary of the rationale for award.
(v) For acquisitions of commercial items, the make and model of the item to be delivered by the successful offeror.
(vi) Reasonable responses to relevant questions posed by the debriefed offeror as to whether source-selection procedures set forth in the solicitation, applicable regulations, and other applicable authorities were followed by the agency.
L.4 52.216-1 Type of Contract (APR 1984)
The Government contemplates award of a Cost Plus Fixed-Fee (CPFF) Completion contract resulting from this solicitation.
L.5 52.233-2 Service of protest (SEP 2006)
(a) Protests, as defined in section 33.101 of the Federal Acquisition Regulation, that are filed directly with an agency, and copies of any protests that are filed with the Government Accountability Office (GAO), shall be served on the Contracting Officer (addressed as follows) by obtaining written and dated acknowledgment of receipt from:
Patrick E. Robison Contracting Officer USAID/Bosnia and Herzegovina Robert Frasure Street #1 71000 Sarajevo Bosnia and Herzegovina
(b) The copy of any protest must be received in the office designated above, with a copy to USAID/General Counsel’s Office point of contact William Buckhold at fax number 202-216-3058, within one day of filing a protest with the GAO.
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L.6 Explanation to prospective offerors
Any prospective offeror desiring an explanation or interpretation of this solicitation must request it in writing soon enough to allow a reply to reach all prospective offerors before the submission of their offers. Any information given to a prospective offeror concerning this solicitation will be furnished promptly to all other prospective offerors, if that information is necessary in submitting offers or if the lack of it would be prejudicial to any other prospective offerors. All questions or requests for information must be directed to [email protected] no later than 15:00 CET (Sarajevo Bosnia time), March 30, 2020.
Both questions and responses to questions will be posted on https://beta.sam.gov/. We will not identify the firm asking the questions. Offerors may not hold discussions with USAID/ BiH regarding any aspect of this solicitation without prior consultation and coordination with, and authorization of, the Contracting Officer. Failure to comply with this requirement may serve to disqualify an offeror.
L.7 Proposal preparation and submission – Special Instructions
L.7.A General instructions
(1) Electronic responses are required for this solicitation.
(2) The offeror must limit the size of its attachments to 25MB per email.
(3) The offeror must convert its documents into PDF (for narrative text), Microsoft Excel (for budgets and other relevant tables), before the offeror sends any documents to USAID.
(4) The subject of email should read as follows: 72016820R000001, E-MAIL 1 of #.
(5) Please submit your proposals to the e-mail address below by 9:00 a.m. CEST on May 4, 2020. You will receive a confirmation from us via e-mail. Note that electronic signatures are acceptable by USAID.
(6) The address for receipt of proposals is [email protected].
(7) Offeror is reminded that e-mail is NOT instantaneous, in some cases delays of several hours occur from transmission to receipt. For this RFP the initial point of entry to the government infrastructure is USAID’s Washington mail server. Offerors are strongly encouraged to review FAR 15.208.
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(8) Hand delivered proposals (including commercial courier) and facsimile transmission will not be accepted.
(9) Offer Validity. Offerors are required to indicate the duration of the validity of their offer in box 12 of the submitted SF 33 Form. USAID recommends to include at least 6 months of validity from the date the offer is submitted to allow sufficient time to evaluate proposals and complete negotiations.
(10) Offerors are fully responsible for the accuracy, completeness, and compliance with all proposal instructions set forth in the RFP. If an offeror does not follow the instructions set forth herein, the offeror’s proposal may be eliminated from further consideration or the proposal may be downgraded and not receive full or partial credit under the applicable evaluation criteria. Also, the proposal should be specific, complete, and concise. The offeror is urged to examine this solicitation in its entirety and to assure that its proposal contains all the necessary information, provides all required documentation and is complete in all respects since evaluation of the proposal will be based on the actual material presented and not on the basis of what is implied.
(11) Offer Acceptability. The Government may determine an offer to be unacceptable if the offer does not comply with all of the terms and conditions of the RFP and prospective contract:
(a) Completion of Standard Form 33, Blocks 12 through 18;
(b) Submission of proposed costs/prices and indirect cost information as required by Section B and L of this RFP;
(c) Completion of electronic annual representations and certifications at SAM accessed via https://www.acquisition.gov as well as any other "Representations, Certifications, and Other Statements of Offerors" in Section K; and
(d) Submission of information required by Section L or any other section of this RFP. The submission of these items in accordance with these instructions will, if the Government accepts the offer, contractually bind the Government and the successful Offeror to the terms and conditions of the prospective contract. Offerors must follow the instructions contained in this RFP and supply all information and signature/certifications, as required.
(12) The effective utilization of local staffing in lieu of expatriates throughout the activity implementation is anticipated. The offeror may consider involving other local subcontractor/s in the implementation of the activity.
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L.7.B Instructions for the preparation of the technical proposal
The technical proposal must be entirely separate from the cost proposal and it must not include cost information in the content of the technical proposal. The technical proposal must be organized by the technical evaluation criteria listed in Section M.
a. Technical Proposal Page Limitation:
i. The following page limitation is established for the technical proposal submitted in response to this solicitation: 30 pages.
ii. A page is defined as one side of a sheet, 8 1/2" x 11", with at least one inch margins on all sides, using not smaller than 12 point type. Foldouts count as an equivalent number of 8 1/2" x 11" pages. The metric standard format most closely approximating the described standard 8 1/2" x 11" size may also be used. In addition, 9-point type is acceptable for graphics and tables provided that it is legible. Number each page consecutively. A page in the technical proposal that contains a table, chart, graph etc. is subject to the page limitation specified in paragraph (i) above.
iii. If final revisions are requested, separate page limitations will be specified in the Government's request for that submission.
iv. Pages submitted in excess of the limitations specified in this provision will not be evaluated by the Government and will be returned to the offeror.
v. The 30-page limitation stated above does not include:
Cover Page/SF 33; Cover Letter; Table of Contents; Acronym List; Title Pages; and Mandatory Annexes
vi. The following are to be included in the Technical Proposal as an annex/exhibit and will not be subject to 30-Page limitation:
Contractor Performance Information; Draft Monitoring and Evaluation and Learning (MEL) Plan Branding Implementation Plan and Marking Plan (Outlined in ADS 320) Proposed Deliverables (See Table 7 under Section F.8.1(b))
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All information from annexes must be referenced in the technical proposal and included in the annex section. Overly detailed or explicit annexes are not recommended. USAID will not review and consider any additional annexes provided. b. Please note carefully: The technical proposal must be organized according to the evaluation factors in Section M, as follows:
L.7.B.1 Factor 1 – Technical approach [See Section M.4.1]
a) Offerors must demonstrate a clear understanding of the local context and development challenges relevant to the fiscal sector and targeted project components.
b) Technical approach must contain a detailed description of technical requirements for each of the project components taking into consideration the end-users business processes, and expected effects and results of the interventions. Offerors must provide detailed functional requirements for IT systems to be implemented in support of reforms and end-user needs. For each software application and module, describe functionality, which part of requirements it addresses, and if applicable how it is integrated with other applications and/or modules.
L.7.B.3 Factor 2 - Work Plan [See Section M.4.2]
a) Work Plan must include a proposed timeline and events showing how the offeror will develop and deploy multiple interventions and systems, as listed in the SOW. Proposals must include a detailed work-plan in Gantt chart format that covers the first year of the contract. The WP sequencing between individual tasks and activity components must be detailed and provide breakdown of individual tasks on both fiscal consulting and related IT works, training, maintenance etc. Proposals must include a detailed Gantt chart format for all activities and basic work plan for the remaining years of the contract (to show a sequencing of events). Offerors must propose a timeline that must budget sufficient time for white box and black box testing, correction of glitches, user acceptance, and training. It must include justification for the timelines and prioritization in development of projects components and IT systems.
b) The Workplan must also include a detailed Risk Mitigation Plan which will be used to - explain potential risks and mitigation measures to either prevent an event from occurring and/or fixes the “crisis” and allows forward movement on this contract. Offerors must also develop a change management plan to define the processes and procedures which will be used to monitor and control changes related to the project. This section
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must demonstrate understanding of: reasons for the change; stakeholders and the change management team; milestones that must account for potential risks and obstacles; expected results/outcomes; transfer of project and change management communication plan.
L.7.B.3 Factor 3 – Management Approach [See Section M.4.3]
Offerors must submit a plan that clearly demonstrates the chain of authority, the roles and responsibilities of all proposed positions (key and non-key), and effective means of communicating and coordinating the activities with stakeholders; how the organizational structure and level of effort (including contractor’s employees, long term and short term consultants and subcontractors) will be provided and managed throughout the life of the activity and will be shifted/utilized between the individual tasks to ensure coverage, support and completion of all components. Please indicate the key positions held, not the personnel by name.
Management approach must include organizational chart for this project that includes both the principal awardee and the roles and responsibilities of the subcontractors; and concise description of the organizational hierarchy, communication and reporting plan.
L.7.B.4 Factor 4 – Sustainability Plan [See Section M.4.4]
Proposals must include a sustainability plan that describes the transfer of knowledge; buy- in by the local partners; long-term sustainability of the deployed IT systems including a manner in which they are developed and maintained, transfer of systems, and training plan(s); coordinating/partnering with the local beneficiaries, including end-users, key stakeholders and other international organizations.
L.7.B.5 Factor 5 – Past performance [See Section M.4.5]
Contractor Performance Information
(a) The offeror (including all partners of a joint venture) must provide performance information for itself and each major subcontractor (one whose proposed cost exceeds 15% of the offeror’s total proposed cost) in accordance with the following:
1. List in an annex to the technical proposal all relevant contracts for the past five years for the offeror and each major subcontractor for efforts similar to the work in the subject proposal. The most relevant indicators of performance are contracts of similar size, type of work, scope of work, and complexity/diversity of tasks and
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how recently they were performed. It should be clear whether the work by the Offeror was done as a prime Contractor or as a subcontractor.
2. Provide for each of the contracts listed above a list of contact names, job titles, mailing addresses, phone numbers, e-mail addresses, and a description of the performance to include:
• Scope of work or complexity/diversity of tasks,
• Primary location(s) of work,
• Term of performance,
• Skills/expertise required,
• Dollar value, and
• Contract type, i.e., fixed-price, cost reimbursement, etc.
USAID highly recommends that you alert the contacts that their names have been submitted and that they are authorized to provide performance information concerning the listed contracts if and when USAID requests it.
Attachment J.7 - Contractor Performance Report – Short Form may be used by offerors to present the information requested below.
(b) If extraordinary problems impacted any of the referenced contracts, provide a short explanation and the corrective action taken (FAR 15.305(a)(2)).
(c) Describe any quality awards or certifications that indicate exceptional capacity to provide the service or product described in the statement of work. This information is not included in the page limitation.
L.8. Instructions for the preparation of the cost/business proposal
(1) Potential Government Funding
USAID anticipates receiving up to $10 Million to fund this activity over the five-year contract term. This does not include the six one-month extension options. This information is provided for the offeror’s information in preparing its proposal. It is a representation of the relative magnitude of the activity but should not be used as a target. The offeror’s proposal will be evaluated for cost realism in accordance with Section M. Proposals exceeding this amount may be considered unacceptable and thus not be evaluated further.
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(2) Other Price and Cost Detail Instructions
The five year proposed cost must be based on the information set forth below. The estimate indicated above is for proposal preparation and selection purposes only and are not a guarantee for any contract that may be awarded. Offerors should assume a contract start date of September 30, 2020.
(3) Extension Option(s)
In accordance with Section B.5 and with FAR Clause 52.217-8 “OPTION TO EXTEND SERVICES (NOV 1999)” included in full text in Section I, the Government may require continued performance of any services under the resultant contract through six one- month extension options. The offerors must provide the same cost and pricing information for the extension options as provided for the five year contract period, based on the information and requirements set forth below. If the offeror’s proposed cost and fee for each month is the same, the offeror only need to provide information for one month and state that it applies for all six month options.
(4) Preparation of the Cost Proposal
(a) There is no page limit on the COST/BUSINESS PROPOSAL; however, it is to be strictly limited to the following:
▪ The Standard Form (SF) 33; ▪ Proposed Costs/Prices for the 5-year contract period and six one- month extension options; ▪ Representations, Certifications, Other Statements of Offerors (if amended) ▪ Policies and Procedures; ▪ Evidence of Responsibility for prime and major subcontractors (if requested by the CO); ▪ Letter of Commitment for Subcontractors; ▪ Information to Support Consent to Subcontractors (if CO consent is required); ▪ Joint Venture Information (if applicable); and ▪ The Draft Branding Implementation Strategy and Marking Plan. ▪ Small Business Subcontracting Plan (see Attachment J.6) ▪ SF LLL Disclosure of Lobbying Activities (see Attachment J.5)
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(b) Proposed subcontracts must include the same cost breakdowns in their proposals and budget narratives as the prime contractor, as applicable.
(c) The offeror must use the illustrative budget format contained in Attachment J.6 “Summary Budget”.
(d) The exchange rate that should be used for the preparation of the cost proposals is 1.75. USAID will use this exchange rate for cost evaluations. The actual rate may vary during contract performance.
(e) The Offeror must submit a summary and detailed budget for the life of the project. The summary budget must reflect summary cost information for each of the base and option years, and then include the program total, item for item in the last column of the spreadsheet.
Standard Form 33
The offeror must submit the cover page (Section A) of this solicitation—Standard Form (SF) 33,“Solicitation, Offer, and Award”—with blocks 12 through 18 completed, including an original signature of a corporate authority authorized on behalf of the offeror to sign the offer.
Proposed Costs/Price
The Offeror must submit a summary budget for the contract period (including options) and a summary budget for the six one- month extension options. The summary budget must reflect summary cost information for each of the major budget categories for each of the contract years separately and then offer the program total for the entire contract, item for item in the last column of the spreadsheet.
The Offeror must also submit a detailed version of its summary budget for the contract period and for the six one-month extension options. The detailed budget must reflect each estimated cost item, broken out. The detailed budget must reflect these individual cost items for each of the contract years and then offer the program total for the entire contract, item for item in the last column of the spreadsheet.
In efforts to reduce proposal burden for Offerors and reduce time to award the contract, USAID has developed a Budget Template in MS Excel (See ATTACHMENT J.2 - BUDGET TEMPLATE) (Electronic version is uploaded in the solicitation package as a separate Microsoft Excel file in https://beta.sam.gov/). The Budget Template serves as the basis for all the costs that will be bound in the final contract. The Offeror must submit a complete budget pursuant to the template set forth in ATTACHMENT J.2. The Excel Budget must be text accessible and with unlocked excel worksheets. The worksheets must not contain hidden columns, sheets or data and must not contain password protected cells or sheets. Please ensure that the budget includes the prime and all subcontractors. If
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possible, we request that all worksheets be provided in one large excel file with linkages to the summary worksheet, to ease analysis. All Electronic Cost Submissions Shall Be True Self-Calculating Spreadsheets.
(1) Summary Budget - The Offeror must submit a summary budget for the five (5) years of performance. The summary budget must reflect summary cost information for each of the major budget categories for each of the contract years separately as synopsized under ATTACHMENT J.2 - BUDGET TEMPLATE (‘Summary’ worksheet) and then offer the program total for the entire contract, item for item in the last column of the spreadsheet. Section B.4 must be filled up.
(2) Detailed Budget - The Offeror must also submit a detailed version of its summary budget for the contract period. Offerors must use the template provided in ATTACHMENT J.2 - BUDGET TEMPLATE (‘Detail’ worksheet). The detailed budget must reflect every estimated cost item, broken out. The detailed budget must reflect these individual cost items for each of the contract years and then offer the program total for the entire contract, item for item in the last column of the worksheet. The detailed budget must be text accessible and unlocked excel worksheet. The worksheet must not contain hidden columns, sheets or data and must not contain password protected cells or sheets. The Offeror must include in the budget all anticipated costs for branding and marking and environmental compliance. Offerors must use formulas to calculate all subtotals and link from the Detail sheet to the Summary sheet. For each major subcontractor (defined as one whose proposed cost exceeds 20% of the Offeror’s total proposed cost) the Offeror must include a full detailed budget worksheet linked to the Prime’s in the same spreadsheet.
(3) Budget Narrative - The Offeror must submit a detailed budget narrative that supports item for item the cost estimates proposed in its detailed budget. The budget narrative must describe the nature of individual cost items proposed and include a description of the source of that particular cost estimate (historical experience with the cost item, catalogue price, vendor price quotes, etc.). Narratives for the individual cost items must provide a discussion of any estimated escalation rates where applicable. Estimated costs proposed to exceed ceilings imposed by USAID or Federal procurement policy must be fully explained and justified. Further instruction is provided below for each cost category.
The following is the minimum information required in the budget and budget narrative: i. Personnel
Salaries for each proposed position, key or not, should be expressed in an amount per work day with the corresponding level of effort required for the position (number of work days) and then calculated to a total cost for each cost period where the salary would be applicable.
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A consolidated Level of Effort (LOE) chart, including subcontractors’ LOE, must be provided that details the LOE proposed for each labor category (long-term professional, long-term non-professional, short-term professional, short-term non-professional, indicating expat and local labor, home office support staff LOE). This chart must be presented as a separate spreadsheet in the Cost Proposal.
Narratives must provide a discussion of the estimated annual escalation of all salaries where applicable. The Offeror must separate expatriate and cooperating country national labor categories for short/long-term and administrative staff.
Offeror's should provide information supporting local professional salaries that should include data, such as recognized national and regional compensation surveys and studies of professional, public and private organizations, used in establishing the total compensation structure. Please note that no waivers to the U.S. Mission’s Local Compensation Plan for CCNs and TCNs employed under the contract will be provided. The maximum annual rate is BAM110,673.
Professional Compensation Plan
The detailed salary and benefit information for professional employees that the Offeror provide in its cost proposal will be considered your professional compensation plan and will be evaluated in accordance with FAR 52.222-46 contained in this RFP. ii. Fringe Benefits
If the Offeror has a fringe benefit rate that has been approved by an agency of the Government, such rate should be used and evidence of its approval should be provided. If a fringe benefit rate has not been approved, the application should propose a rate and explain how the rate was determined. If the latter is used, the narrative should include a detailed breakdown comprised of all items of fringe benefits (e.g., unemployment insurance, workers compensation, health and life insurance, retirement, FICA, etc.) and the costs of each, expressed in dollars and as a percentage of salaries.
Fringe Benefits for local long-term staff must be budgeted as a separate item of cost and include only the social contributions (excluding income tax) in accordance with BiH labor law. iii. Allowances
Allowances should be broken down by specific type and by person. Allowances should be in accordance with the offeror’s policies and the applicable Department of State Standardized Regulations.
**All Offerors must note very carefully:
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In accordance with AIDAR 722.170 “Employment of Third Country Nationals (TCNs) and Cooperating Country Nationals (CCNs)”Paragraph “(a) General”, the following restrictions are placed on employment benefits to TCNs and CCNs employed under the contract:
Meals and Transportation Allowance: Unallowable cost.
Severance Pay: An eligible employee with a minimum of two years of creditable service who is involuntarily separated without cause is entitled to severance pay equal to 1/3 month’s basic salary for each year of creditable service. Any cost above this is unallowable. Personal Income Tax: must be included and not added to the base pay or salary of local staff.
iv. Travel, Transportation and Per Diem
The application should indicate the number of trips, domestic and international, and the estimated costs per trip. Specify the origin and destination for each proposed trip, duration of travel, and number of individuals traveling (if identified). Per diem should be based on the Department of State Standardized Regulations.
v. Equipment and Supplies
Specify all materials and supplies expected to be purchased, including type, unit cost and units.
vi. Training
Specify all training expected to be funded. Avoid lump sum amounts to the maximum extent possible.
vii. Subcontracts
Information sufficient to determine the reasonableness of the cost of each major subcontract (one whose proposed cost exceeds 15% of the offeror’s total proposed cost) must be included.
viii. Environmental Compliance Costs
Under this separate cost category the offeror must indicate its illustrative budget for implementing the environmental compliance activities. For the purposes of this solicitation, offerors should reflect illustrative costs for environmental compliance implementation and monitoring in their cost proposal.
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ix. Other Direct Costs
The budget narrative should provide a breakdown and justification for all ODCs. The offeror must not include the cost of non-professional salaries or locally employed salaries, allowances, equipment, and travel costs under the ODC cost category.
x. Indirect Costs
The prime and all major subcontractors may propose lower overhead rates than their established Forward Pricing Rate Agreement (FPRA) and sign the letter found in ADS 300, Mandatory Reference for Best Practices Guide for Indirect Costing. Indirect rates proposed cannot be higher than the rates established in their FPRA. Please read further instruction below if your organization does not have a FPRA. Offerors may propose a single ceiling rate covering the term of award or a ceiling rate in each applicable contract year. If an annual ceiling rate is proposed, USAID will average the ceiling indirect rates and use that figure for evaluation purposes.
(i) The Offeror and each major subcontractor must include a complete copy of its most current FPRA or other documentation from its cognizant Government Audit Agency, if any, stating the most recent provisional indirect cost rates. The proposal must also include the name and address of the Government Audit Agency, and the name and telephone number of the auditor.
(ii) If the Offeror or major subcontractor does not have a cognizant Government Audit Agency, the proposal must include:
- Audited balance sheets and profit and loss statements for the last two complete years, and the current year-to-date statements (or such lesser period of time if the Offeror is a newly-formed organization). The profit and loss statements should include detail of the total cost of goods and services sold, including a listing of the various indirect administrative costs, and be supplemented by information on the prime contractor’s customary indirect cost allocation method, together with supporting computations of the basis for the indirect cost rate(s) proposed; and
- The most recent two fiscal year pool and base cost compositions along with derived rates, the bases of allocation of these rates and an independent certified audit by a certified accounting firm of these rates.
All the above instructions apply to small business offerors. However, if the small business offeror does not have a FPRA, the proposal must include either Audited Financial Statements or Reviewed Financial Statements as defined below:
1. Audited Financial Statements provide the auditor’s opinion that the financial statements are presented fairly, in all material respects, in conformity with the applicable financial
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reporting framework. In an audit, the auditor is required by auditing standards generally accepted in the United States of America (GAAS) to obtain an understanding of the entity’s internal control and assess fraud risk. The auditor also corroborates the amounts and disclosures included in the financial statements by obtaining audit evidence through inquiry, physical inspection, observation, third-party confirmations, examination, analytical procedures and other procedures. The auditor issues a report that states that the audit was conducted in accordance with GAAS, the financial statements are the responsibility of management, provides an opinion that the financial statements present fairly in all material respects the financial position of the company and the results of operations are in conformity with the applicable financial reporting framework (or issues a qualified opinion if the financial statements are not in conformity with the applicable financial reporting framework. The auditor may also issue a disclaimer of opinion or an adverse opinion if appropriate).
2. Reviewed Financial Statements provide a certified CPA accountant’s (referred to as “Accountant” or “CPA” herein) review; the accountant is not aware of any material modifications that should be made to the financial statements for the statements to be in conformity with the applicable federal financial reporting framework. During a review engagement, the Accountant obtains limited assurance that there are no material modifications that should be made to the financial statements. Therefore, the objective of a review of the financial statements is to obtain limited assurance that there are no material modifications that should be made to the financial statements. A review does not include obtaining an understanding of the entity’s internal control; assessing fraud risk; testing accounting records; or other procedures ordinarily performed in an audit. The CPA issues a report stating the review was performed in accordance with Statements on Standards for Accounting and Review Services; that management is responsible for the preparation and fair presentation of the financial statements in accordance with the applicable financial reporting framework and for designing, implementing and maintaining internal control relevant to the preparation.
The proposal must not include compiled financial statements. Compiled financial statements will not be accepted because the Accountant does not obtain or provide any assurance that there are no material modifications that should be made to the financial statements. That is, there is no assurance that the organization is misrepresenting costs on compiled financial statements which puts the agency at risk. The objective of compiled financial statements is to assist management in presenting financial information in the form of financial statements without undertaking to provide any assurance that there are no material modifications that should be made to the financial statements.
If the small business offeror receives an award based on the submission of Reviewed Financial Statements, within six months after the end of the small business offeror’s fiscal year, they must submit an adequate final incurred cost proposal to the to the Contracting Officer (or cognizant Federal agency official) and auditor within the 6-month period following the expiration of each of its fiscal years in accordance with the Allowable Cost and Payment Clause FAR 52.216-7. The receipt of an adequate proposal by the audit office
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starts the audit process. This audit will establish the final indirect cost rate(s) for the audited year. Provisional rates will be updated as needed based on current information. USAID auditors will work with the small business to issue a FPRA establishing the proposed provisional indirect cost rates after award based upon acceptable information submitted above. xi. Fixed Fee (if any)
FAR 15.404-4 provides for establishing the profit or fee portion of the Government pre- negotiation objective, and provides profit-analysis factors for analyzing profit or fee. Propose fee with rationale supported by application of the profit-analysis factors.
xii. Cancellation ceilings
Offerors must propose a separate cancellation ceiling amount for each program year subject to cancellation. Offerors should use the format provided below. In accordance with FAR 17.106-2, award will not be made on less than the first program year requirements. If the Government determines before award that only the first program year requirements are needed, the Government’s evaluation of the estimated cost and fee will consider only the first year.
Cancellation Program Year Cancellation Date Ceiling Base year 2 September, 2021
Base year 3 September, 2022
Option year 4 September, 2023
Option year 5 September, 2024
Representations, Certifications, and Other Statements of Offerors
Offerors and proposed subcontractors must ensure they are registered with the System for Award Management (SAM) (www.sam.gov) per FAR part 4. A successful registration in SAM means the Offeror has obtained a DUNS number, has registered in CCR (Central Contractor Registration) and has secured an NCAGE number to successfully complete
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the Online Representation & Certifications Application (ORCA). Offerors and each proposed subcontractor must submit those portions of Section K not available online in this section. The submission of these items in accordance with these instructions will, if the Government accepts the offer, contractually bind the Government and the successful Offeror to the terms and conditions of the prospective contract (i.e., sections A through K). The Offeror must submit as part of its proposal a statement that the Offeror has registered in SAM – System for Award Management (https://www.sam.gov/).
Policies and Procedures
Upon receiving a specific request from the contracting officer, the offeror may be required to submit a copy of offeror’s personnel policies, especially regarding salary and wage scales, fringe benefit, merit increases, promotions, leave, differentials, travel and per diem, procurement regulations, etc., as they will relate to this project. Evidence of Responsibility for prime and major subcontractor
(a) The offeror must submit sufficient evidence of responsibility for the contracting officer to make an affirmative determination of responsibility pursuant to the requirements of FAR § 9.104-1. However, in the case of a small business offeror, the contracting officer will comply with FAR Subpart 19.6. Accordingly, prime offerors must seriously address each element of responsibility. To be determined responsible, a prospective contractor must:
(1) Have adequate financial resources to perform the contract, or the ability to obtain them (see FAR 9.104-3(a));
(2) Be able to comply with the required or proposed delivery or performance schedule, taking into consideration all existing commercial and governmental commitments;
(3) Have a satisfactory performance record (See FAR 9.104-3(b) and Subpart 42.15). An Offeror must not be determined responsible or non-responsible solely on the basis of a lack of relevant performance history, except as provided in FAR 9.104-2;
(4) Have a satisfactory record of integrity and business ethics;
(5) Have the necessary organization, experience, accounting and operational controls, and technical skills, or the ability to obtain them (including, as appropriate, such elements as production control procedures, property control systems, quality assurance measures, and safety programs applicable to materials to be produced or services to be performed by the prospective Contractor and subcontractors). (See FAR 9.104-3(a));
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(6) Have the necessary production, construction, and technical equipment and facilities, or the ability to obtain them (See FAR 9.104- 3(a)); and
(7) Be otherwise qualified and eligible to receive an award under applicable laws and regulations (e.g., Equal Opportunity, Clean Air and Water, etc.).
The responsibility information that may be requested includes, but is not limited to, audited or certified financial statements, tax returns and other financial records necessary to establish responsibility. Please note that this information is only required upon a specific request from the contracting officer or his representative.
Letters of Commitment (Subcontractors)
(a) The Cost Proposal must include a letter, on subcontractor letterhead, and signed by an authorized representative of each subcontractor, which specifically indicates the subcontractor's agreement to be included in the offeror’s proposed teaming arrangement. The representations and certifications, as set forth in Section K of this solicitation, with the last page signed. This should be completed by any subcontractors as well. USAID discourages the use of exclusive agreements as this reduces competition and limits USAID’s ability to receive the best services.
Information to Support Consent to Subcontractors
(a) The offeror must address each of the elements in FAR § 44.202-2 before the Contracting Officer may consent to the offeror’s proposed subcontractors with the initial award.
Joint Venture Information
If two or more parties have formed a partnership or joint venture (see FAR Subpart 9.6), for the purposes of submitting a proposal under this Solicitation and, if selected, must perform the contract as a single entity, they must submit, as an attachment to the Cost proposal, the Corporate Charter, By-Laws, or Joint Venture or Partnership Agreement. In addition, the teaming arrangements must be identified, company relationships must be fully disclosed, and respective responsibilities and method of work must be expressly stipulated. The joint venture or partnership agreement must include a full discussion of the relationship between the organizations, including identification of the organization, which will have responsibility for negotiation of the resultant contract, which organization will have accounting responsibility, how work will be allocated, and profit or fee, if any, shared. In addition, the principles to the joint venture or partnership agreement must agree to be jointly and severally liable for the acts or omissions of the other.
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L.9 Branding implementation strategy and marking plan
Branding Implementation Strategy and Marking Plan must meet the requirements of ADS 320.
(1) Branding Implementation Strategy
The offeror must prepare a Draft Branding Implementation Strategy describing how it will implement the Branding Strategy provided in Section J, Attachment J.1. The Branding Implementation Strategy must describe how the program will be promoted to beneficiaries and host country citizens.
(2) Marking Plan
The offeror must prepare a Draft Marking Plan that will enumerate all of the public communications, commodities and program materials that visibly bear or will be marked with the USAID identity.
Contract deliverables to be marked with the USAID Identity must follow design guidance for color, type, and layout in the USAID Graphics Standard Manual.
END OF SECTION L
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SECTION M - Evaluation Factors for Award
M.1 Notice listing solicitation provisions incorporated by reference
The following solicitation provisions pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the FAR provision at FAR "52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE" in Section L of this solicitation. See FAR 52.252-1 for an internet address (if specified) for electronic access to the full text of a provision.
NUMBER TITLE DATE
Federal Acquisition Regulation (48 CFR Chapter 1)
52.217-5 EVALUATION OF OPTIONS (JUL 1990)
M.2 General information
(a) The Government may award a contract without discussions with Offerors in accordance with FAR 52.215-1.
(b) The Government intends to evaluate Offerors in accordance with Section M of this RFP and make contract award to the responsible Offeror(s) whose proposal(s) represents the best value to the U.S. Government.
(c) The submitted technical information will be evaluated by a technical evaluation committee using the technical criteria shown below. When evaluating the competing Offerors, the Government will consider the written qualifications/capability information provided by the Offerors, and any other information obtained by the Government through its own research.
(d) For overall evaluation purposes, in the selection of a Contractor for award, all evaluation factors other than cost or price, when combined, are significantly more important than cost or price.
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M.3 Method of evaluation
Proposals received in response to this RFP will be evaluated by a USAID Evaluation Committee in accordance with AIDAR 715.3. Technical implementation and past performance will be evaluated using the following adjectival ratings: “Exceptional”, “Very Good”, “Satisfactory”, “Marginal”, “Unsatisfactory”, and “Neutral”. The Source Selection Authority (SSA), after consultation with the evaluation committee and other advisors, will select for contract award the offeror which he or she considers to be able to perform the contract in a manner that constitutes the best value to the Government, all factors considered.
M.4 Evaluation factors
Technical proposals will be evaluated according to the five factors presented below. The evaluation factors (M.4 (1) – (5)) are listed in descending order of importance. Subfactors under Technical approach are of equal importance. Subfactors under Work Plan are of equal importance.
M.4.1 Factor 1: Technical Approach [See Section L.7.B.1]
Technical Approach will be evaluated on the extent to which:
• it meets the sector context and technical requirements, described under the section L.7.B.1;
• the extent to which it is detailed, descriptive and demonstrates understanding of the fiscal sector context and technical needs relevant to the project components defined in the SOW and section L.7.B.1.
M.4.2 Factor 2: Draft Work Plan [See Section L.7.B.2]
• The proposals will be evaluated based on the extent the Work plan is clear, corresponding to the technical requirements, concise, timing is well-explained, efficient in use of time, and realistic for the work to be performed.
• The potential risks and plan for mitigation or correction, as well as the proposed change management plan, will be evaluated on the extent to which they are realistic and comprehensive.
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M.4.3 Factor 3: Management Approach [See Section L.7.B.3]
The management approach will be evaluated to the extent to which it is adequate, appropriate, specific, and reasonable, demonstrating clear organizational structure and chain of command, and appropriateness of the proposed organizational structure for the planned tasks; demonstrated ability to develop and deploy multiple systems based on complex IT applications described in the SOW. The evaluation process will take into account appropriateness of management approach, proposed methodologies, and tools to be applied in the processes.
M.4.4 Factor 4: Sustainability Plan [See Section L.7.B.4]
The sustainability plan will be evaluated on the extent to which it realistically and adequately describes the establishment, maintenance, transfer of systems, and training plan(s), the period of maintenance and warranties, while partnering with the local beneficiaries, ensuring their buy-in and coordinating other international donors. This section must also address items such as security of IT systems, backup and recovery.
M.4.5 Factor 5: Past Performance [See Section L.7.B.5]
1) Performance information will be used for both the responsibility determination and best value decision. USAID may use performance information obtained from other than the sources identified by the offeror/subcontractor. USAID will utilize existing databases of contractor performance information and solicit additional information from the references provided in Section L.7.B.4 of this RFP and from other sources if and when the Contracting Officer finds the existing databases to be insufficient for evaluating an offeror’s performance.
2) Adverse past performance information to which the offeror has not previously had an opportunity to respond will be addressed in accordance with the policies and procedures set forth in the FAR 15.3.
3) USAID will initially determine the relevance of similar performance information as a predictor of probable performance under the subject requirement. USAID may give more weight to performance information that is considered more relevant and/or more current.
4) The contractor performance information determined to be relevant will be evaluated in accordance with the elements below, which are listed in descending order of importance:
a) Quality, including overall performance to accomplish logistic planning, success in meeting quality objectives and consistency in meeting goals and targets.
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b) Cost control, including forecasting costs as well as accuracy in financial reporting.
c) Schedule, including the timeliness against the completion of the contract, task orders, milestones, delivery schedules, and administrative requirements (e.g., efforts that contribute to or affect the schedule variance).
d) Management, addressing the history of professional behavior and overall business-like concern for the interests of the customer, including the contractor’s history of reasonable and cooperative behavior (to include timely identification of issues in controversy), customer satisfaction, timely award and management of subcontracts, cooperative attitude in remedying problems, and timely completion of all administrative requirements, management of key personnel, including appropriateness of personnel for the job and prompt and satisfactory changes in personnel when problems with clients where identified.
e) Regulatory Compliance, including compliance with all terms and conditions in the awards relating to applicable regulations and codes (financial, environmental, safety, and other reporting requirements).
f) Utilization of Small Business, for prime offerors who are not small business concerns, their utilization of Small Business concerns as subcontractors, including efforts in achieving small business participation goals.
5) An offeror’s performance will not be evaluated favorably or unfavorably when:
a) The offeror lacks relevant performance history, b) Information on performance is not available, or c) The offeror is a member of a class of offerors where there is provision not to rate the class against a sub factor.
When this occurs, an offeror lacking relevant performance history is assigned a "neutral" rating. Prior to assigning a "neutral" past performance rating, the contracting officer may take into account a broad range of information related to an offeror's performance.
M.5 Determination of competitive range
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(a) The competitive range of Offerors with whom negotiations will be conducted (if necessary) will be determined by the Contracting Officer pursuant to FAR 15.306(c). A competitive range determination (if necessary) may take place at any point in the evaluation process.
(b) Offerors are advised that, in accordance with FAR 52.215-1, if the Contracting Officer determines that the number of proposals that would otherwise be in the competitive range exceeds the number at which an efficient competition can be conducted, the Contracting Officer may limit the number of proposals in the competitive range to the greatest number that will permit an efficient competition among the most highly rated proposals.
M.6 Cost/price evaluation
USAID’s goal is to achieve low administrative costs to a reasonable extent and focus funds for local engagement and program implementation. The proposed cost/price will be evaluated for realism and reasonableness. USAID will also consider administrative costs versus funds going towards program implementation costs.
The evaluation will be based upon the cost/price proposed in submitted budgets and the supporting narratives provided by the Offeror. Cost/price analysis will be performed in accordance with FAR 15.404-1(d) as applicable to determine whether the proposed cost/price is realistic for the work to be performed, reflect a clear understanding of the requirements, and is consistent with the unique methods of performance set forth in the Offeror’s technical proposal and budget narrative.
M. 7 Cost Realism
Cost realism is the degree to which all costs for the total contract reflect the proposed approach to achieving the technical objectives. Proposals requiring significant adjustments to arrive at probable cost may be construed to lack understanding of the technical requirements and may have their technical score reduced accordingly.
M.8 Source Selection
(a) The overall evaluation methodology set forth above will be used by the Contracting Officer as a guide in determining which proposal(s) offer the best value to the U.S.
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Government. In accordance with FAR 52.215-1, and as set forth in Section L of this solicitation, award will be made by the contracting officer to the responsible Offeror(s) whose proposal(s) represents the best value to the U.S. Government after evaluation in accordance with all factors and sub-factors in this solicitation.
(b) This procurement utilizes the tradeoff process set forth in FAR 15.101-1. If the contracting officer determines that competing technical proposals are essentially equal, cost/price factors may become the determining factor in source selection. Conversely, if the contracting officer determines that competing cost/price proposals are essentially equal, technical factors may become the determining factor in source selection. Further, the contracting officer may award to a higher priced Offeror if a determination is made that the higher technical evaluation of that Offeror merits the additional cost/price.
M.9 Contracting with small business concerns
USAID encourages maximum participation of small businesses, veteran-owned small businesses, service-disabled veteran-owned small businesses, women-owned small businesses, small disadvantaged businesses, and HUBZone small businesses. Accordingly, every reasonable effort will be made to identify and make use of such organizations. If, after evaluating all offers, USAID concludes that two or more offers are in effect equally eligible to be selected for the award, then the offer that provides the greater, most varied, and most realistic use of all the categories of small business concerns may be determined to be the best value offer and will be selected for award.
END OF SECTION M
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Attachment J.1
Background information
Country background
The country consists of two entities and one district: Federation of Bosnia and Herzegovina (FBiH), the Republic of Srpska (RS), and Brcko District (BD). All three entities have government structure with often overlapping competencies (executive, legal and judicial).
FBiH is a highly decentralized entity consisting of three levels of government, with shared multiple competencies and a complex internal administrative structure; Republika Srpska is a highly centralized entity with two levels of government; the District of Brčko has a special status, it has governance of its own and autonomy to make decisions. The BD has fields of competence that are nearly the same as those of the Entities, as well as social systems that are shared with the entities (e.g. pension system). Federation of BiH consists of ten cantons. There are 78 municipalities and 2 cities in the FBiH and 57 municipalities and 6 cities in the RS. State-level institutions are very limited in their capacities and have limited authority over number of issues. State level has mainly coordinating role and it is mainly tasked with donor and international relations. Competencies shared between the state and Entities (often with Cantons in FBiH) are configured in such a way that there are inadequate mechanisms even to ensure compliance within the Entity, nevertheless with state or joint policy. This is a major problem for establishment of the single-economic space and creation of the business predictable environment that is often sought by the potential investors. (The EU’s Stabilization and Association Agreement (SAA) requires BiH to ensure proper policy-making coordination between all levels of government.)
The 2019 EC Progress report for BiH shows that the country has made very limited progress towards meeting SAA criteria. The report noted the most important reasoning behind recommendation for strong support for fiscal reforms. Below are the excerpts from the Report:
“The currency board arrangement with the euro as the anchor currency was maintained. This approach has served the economy well so far. However, it also implies that the burden of adjustment to external shocks has to be accommodated by other policy areas, in particular responsible fiscal policy, necessitating the building-up of sufficient fiscal buffers and a stronger emphasis on medium-term stability, and structural reforms to improve the functioning of markets. (EC PROGRESS REPORT 2019, pg. 31)
Considerable shortcomings exist regarding institutions' internal control mechanisms at all levels, rendering the system vulnerable to inefficiency and waste, particularly in the area of public procurement. 1
Ministries of Finance at various levels lack administrative capacity for further implementation of reforms in public finance management. (EC PROGRESS REPORT 2019, pg. 7)
Bosnia and Herzegovina is at an early stage with the reform of its public administration. No progress has been achieved in the past year and the Commission's recommendations from 2016 have not been implemented. There has been an increase in political support for development of a country-wide public administration reform strategy. The civil service in the Federation entity and at cantonal level remained fragmented. Weaknesses in policy development and coordination and accountability remain to be addressed.” (EC PROGRESS REPORT 2019, pg. 6)
The stagnation of BiH is reflected in economic reports as well: In the World Economic Forum’s Global Competitiveness Reports for 2017 and 2018, inefficient bureaucracy and corruption were rated the two most problematic factors for doing business in BiH. The reports ranked BiH at 100th place (out of 138 countries) and 91st (out of 140 countries) respectively in irregular payments and bribes.
The World Bank‘s Doing Business (DB) Report bluntly illustrates BiH’s development stagnation or even downfall. In 2016, DB ranked BiH at 79thth place out of 189 countries. Although positive reforms were implemented in BiH during the last year, Bosnia progressed 18 places in Paying Taxes- other economies improved at a faster pace than BiH and as a result the country’s overall rank still plunged by 2 places: The slow pace of reforms in the last year resulted in BiH being pushed to 81st place out of 190 economies in the 2017 World Bank’s DB report – the worst performance in Europe. And finally, the Doing Business report for 2019 ranked BiH at 89th place out of 190 countries, again the worst in Europe. Further decline was recorded in almost all aspects of the report. All other countries in the region are ranked way better than BIH, with Albania being the worst at 63rd place, and the closest ranked European country to BiH is Ukraine at 71st place.
The EC’s Economic Review Program’s (ERP) baseline projection for BiH reflects the lack of government policies to lift the country’s growth potential through stronger public and private investment. Key downside risks identified in the report are a continuation in delays to implement reform measures. The fiscal framework forecasts increasing budgetary surpluses, based on significant expenditure driven consolidation. Like in previous programs, both revenues and expenditure are scheduled to fall substantially as a share of GDP. The already-low share of public investment is set to fall from its 2018 level, hampering the country’s needs. The country lacks a comprehensive action to improve the quality of public spending, such as by allocating more resources to investment and education; tackling an oversized public sector; reforming state-owned enterprises (SOEs); or better targeting social transfers. Driven by fiscal surpluses and solid nominal output growth, public debt is forecast to fall from 33 % of GDP in 2018 to below 30 % in 2021. (Source: 2019 Economic Reform Programmes of Albania, Montenegro, North Macedonia, Serbia, Turkey, Bosnia and Herzegovina and Kosovo/ INSTITUTIONAL PAPER 107 | JULY 2019)
The overall quality of public finances remains low. Comparing the planned spending structure for 2019-2021 with the 2018 budget points to a significant cut in overall spending. This cut in spending will
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affect not only general public services and social protection, but also health and education. The 2018 was the election year, and spending plans for that year may therefore have been driven by short-term- oriented priorities. However, even taking this into account, the data for the whole program period shows insufficient focus on the type of public spending that stimulates growth. The country’s reform program presents plans to decrease social-security contributions in order to reduce the disincentive to register in the formal sector. However, there seem to be no concrete plans to address inefficiencies in the social-security sector, such as the poor targeting of social transfers. According to the EC, it is critically important to address these inefficiencies to compensate for the lower revenues caused by reduced rates. The challenge of oversized public sector has not yet been fully addressed — planned registers of public employment appear still not to be completed. A significant issue is the broad use of para-fiscal fees, such as excise taxes, at municipal and cantonal level: this practice impedes the establishment of new companies, and thus has strong negative implications for the country’s business environment.
Clearly from the above, the BiH challenges remained the same as in previous years. They can be summarized into one statement: Lack of transparency and accountability coupled with the oversized public sector resulting in excessive public spending.
Therefore, there have been increasing calls from international community and opposition parties for greater transparency and accountability from all levels of government addressing issues such as nonexistence of check and balances in budgeting /treasury processes, poor service delivery and weak IT sector for added transparency in fiscal sector. Considering the current economic downturn, the recent talks about renewing some sort of the EU reform agenda, which has and will in the future mostly focus on public administration and public finance reforms at the entity and local government levels, this appears to be an especially appropriate time to consider the issue of economic condition and fiscal discipline that are often stressed as the key issues for the country’s stability.
Problem Statement and Major Issues
One of the core economic responsibilities of any government to its citizens is financial accountability and transparency. The governments must develop systems that enable the stakeholders to hold the government in power accountable. Unlike in businesses, where financial disclosures are known to shareholders of the business, the public sector in Bosnia and Herzegovina does not resemble this mechanism. Taxpayers and electoral constituency like shareholders in private sector, should be entitled to a detail accounting for all public revenues collected and expanded by local governances at all levels. Hence, e-governance platforms increasingly become vital tool for all practical governments who desire to reach a wider public in term of achievements, while reducing cost and time for administration. In addition, developing countries such as Bosnia and Herzegovina, that are facing serious issues related to corruption and misuse of public funds must engage such IT platform at all levels of the government to
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disclose its financial transactions and reduce expenditures. This is rarely the case in Bosnia where excessive multiple layers of administration use approximately 45% of GDP just to facilitate its existence, and where app. 95% of all expenditures are considered a current expenditure. Since fully disclosing its financial activities in a transparent manner would enable stakeholders to analyze government’s performance and ask educated questions on the financial rationalization. This added transparency would prevent corruption and misuse of public wealth. Further, in Bosnia and Herzegovina, the government is not accountable to the people and because of the level of corruption and misuse of funds, government officials or agencies are not willing to make the financial reports public in a manner that would be appropriate for a wider public.
The readiness of Bosnia and Herzegovina Government towards the implementation of e-administration reforms in the fiscal sector has been very encouraging. However, the government is yet to fully take advantage of this development in carrying the business of governance and connecting with the private sector and/or citizens. According to the United Nations E-Governance Survey Report Bosnia and Herzegovina rank at 105 positions out of 193 countries in terms of its e-governance status, but only 125th place in E-Participation Index which measures e-services provided by the government. The survey also revealed that Bosnia and Herzegovina is among those countries with upper middle income and it had 0.53 as its e-governance development index figure. As the e-government refers to the use of information and communications technology in different aspects of daily operations of public administration, in Bosnia and Herzegovina this process has not be fully engaged for good governance. In Europe and other developed countries, basic interactive functionality of e- administration services has been adopted at multiple if not at all levels of public administration, including economy, tax, services, leisure, safety etc. This is still not the case in BiH, where there is very limited interactive functionally within many sectors, including the fiscal. The implementation of e-governance systems and services would lead to greater transparency in fiscal sector, accountability and efficiency in economic governance which would increase competitiveness and wealth for the general well-being of the citizens.
The recent undertakings of the USAID Mission in Bosnia and Herzegovina will hopefully contribute to resolving some of the most cumbersome obstacles hampering the further digitization of the economy in BiH, including both the economic governance and services which they provide. USAID funded Responsive E-Services is expected to assist other donors and host-government officials at the entity governments to introduce some of the critical reforms which will complement fiscal reporting, tax filing, etc. Namely, introduction of the e-signature would revolutionize the way in which the taxes are filed and reported, or the way in which government will make financial reports available to public, communicate with the private sector and citizens in general.
Background on planned activities
A.1. Assistance for improved fiscal planning and analysis Beneficiary: State (Indirect taxes), FBiH, RSBiH, Brcko District BD, Parliament members, non-governmental groups
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Focus of assistance: Fiscal policy/ fiscal discipline Background: BiH has an aging population, an extraordinary level of brain-drain among young and educated people, but also in qualified workforce, as well as a behavioral/consequential effects of policy changes. This has had an immediate impact on certain sectors (such as health and IT where there is a steady decline in number of doctors, nurses and IT experts for several years now). This exodus of qualified workers has several long-lasting impacts that can be forecasted only by scientific modeling. This inevitably will result in further worsening of the demographic picture in BiH. The lack of young and educated workforce will inevitably affect the country’s ability to cope with international market pressures, (low quality of services, resulting in loss of competitiveness) but it may have a long term effect on the fiscal stability of the entire country, since it will negatively affect employment, tax revenues, budget planning, pension system, investments, etc. In order to be able to predict such changes and to launch efficient preventive policies to mitigate such negative trends, fiscal authorities in BiH must be equipped and trained to further advance the static modelling and to develop skills for the dynamic revenue/tax analysis. Currently, such skills do not exist within the responsible authorities. The capacity for economic modeling has been significantly improved by USAID over the course of the past 4 years. Before USAID’s project, the local fiscal authorities at all levels of the BIH government literally did not have any capacity to model the fiscal policies or to efficiently and reliably forecast revenues. This deficiency hampered and regressed the budget planning and the processes for formulation of fiscal policies, since its disallowed projections of policy effects. To mitigate this, the USAID funded FAR project provided two entity and BD governments with software (US STATA software) for efficient tax and revenue static modelling. It also trained the selected number of MOF staffers in modeling/revenue forecast techniques. Due to increased interest for modeling, this component of the FAR project was further expanded to include the biggest canton in FBiH (Sarajevo) in the modeling training. Training on two types of modelling has been provided to the local authorities: the macro models which rely on the aggregate data; and the micro-simulation models which rely on the micro- data, usually associated with tax or welfare policy changes. The macro aggregated revenue forecasting models provided by USAID were based on the time series data which incorporated simulated effects of tax changes on public revenues calculated through the microsimulation models. Those models put in relations the macroeconomic variables and revenues. Such models rely heavily on macroeconomic forecasts of GDP and other macro indicators and they are used on a regular basis when preparing the budgets and a three-year budget projection. In addition to the macro forecasting models, USAID assisted the host governments to develop the static microsimulation models that simulate the effects in the near future without considering any demographic and economic changes (i.e. “day after effect”). Such models were the starting point in model building for policy impact analysis and redistribution effects, and they were used as part of analysis for legislative changes and in discussions and consultations that fiscal authorities had with the international creditors. The models developed by USAID included direct taxes, social security contributions and fees in FBiH, RS and BD, and Sarajevo Canton, as well as property tax in Sarajevo Canton. However, static modeling is just a first step in policy projections and forecasting. Considering the ever-changing political, demographic and economic context of the country, the modeling skills need to adopt and appropriately respond to changes.
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A.2 Strengthening of the FBiH and Republika Srpska Health Sector Treasury Systems
Beneficiary: Federation of BiH (Cantons and municipalities) Republika Srpska (Health Sector Institutions) Focus of assistance: Public revenue/expenditure, fiscal discipline
Estimated budget:
The US Government has a long history assisting BiH’s Treasury system (TS). The first intervention efforts started back in 2000 with the USG (USAID and US Treasury) dismantling the Payment Bureaus (PB). The TS system was introduced immediately after that as a replacement for the socialist legacy PBs. Created by the US Treasury and supported by USAID, the establishment of the treasury business operations was conducted in phases. In the Federation (FBiH), the treasury system was implemented at the Cantonal level, while Republika Srpska (RS) expanded the process of introducing local treasuries to include municipalities and cities. An identical Oracle platform was used in both entities. Since then the treasury system was introduced at several levels of government administration and budget planning. This was a productive intermediate step. However, TS still does not cover all levels of public administration.
The health care system in FBiH is mainly government-operated and highly decentralized (at cantonal level). The FBiH Health Sector does not operate within a treasury system (TS), and there is little transparency in spending practices. Healthcare finance derived mainly from FBiH Health Social contributions is hardly monitored and controlled, and auditors and citizens know very little on how their mandatory healthcare contributions are used. Also, arrears are hard to trace and can accumulate out of sight. At the same time the FBiH Government is often asked to reduce social contributions for health insurance (to reduce associated labor costs). Since healthcare is organized at the cantonal level, the treasury system could be incorporated into the cantonal TSs or it can be centralized, based on the restructuration of the health sector. The cantonal TSs are in a bad shape – most of the existing cantonal TS are not supported by the principal provider (Oracle) anymore as they were unable to pay for the ongoing support and licensing. Any upgrade to the health sector that relies on cantonal TS should thus have a strong focus on the ongoing sustainability of the cantonal TSs. Presently, cantonal governments are procuring Treasury systems independently, using different platforms. USAID’s reform of the Health Sector would have to wait until the reforms of the cantonal treasuries, and reforms associated with restructuring of the entire health sector are completed. Hence, the development of the TS solution for the FBIH Health sector would have a phased approach and would commence not before the third year of implementation.
The situation is somewhat better in Republika Srpska. USAID/FAR funded procured hardware and installed software for inclusion of the RS Health sector (HS) into treasury operation. However, the integration of the 20 HS institutions into TS is implemented in phases given the extreme level of HS arrears. So far, only two RS HS institutions are integrated into the TS. The World Bank in coordination with USAID has conditioned its future assistance to the RS Government with further advancing of the HS Treasury. Since TS is a service encompassing all public administration and important in formulating entity budgets, it is paramount that it integrate all levels of public administration, including the health
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sectors without exceptions. FITRA is expected to continue work in RS on further phased introduction of health institutions into the TS system.
Putting all health institutions into the TSs would allow for greater control, understanding and awareness of healthcare expenditures and for their more effective and transparent planning. Moreover, the use of TS will eliminate the discretion of the public officials in the health sector since TS allows only for budgeted items to be procured. One potential problem to be addressed, however, is that the TS in healthcare could make the overall health sector more restrictive and less responsive to demand. FITRA will work closely with the WB and Swiss government, currently heavily engaged in reform of the health sectors in both entities. Also, further support by the IMF and US Embassy ECON and POL is required/anticipated in order to accelerate this reform.
A.3 Strengthening of the business environment in BiH
Beneficiary: Federation of BiH (FBiH)/Cantons, Republika Srpska (RS), Brcko District (BD) Focus of assistance: Business environment/parafiscal fees
Estimated budget:
In the last couple of years, the international community (EU Progress Report, Foreign Investors Council, USAID as well as Associations of Employers in both entities) was repeatedly stressing that radical reforms are needed to transform the current business-unfriendly environment which repels foreign investors and is highly unfair to private companies operating in BiH. Fewer, well-targeted and legally justified local fees/surcharges are more effective instruments in terms of budget financing and community life improvement than huge number of taxes randomly imposed on all businesses (e.g., environmental, infrastructure reconstruction, forestry, natural resources, water protection).
This reform is increasingly important provided that other countries in the region have already implemented such reforms, while BiH continues to lag behind: (e.g. efforts in 2013 by USAID Mission in Republic of Serbia that eliminated 108 para-fiscal taxes for businesses; Republic of Croatia activities to improve the business environment by targeting the para-fiscal fees for forests and tourism). Previous USAID fiscal reform project followed these regional examples for creation of a better business environment by eliminating para-fiscal/nuisance taxes that are burdensome for the private sector. In Bosnia and Herzegovina, both entity governments recognized the importance of transparent and investor-friendly procedures for economic growth. Creating better business environment by eliminating cumbersome and costly procedures and taxes will enhance the environment for foreign direct investments (FDI). To date, USAID/FAR prepared comprehensive registers of fees in the FBiH, RS, and Brcko District and had taken a lead in reform proposals. In the RS and Brcko District, the new Tax System Law adopted with USAID assistance requires that all fees and charges must have a legal basis and comply with principles or such fees cannot be charged. USAID and the RS Finance Ministry are currently reviewing all RS fees and so far, 45 fees were eliminated. The similar draft Law is adopted in BD while the most updated version of the law was recently submitted to FBiH MOF for further submission to the FBiH Parliament.
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In the FBiH, USAID identified several para-fiscal fees that require either reform or abolition. These proposals have been extensively lobbied and feature in the World Bank’s Doing Business Guide as a measure and assessment of BiH’s reform progress (forestry fee, tourism fee, natural disaster fee, general water fee, sign fee). So far in FBIH, there is progress on tourism and forest fee. The current tourism fee levied at rates between 0.01% to 0.05% of gross turnover and forestry fee levied at between 0.015% - 0.07% of gross turnover both charge all businesses a levy on their gross receipts, regardless of whether they make profit or not and regardless of whether they are involved in tourism or use and exploit forestry resources. The current proposed replacement(s) for this tourism fee is under legislative processes at both FBiH and Cantonal level. At FBiH level, the levy on gross turnover is proposed for abolition and this would be replaced by Cantonal level laws that levy charges based on actual tourist overnight stays and by mandatory tourist agency fees on those business engaged in tourism. Currently, four cantons have introduced their own tourism laws (Sarajevo, Tuzla, HNK and USK) with the other six expected to follow. Regarding the forestry fee, in July the FBiH Government adopted a proposed law that would abolish the turnover tax and replace this with environmental charges levied during vehicle registration. Also, Canton Sarajevo recently significantly reformed the company sign fee saving an estimated 2 million KM for businesses.
The lobbying for abolition/reduction of other two para-fiscal fees that FAR and the WB has identified (General Water Fee and Special Fee for Natural Disaster Protection), both of which increase net employment costs by 0.5%, continues.
This component of the project will continue to work jointly with the 3 governments (FBIH, BD, RS) and the lower levels of government to identify new fees to be reformed. Simultaneously, this component will work hand in hand with the governments to identify other, more useful and productive sources of revenue for local administrative units in order to replace the revenues lost.
A.4 Strengthening Public Debt Management
Beneficiary: State, FBiH, RS, BD
Focus of assistance: Fiscal Sustainability – Debt Management
Estimated budget:
The Public debt portfolio is of a great importance for the fiscal stability of the country, the two Entities as well as the lower levels of the government. It is imperative for all countries, and particularly transitional ones such as BiH to develop good debt practices and risk management to reduce the vulnerability of the domestic economy.
The Council of Ministers of Bosnia and Herzegovina (BiH) adopted the Information on the State of Public Debt of Bosnia and Herzegovina on June 30th, 2019, which was submitted by the Ministry of Finance and Treasury and the BiH Parliamentary Assembly.
The public debt of Bosnia and Herzegovina on June 30 this year amounted to 11 billion and 157.49 million BAM, of which the external debt amounted to 8.2 billion BAM while the domestic debt amounted to 2.9 billion BAM. The share of BiH public debt in gross domestic product (GDP) is 31.42%.
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In the total state of public debt, the Federation of BiH participates with 59.91%, the Republika Srpska with 47.97%, the institutions of BiH with 0.65% and the Brcko District with 0.47%. The public debt in the last few years had a downward trend, however, it increased in the first 6 months of 2019. Compared to the end of 2018, the total public debt increased by 50.85 million BAM, or 0.46%, with external debt reduced by 1.49 million BAM, while domestic debt increased by 52.34 million BAM.
The position of Bosnia and Herzegovina, as compared with the rest of the world, has improved in 2018 in terms of GDP percentage. Currently, the country is ranked at 44th place in the list of debt-to-GDP and at 83rd place in debt-per-capita, out of the 186 countries.
This represents a moderate level of public debt, and the country is in much better position than vast majority of neighboring countries. In the structure of the total public debt, approximately 70% is external debt where the major creditors are the “low interest rate” financial creditors, such as the IMF, World Bank, and EBRD. The internal debt represents app. 30% of the total debt, where most of it is the pre-war debt (old currency savings), and war claims. Hence, it is extremely important for BiH to control and manage the public debt properly.
In 2014/2015, USAID intended to procure the debt management software for all 3 levels of the government under the ongoing FAR project. The contract with FAR implementer observed that several software options are available) and FAR was required to evaluate all options. FAR’s report, issued in 2015, after the analysis was completed clearly recommended UNCTAD’s Debt Management and Financial Analysis System (DMFAS). As part of this evaluation exercise, USAID organized a debt software evaluation seminar attended by all Finance Ministries which all agreed by official letters signed by Finance Ministers that out of a choice of three main debt software systems analyzed, UNCTAD’s DMFAS was the most suited (and incidentally, by far the best value option for purchase and maintenance). Other options included CS-DRMS (Commonwealth Secretariat- Debt Recording and Management System) or DSM+ (Debt Sustainability Modell Plus).
UNCTAD is the forum for sharing experiences among Governments, international organizations, on current developments related to debt and debt management. As such, UNCTAD has a technical department for development and implementation of the debt management solutions. UNCTAD has offered technical assistance to BiH, which would include a free Debt Management software solution.
The main features that prevailed in making such recommendation were:
- The reports in DMFAS can be exported in Word, Excel, XML and PDF. Since report can be created on any data that exists in the database, this practically means that all the data is available in those formats.
- Data between several DMFAS servers can be exchange online or via file transfer.
- Since the software is built on Oracle platform, it is possible to create standard interfaces for communication with other Oracle software systems commonly used by the host government. Interfaces are usually created for communication with treasury software or business intelligence
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modules. In this situation, they can also be used for interoperability, i.e. exchanging data between relevant institutions.
- The system supports data export and exchange of reports in the format required by IMF or World Bank.
- The lowest cost associated with DMFAS software procurement and maintenance
Based on the report’s recommendations, UNCTAD’s Debt Management and Financial Analyses System (DMFAS) had been selected by all levels of the host government to be the debt management software for BiH. The cost for implementation of this system was supposed to be minimal and would include the advisory cost for additional analysis of business requirements, software installation and minimal training hours. However, during 2014 the World Bank’s classification of BiH’s status changed to “upper-middle income” country status meaning that UNCTAD could no longer provide this for free and it now would cost slightly under US$400,000. USAID strived to find alternate sources of funding for the financing of DMFAS. USAID extensively lobbied PARCO and its management board members to use the exceptional provision of the BiH Procurement Law to purchase DMFAS. Due to institutional resistance and lack of insight of PARCO, and its board members the funding from PARCO did not materialize, and in 2018 USAID terminated this component due to a lack of funds. However, in 2019, both MOFs pitched this idea again to USAID.
A.5 Increased tax compliance
Beneficiary: MOFs in FBiH, RS, and BD (and Tax Administrations)
Focus of assistance: Tax compliance – reducing tax evasion and improving services to citizens; Domestic Resource Mobilization
Estimated budget:
To increase the tax compliance and improve public revenue collection, while simultaneously leveling the playfield for compliant businesses, USAID will implement several initiatives under this component. All IT solutions will be deployed on the current TA FBiH and TA RS infrastructure and environment, which satisfies all IT security concerns.
A.6 Improved quality of budgeting and public spending
Beneficiary: FBiH & Cantonal Ministries of Finance; Brcko District
Focus of assistance: Public Finance Management/Budget planning/Public expenditures
Estimated budget:
BiH is a transitioning society characterized by extreme size of the public sector and corelated spending. Hence, the excessive cost of the government leaves very small margin for the economy to invest in
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growth and capital projects, as current expenditures account for 95% of all spending. To address these issues the country urgently needs to improve fiscal discipline by improving the efficiency of public spending, reduce fiscal burden on businesses to attract and increase investments, and reduce the size of government. Further, BiH’s public finances is a focus area for the EU which has been continuously reviewed and evaluated by the EC, as well as by other creditors. To address the above described issues, USAID will initiate actions which will improve the quality of public spending. In developing this component of the activity, USAID heavily leaned on 2019 assessment report “NEEDS FOR POTENTIAL ASSISTANCE TO BIH GOVERNMENTS IN THE AREA OF THE QUALITY OF GOVERNMENT SPENDING” which was produced by the USAID-funded FINRA project. Specifically, the Assessment concluded that all three Government levels (State level, FBiH Government, and RS Government) have planned for further adoption of program and performance-based budgeting. Further, the same Assessment concluded that the adopted 2017-2020 PFM Strategies of the BiH Institutions stress importance of linking budgeting to strategic planning as well as program and performance budgeting. The Mission already started some of the Public Finance Management activities in the Sarajevo Canton through its ongoing FINRA project, and it is anticipated that FINRA will lay the foundation for assistance that can be further expanded by this component. Further, as it seems that EC will be funding a major reform that targets PFM issues, among which is program and performance budgeting, the implementing partner will have to coordinate its activities with the EC.
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Attachment J.3
BRANDING IMPLEMENTATION PLAN AND MARKING PLAN FORMAT
The Contractor will prepare a Branding Implementation Plan describing how it will implement the Branding Strategy.
The Branding Implementation Plan shall describe how the program will be promoted to beneficiaries and host country citizens.
With reference to ADS Section 320.3.2.2 the Contractor shall prepare a Branding Implementation Plan containing information substantially similar to the sample provided below but fully developed by Contractor to emphasized all Contractor’s branding ideas:
THIS PORTION IS CREATED BY THE CONTRACTOR
Branding Implementation Plan for the Activity From Requesting Office ( )
1.0 HOW TO INCORPORATE THE MESSAGE
will use full branding and the USAID tagline “From the American People” on materials and communications. Co-branding and no branding will only be considered on a case-by-case basis as considered appropriate by the Contracting Officer’s Representative (COR) and Contracting Officer (CO).
1.1 MESSAGES
In all materials and events the project will be branded as from USAID and prepared by as part of the project. As such, all materials will acknowledge that they were produced with support “from the American people.” In cases where a local language predominates above English, the appropriate translation into the local language will be used in branding the program.
Additional ideas to increase awareness that the American people support this program are:
The Activity will follow specific procedures for including the Branding Implementation Plan requirements as stated in the mandatory internal reference Branding and Marking in USAID Direct Contracting in the Automated Directives System, Chapter 320.
2.0 TOOLS
The following communication tools will be used: Change As Needed and Fill Out
Communication Tool Yes/No/N/A Press Releases Press Conferences Media Interviews
J.3-1 Site Visits Success Stories Beneficiary testimonials Professional Photographs Public Service Announcements Videos Webcasts, e-invitations, blast e-mails, or other internet activities
3. 0 KEY MILESTONES AND OPPORTUNITIES
The following key milestones or opportunities are anticipated to generate awareness that the Activity is “from the American people”:
1) 2) 3) 4)
(These milestones may be linked to specific points in time, such as at the beginning or end of a program, or to an opportunity to showcase reports or other materials. These include, but are not limited to:
• launching the program, • announcing research findings, • publishing reports or studies, • spotlighting trends, • highlighting success stories, • featuring beneficiaries as spokespeople, • showcasing before-and-after photographs, • securing endorsements from ministry or local organizations, • promoting final or interim reports, and • communicating program impact/overall results.
4.0 AUDIENCES
The primary audience for all materials and documents produced under this contract is
The secondary audience is
5.0 ACKNOWLEDGEMENTS
5.1 ACKNOWLEDGING USAID
The following acknowledgment will be included on USAID Activity publications and internal publications, such as quarterly reports, as appropriate:
This document was produced for review by the United States Agency for International Development. It was prepared by for the Activity, contract number .
J.3-2 5.2 ACKNOWLEDGING HOST-COUNTRY GOVERNMENTS
All documents will follow USAID Branding Guidelines. If during the course of this program other major sponsors are involved, we will advise the COR of their involvement and request permission to include them as necessary.
53. ACKNOWLEDING OTHER HOST-COUNTRY PARTNERS
Co-branding with civil society groups will occur when these organizations have contributed funds to the activity. Co-branding with in-country partners may also be desirable when trying to promote local ownership and capacity building. However, when products are fully funded by USAID, CO approval is required for any exceptions to full branding requirements.
5.4 CO-BRANDING WITH OTHER INTERNATIONAL ORGANIZATIONS
In such cases, the guidelines for co-branding will be followed, assuming the funding contributed is more than a token amount.
MARKING PLAN
The Contractor shall prepare a Marking Plan that will enumerate all of the public communications, commodities and program materials that visibly bear or will be marked with the USAID identity. Contract deliverables to be marked with the USAID Identity must follow design guidance for color, type, and layout in the USAID Graphics Standard Manual.
With reference to ADS Sections 320.3.2.3 and 320.3.2.4 the Contractor shall prepare a Marking Plan containing information substantially similar to the sample provided below:
THIS PORTION IS CREATED BY THE CONTRACTOR
Marking Plan for the Activity From Requesting Office ( )
With reference to Section 320.3.2.3 of ADS 320, below is the required Marking Plan:
1.0 MARKING
1.1 MARKING PLAN FOR MATERIALS TO BE PRODUCED
Table 1 outlines the types of materials that may be produced under the Activity. Any materials that are not anticipated below, but are produced under the initiative, will also be subject to branding guidelines and CO approval, as appropriate. Please note that marking is not required on items used as part of the administration of the contract, such as stationery products, equipment, and offices. The goal is to mark programs and projects, and not implementing partners. Thus, letterhead, name tags, business cards, equipment, and supplies are not subject to branding.
Every contract deliverable that is marked with the USAID identity for the Activity will follow design guidance for color, type, and layout in the Graphic Standards Manual as related to equipment, reports, studies, events, and public communication (including printed products, audio, visual, and electronic materials). The USAID logo will be used for programmatic correspondence.
J.3-3 letterhead will be used for administrative matters and will not have the USAID logo. Business cards will not show the USAID logo. Contractor business cards will include the wording “USAID Contractor.”
All studies, reports, publications, Web sites, and all informational and promotional products not authored, reviewed, or edited by USAID will contain a provision substantially as follows:
“This study/report/ Website is made possible by the support of the American People through the United States Agency for International Development (USAID.) The contents of this study/report/ Website are the sole responsibility of (name of organization) and do not necessarily reflect the views of USAID or the United States Government.”
(This portion will be completed by the Contractor)
Marking Requirements for the Activity From Requesting Office ( )
With reference to ADS Section 320.3.2.2, below is the required Marking Plan:
TABLE 1. MARKING PLAN FOR MATERIALS TO BE PRODUCED - CHANGE AS NEEDED Category Type of Marking Remarks Administrative Stationery products USAID standard graphic identity will not be used. Pertains to (administrative letterhead, Business) envelops, and mailing labels Stationery products USAID standard graphic identity will be used. Pertains to letters (program related) that accompany program materials Business cards USAID standard graphic identity will not be used on business cards. The contractor should use its own business cards but include the line " project" on the business card. Contractor business cards will / will not include the wording “USAID Contractor.”
Commodities and Equipment Commodities USAID Identity will be used Equipment USAID Identity will be used Export Packaging USAID Identity will be used
Program, project, and activity sites
J.3-4 TABLE 1. MARKING PLAN FOR MATERIALS TO BE PRODUCED - CHANGE AS NEEDED Category Type of Marking Remarks Office signs USAID standard graphic identity will be used to Contractors must mark project offices. The contractor will follow state when the US Embassy / BiH signage templates. signage will be up and when it will be removed. Visible infrastructure USAID standard graphic identity will be used to Contractors must projects (roads, bridges, mark Visible infrastructure projects (roads, state when buildings, etc) bridges, buildings, etc). The contractor will follow signage will be the US Embassy / BiH signage templates. up and when it will be removed. Temporary signs USAID standard graphic identity will be used to Contractors must mark temporary signs. The contractor will follow state when the US Embassy / BiH signage templates. signage will be up and when it will be removed. Permanent Plaque USAID standard graphic identity will be used to mark permanent plaque.
Public Communication that are print products Publications, reports, The USAID identity will be printed on the cover research results, studies, of document. The design will follow guidelines and evaluations. for full branding. Brochures, leaflets, informational, and promotional materials Folders Success Stories Posters Banners and signs Print PSAs, newspaper supplements and other paid placements such as advertorials Advertisements about program events / activities Training manuals, workbooks, and guides. Press releases, fact Contractors will use the US Embassy / BiH sheets, media advisories template for press releases. Letterhead used for program-related purposes (invitations to events etc not for contractor admin purposes)
J.3-5 TABLE 1. MARKING PLAN FOR MATERIALS TO BE PRODUCED - CHANGE AS NEEDED Category Type of Marking Remarks Public communications that are audio, visual, or electronic Web sites Videos CDs and DVDs TV PSAs PowerPoint and other program related presentations Mass distribution electronic mail sent for program purposes (such as invitations to training events or other widely attended program related gatherings) Radio PSAs Will include an audio tag, such as, “made possible by USAID: From the American People”
Events Training Courses The USAID identity will be prominently displayed Conferences The USAID identity will be prominently displayed Seminars The USAID identity will be prominently displayed Briefings The USAID identity will be prominently displayed Exhibitions The USAID identity will be prominently displayed Fairs The USAID identity will be prominently displayed Workshops The USAID identity will be prominently displayed Press Conferences The USAID identity will be prominently displayed Invitations, press releases, publicity, media materials, presentations and handouts associated with events
END OF ATTACHMENT J.3 - BRANDING IMPLEMENTATION PLAN AND MARKING PLAN FORMAT
J.3-6
REPLACE MEASURE-BIH IMAGE SHOWN ABOVE WITH YOUR OWN ACTIVITY IMAGE
NAME OF THE ACTIVITY AND ACRONYM MONITORING, EVALUATION, AND LEARNING PLAN
PERIOD OF COVERAGE (should cover the entire Activity implementation period, e.g. October 1, 2019–September 30, 2023)
Date of submission
DISCLAIMER: This document is made possible by the generous support of the American people through the United States Agency for International Development (USAID). The contents are the responsibility of authors and do not necessarily reflect the views of USAID or the United States government. NOTE: in case of multilateral funding, also acknowledge other donors, otherwise delete this sentence.
NAME OF THE ACTIVITY AND ACRONYM
MONITORING, EVALUATION, AND LEARNING PLAN (document version)
Period of coverage
Date of submission
Prepared under the USAID’s Bosnia and Herzegovina ______Activity, Award Number ______
Submitted to: USAID/Bosnia Herzegovina, ______(month, year)
Implementing Partner (IP): ______
Introduction
Activities must have an approved Activity MEL Plan in place before major implementation actions begin. USAID Project Managers should work with the USAID Contracting Officer’s Representative (COR), Agreement Officer’s Representative (AOR), Government Agreement Technical Representative (GATR), or Activity Manager to ensure that the Activity MEL Plan is consistent with and meets the data collection needs of the Project MEL Plan, the Mission’s Performance Management Plan (PMP), and the Mission’s annual Performance Plan and Report (PPR).
List of Acronyms [Insert acronyms here]
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Contents
Introduction 1 Contents 2 1. Introduction 3 1.1 Project Theory of Change and Logic Model ...... 3 1.2 Activity Theory of Change ...... 5 2. Monitoring Plan 7 2.1 Performance Monitoring ...... 7 2.2 Context Monitoring ...... 7 3. Evaluation Plan 8 3.1 Internal Evaluations ...... 8 3.2 Plans for Collaborating with External Evaluators ...... 8 4. Learning Plan 9 5. Roles, Responsibilities, and Schedule 9 6. Resources 10 7. Change Log 10 8. Annex I: Indicator Summary Table 11 9. Annex II: Indicator Reference Sheets 13 10. Annex III: Data Management 15 11. Annex IV: Activity Indicator Performance Tracking Table (IPTT) 16
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1. Introduction
This section introduces the Activity MEL Plan and provides summary background information relevant to the MEL Plan.
Start with a brief introduction of the Activity MEL Plan, its purpose and intended use. Please note that this plan will be updated periodically in response to changes in the activity theory of change, implementation, or feedback received on MEL efforts. Sample text:
Updates to this plan will be provided to the [USAID COR/AOR] for review and approval on a [quarterly/semi-annual/annual basis] (per contract or agreement) or whenever revisions to the plan are proposed.
1.1 Project Theory of Change and Logic Model
If this activity is part of a USAID project and information about the USAID project has been provided by USAID, then: • Provide a brief (no more than one page) summary description of the project’s theory of change; • Include the project logic model; and • Highlight where this activity fits in the project logic model.
PROJECT 2.2 IMPROVED ECONOMIC ASPECTS OF GOVERNANCE RELEVANT TO BUSINESS ACTIVITY
Level of result Narrative Indicators Data Sources Summary Project Goal 2. 2. A competitive, 2-A Annual percent change in total exports Agency for Statistics Website market-oriented 2-B Total investments as % of GDP Agency for Statistics Website economy providing 2-C World Bank’s Doing Business Ranking World Bank Doing Business Website better economic 2-D World Bank’s Doing Business, Distance to World Bank Doing Business Website opportunities for all its citizens Frontier'
Project Purpose 2.2. 2.2. Improved economic 2.2-a Score on the Regulatory Quality World Bank Worldwide Governance aspects of governance dimension of the Worlwide Governance Indicators Website relevant to business Indicators activity
Project Sub-purpose 2.2.1. Fiscal policies reformed 2.2.1-1 Score in the Tax Burden dimension of Economic Freedom Index Website the Government Size pillar within the Economic Freedom Index 2.2.1-2 Score in Paying Taxes dimension of World Bank Doing Business Website Doing Business (measuring time and costs saved for businesses)
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Project Sub-purpose 2.2.2. Employment, social and 2.2.2-1 Score in the Labor Market Regulation World Bank Doing Business Website disabilities policies Annex of the Doing Business Report, indicator on reformed maximum length of fixed-term contracts, including renewals (months) Project Outcome/ Workman's 2.2.2.1-1 Number of workman's compensation Future activity in labor/social reform Output 2.2.2.1. compensation system litigation cases introduced Project Outcome/ Labor market reformed 2.2.2.2-1 Number of labor reform related Future activity in labor/social reform Output 2.2.2.2. policies/regulations and procedures drafted and adopted Project Outcome/ Pension system 2.2.2.3-1 Number of pension related policies/ Future activity in labor/social reform Output 2.2.2.3. reformed regulations and procedures drafted and adopted
Project Sub-purpose 2.2.3. Improved financial 2.2.3-1 Number of IMF/EU Financial Stability FINRA Activity records sector stability Compliance Requirements significantly advanced toward fulfillment with FINRA assistance
Project Outcome/ Policies, laws, 2.2.3.1-1 Number of Standards addressing FINRA Activity records Output regulations, and IMF/EU Compliance Requirements and other 2.2.3.1. implementing areas of financial stability (i) drafted with USG procedures assistance and (ii) adopted by BiH authorities ("standards") drafted for adoption in the financial, audit and quality of government spending area
Project Sub-purpose 2.2.4. Energy sector's 2.2.4-1 TBD Activity reports, EPA sustainable contribution to economy increased Project Outcome/ Compliance with the EU 2.2.4.1-1 TBD Activity reports, EPA Output 2.2.4.1. accession requirements in the energy sector
Project Sub-purpose 2.2.5 Sustainable 2.2.5-1 TBD TBD development strengthened Project Outcome/ TBD 2.2.5.1-1 TBD TBD Output 2.2.5.1
Project Sub-purpose 2.2.6. Improved public service 2.2.6-1 UN e-Government Survey ranking UN Public Administration Country delivery efficiency and Studies Website enhanced broad stakeholder involvement in public service by high- quality e-Governance Project Outcome/ Utilization of e- 2.2.6.1-1 Annual e-governance metric New E-governancet activity Output 2.2.6.1. Governance improved
ACTIVITIES: IMPLEMENTING PARTNERS:
Energy Policy Activity TBD Project Inputs (EPA)
Financial Reform Financial Markets International, Inc. (FMI) Agenda Activity (FINRA)
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1.2 Activity LogFrame/Theory of Change
Include a brief summary description of the activity logframe/theory of change based on activity planning documents or work plans. Typically, this will include the following information: • The context in which the development problem is situated; • If-then (causal) outcomes needed to achieve the desired change and evidence used to support those casual predictions; • Major interventions that the activity will undertake to catalyze these outcomes; and • Key assumptions that underlie the success of this theory.
A logic model that graphically depicts the activity theory of change is also recommended to be included in this section. If included, it is recommended that the logic model highlight the activity’s most important performance indicators, linking each performance indicator to the result in the logic model measured by that indicator, as shown in the example on the following page.
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Activity LogFrame
ACTIVITY LOGFRAME TEMPLATE LEVEL OF NAME OF RESULT INDICATORS DATA SOURCE ASSUMPTIONS RESULT Each Activity has one overall highest-level Goal to which Activity aims to contribute. As this is the highest- List at least one performance indicator (and not more LEAVE EMPTY level result, Activity’s contribution to it is usually very limited, however, results and indicators at this level than 3) measuring defined Activity Goal. This is the For each indicator you list, AT THIS LEVEL still need to be measured to track overall context. All of the Activity results listed below jointly contribute highest-level outcome indicator to which Activity aims to specify where the indicator to this Goal. data will come from (in other Activity Goal contribute, in most cases to a very limited extent. words, what will be the basis Indicator name should imply the unit of measure, but not Activity Goal usually corresponds to the USAID Project Purpose or to the USAID Project Sub-purpose. the desired direction. Employ the relevant indicators from to verify data after it is reported) the Project LogFrame where appropriate. This is the purpose of the Activity’s existence, the key result expected. Activity’s contribution to this result List at least one performance indicator (and not more is more substantial than Activity’s contribution to Activity Goal, but in most cases, external factors and/or than 3) that you will use to determine the achievement of other interventions also contribute to the achievement of this result. this result. Although indicator(s) at this result level need For each indicator you list, If the Purpose is achieved, which to be at lower outcome level than the indicator(s) for specify where the indicator assumptions must hold true to achieve the Activity Activity Purpose must contribute to Activity Goal. Each Activity Sub-Purpose (if there is more than one Activity Goal, this is still high-level result, so Activity in data will come from (in other Activity Goal? If the Activity team can Purpose Sub-Purpose) need to contribute to Activity Purpose. In most cases Activities have only one Purpose. If most cases can only partially contribute to indicator(s). words, what will be the basis influence or control an action, it should not there is more than one Purpose, for each Purpose, at least one Sub-Purpose must be given. Indicator name should imply the unit of measure, but not to verify data after it is be listed as an assumption. reported) the desired direction. Employ the relevant indicators from In many cases Activity Purpose corresponds to the USAID Project Sub-purpose or to Project the Project LogFrame where appropriate. Outcome/Outputs. This is the more specific result (comparing to Activity Purpose), which Activity targets in order to contribute to Activity Purpose. Activity’s contribution to the Sub-Purpose is further more substantial than List at least one performance indicator (and not more Activity’s contribution to Activity Purpose, although in most cases some external factors and/or other than 3) that you will use to determine the achievement of For each indicator you list, interventions also contribute to the achievement of this result, but to a lesser extent than their specify where the indicator If this Sub-Purpose is achieved, which this result. In most cases Activity will substantially or contribution to Activity Purpose. data will come from (in other assumptions must hold true to achieve the entirely contribute to the indicator(s) at this level. Activity Sub- words, what will be the basis Activity Purpose? If the Activity team can purpose 1 Activity Sub-Purpose must contribute to Activity Purpose. Each Activity Outcome/Output under this Sub- Indicator names should imply the unit of measure, but to verify data after it is influence or control an action, it should not Purpose need to contribute to Activity Sub-Purpose. In most cases Activities have only one Sub-Purpose not the desired direction. Employ the relevant indicators reported) be listed as an assumption. per each Purpose. If there is more than one Sub-Purpose, for each Sub-Purpose, at least one from the Project LogFrame, if appropriate. Outcome/Output must be given.
In some cases, Activity Sub-Purpose may correspond to USAID/BiH Project Outcomes/Outputs. This is the most specific result which Activity aims to achieve in order to contribute to Activity Sub- Purpose. Activity directly and substantially contributes to this result (in most cases entirely). List at least one performance indicator (and not more For each indicator you list, If this Outcome/Output is achieved, which specify where the indicator assumptions must hold true to achieve the Activity than 3) that you will use to determine the achievement of Outputs are the tangible, immediate, and intended products or consequences of an activity within data will come from (in other respective sub-purpose? If the Activity team Outcome this result. In most cases Activity will entirely contribute Activity’s control or influence, produced as a direct result of inputs. Outcomes attended to be given at this words, what will be the basis can influence or control an action, it should to the indicator(s) at this level. /Output result level are results which are somewhat higher than outputs, but lower than Activity Sub-Purpose(s), to verify data after it is not be listed as an assumption. 1.1 Purpose(s), and Goal. In other words, these are outcomes which Activity influences directly and Indicator names should imply the unit of measure, but reported) substantially. not the desired direction.
Each Activity Outcome/Output must contribute to Activity Sub-Purpose. Activities can have more than one Outcome/Output.
2. Monitoring Plan
This section provides information on how the activity implementing partner will monitor the performance of the activity and contextual factors that may affect activity performance and inform learning and adaptation throughout implementation. For additional information on Monitoring at USAID, visit the USAID Monitoring Toolkit.
2.1 Performance Monitoring
Describe the efforts that the activity implementing partner will undertake to monitor performance. This should include monitoring the quantity, quality, and timeliness of outputs and relevant outcomes to which the activity is expected to contribute. Efforts to monitor performance may include a range of quantitative and qualitative methods such as surveys, direct observation, qualitative interviews, focus groups, expert panels, the recording of administrative actions, etc.
The Activity MEL Plan must include relevant performance indicators of activity outputs and outcomes. For more information about performance indicators, see the Selecting Performance Indicators guidance document.
A summary of all performance indicators that the activity implementing partner will report to USAID should be listed in a summary table in Annex I. Include all performance indicators required or requested by USAID, including required foreign assistance standard indicators, and all additional performance indicators deemed necessary by the activity implementing partner for monitoring and reporting on progress.
Each performance indicator must:
• Be linked to an intended result (output or outcome) that it measures. • Have a corresponding Performance Indicator Reference Sheet (PIRS) that is complete and sufficient, and included in Annex II. The PIRS should be completed in coordination with USAID, or even provided by USAID, when multiple partners are collecting data on the same performance indicator. If the PIRS is not complete at the time the plan is submitted to USAID, it must be completed within three months of the start of indicator data collection. • Have a baseline. If baseline data have not been collected at the time this plan is submitted to USAID, the plan should note when baselines will be collected. Baseline data collection should be completed before the start of implementation actions related to that performance indicator. • Have targets. If targets have not been set at the time this plan is submitted to USAID, the plan should note when targets will be set. Targets should be set prior to collecting and reporting data (other than baseline data) on an indicator. • Be disaggregated by sex when measuring person-level data.
2.2 Context Monitoring
The Activity MEL Plan should include, if relevant, a description of any efforts that the activity implementing partner may undertake to monitor the conditions and external factors relevant to activity implementation. These may include: environmental, economic, social, or political factors, programmatic assumptions, and operational context. Efforts to monitor context may include a range of quantitative and qualitative methods such as surveys, direct observation, qualitative interviews, focus groups, expert panels, tracking of independent third-party indicators, etc.
If the activity implementing partner is planning to track context indicators, these should be reported in the summary list of indicators in Annex I. The Context Indicator Reference Sheets (CIRSs) should be included in Annex II, if any context indicators are planned.
3. Evaluation Plan
3.1 Internal Evaluations
Internal evaluations are evaluations that are conducted by the activity implementing partner or its sub- contractor(s), often with the intent to learn and adapt during implementation. Implementing partners are not required to conduct an internal evaluation unless it is stipulated in their contract or agreement. Implementing partners may propose to conduct an internal evaluation in their Activity MEL Plan.
This section of the Activity MEL Plan identifies any internal evaluations that the activity implementing partner plans to manage over the life of the activity. For each internal evaluation, the plan should include (at minimum):
• the type of evaluation (performance or impact); • purpose and expected use; • proposed evaluation questions; • estimated budget; • planned start date; and • the estimated completion date.
The evaluation plan should also clarify the expected level of USAID involvement, if any, such as reviewing an evaluation Statement of Work (SOW) or draft report.
The USAID Evaluation Toolkit includes an evaluation plan template that may be adapted for use in this section.
3.2 Plans for Collaborating with External Evaluators
It is USAID’s responsibility to inform the activity implementing partner if an external evaluation of the activity is planned. An external evaluation is an evaluation that is contracted directly by USAID. If such an evaluation is planned, this section may explain how the implementing partner will interact with the evaluation team to support the external evaluation. Even if one is not planned, this section could outline expectations for collaboration in the event that an external evaluation is later determined to be necessary.
Sample text: [The implementing partner] will assist external evaluators commissioned by USAID by: • Reviewing and providing feedback on draft evaluation designs, draft evaluation data collection instruments, and the draft evaluation report. • Sharing data used for performance monitoring. If this includes person-level data, [the implementing partner] will anonymize the data prior to providing it to the evaluation team. • Providing written responses to an evaluation self-assessment questionnaire. • Making staff available to answer questions related to the activity.
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• Supporting the evaluation team in identifying and obtaining access to activity stakeholders, beneficiaries, and sites of operation. • Supporting the evaluation team in holding stakeholder meetings to discuss and develop recommendations based on evaluation findings.
4. Learning Plan
This section explains the activity’s approach to learning from monitoring data, evaluation findings (if applicable) and other learning efforts, and how the activity implementing partner – in collaboration with USAID and other key stakeholders – will seek to pause, reflect, learn, and adapt throughout implementation. Activity implementing partners may broaden the scope of this section to function as a Collaborating, Learning, and Adapting (CLA) plan for the activity. The plan may include:
• Learning questions based on the activity or project’s logic model or potential gaps in the technical knowledge base, and efforts to explore those questions.
• Knowledge generation, capture, and sharing efforts, including at activity close-out.
• Reflection opportunities (e.g., during work planning or quarterly reporting, after-action reviews, or other learning events). Information on potential participants, frequency, and utilization should be included.
• Plans for adaptive management, based on learning and knowledge gained during implementation, including from identified learning questions that will enable the implementing partner and its key stakeholders to prompt course corrections as needed.
• Strategic collaboration activities designed to support learning and adapting with and for key stakeholders (including USAID) relating to specific questions identified in the learning plan. For more information on CLA and learning plans, visit the USAID CLA Toolkit.
5. Roles, Responsibilities, and Schedule
This section provides a schedule of individual and recurring MEL tasks during the life of the activity. This may be a simple matrix outlining tasks, responsible parties, and dates for initiation and completion. A calendar (including a link to a shared calendar) or Gantt chart may be included to illustrate the schedule. A more detailed narrative may also be included to address roles and responsibilities among multiple partners (such as sub-awardees) and involvement from USAID or other stakeholders. MEL tasks to include in this schedule may include data collection efforts, data quality assurance activities, data analysis and visualization, special studies, assessments, learning processes and events, quarterly report preparation, etc.
This section may also describe the various monitoring, evaluation, and learning reports and other information (including ad hoc and recurring reports) that will be provided to USAID during the life of the project. This may include, for example, quarterly reports, performance indicator data, activity location data, research documents, TrainNET data, learning products (i.e., syntheses, event readouts, learning and adaptation summaries), etc.
Include a summary of the content and how information will be transmitted to USAID and in what format (for instance through a partner portal of a management information system, in-person check-ins, as part of a quarterly report submission, or in an Excel file). A table may be a useful way to summarize anticipated reports and related information.
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Example Table: Schedule of Monitoring, Evaluation, and Learning Reports to USAID Transmission to Description of Content/ Report Frequency USAID Expected Format BLANK
6. Resources
Specify the budget allocated to monitoring, evaluation, and learning by listing the tasks, estimated costs, and proportion of the budget. Please use a table to present the information.
7. Change Log
The Activity MEL Plan should be adjusted in response to changes in activity (or relevant project) implementation, feedback received on MEL efforts, changes in the operational context, and other new information. This section includes a table to describe the changes that are made to the Activity MEL Plan over time. For more information about making changes to an Activity MEL Plan, please see USAID’s How-to Note: Activity Monitoring, Evaluation, and Learning Plan.
Date # MEL Plan MOD Change by: Change to: Description of Change: Change to:
Date Change by: Section of the Activity Description of Change: Effective Person who MEL Plan changed. If Summarize the change that was # of the MEL Plan date of made the an indicator has been made to the Activity MEL Plan and modification change change changed, include the the reason the change was made. indicator number. Date BLA NK Change by: BLANK Change to: BL ANK Description of Change: BLANK
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8. Annex I: Indicator Summary Table
An example Indicator Summary Table is provided below and a template is available in the USAID Monitoring Toolkit. This plan may be adapted to include other information based on what is most relevant to the needs of the activity implementing partner or the USAID Operating Unit.
Please note that an Indicator Summary Table is not the same as an Indicator Tracking Table or monitoring information system. The Indicator Summary Table is a text table found in a PMP, Project MEL Plan, or Activity MEL Plan. It contains information about the indicators for which USAID plans to collect data. The Performance Indicator Tracking Table is a spreadsheet or database form where indicator data is recorded. Per ADS 201.3.5.7, performance indicator data must be stored in an Indicator Tracking Table or monitoring information system. Also, including information from an indicator’s PIRS in the Indicator Summary Table does not replace the need for a PIRS for each performance indicator. A template and guidance for developing a PIRS is available in the USAID Monitoring Toolkit.
Example Indicator Summary Table Overall Life of Activity Unit of Data Target Target Target Target Disaggregation Frequency Activity Cumulative Measure Source Year 1 Year 2 Year 3 Year X Baseline Target* Activity Goal: Number and name of indicator 1: E.g. Total amount of… Activity Purpose: Number and name of indicator 2: Number and name of indicator 3: Add rows per each indicator… Activity Sub-Purpose: Number and name of indicator x: Add rows per each indicator… Add rows per each sub-purpose… Activity Outcome/Output: Number and name of indicator x: Add rows per each indicator…
…
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Instructions:
Indicator: State the name and unique identifier for the indicator that will measure the expected result listed in the next column. Disaggregates of an indicator may be listed on a separate row below the parent indicator. Unit of Measure: State the unit of measure (e.g., number of hours, percent of households). Disaggregation: State the disaggregation for each indicator. Frequency: State how often the data are reported to USAID. Data Source: State the source of the data Overall Activity Baseline: State the value of the indicator at “baseline,” i.e., before major implementation actions of the planned USAID-supported activity. Target: State the targets per year for each indicator (disaggregation category and total). Life of the Activity Target: State the target for each indicator at the end of the Activity (cumulative value). These targets are very often stated in the Contract/Award.
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9. Annex II: Indicator Reference Sheets
All performance indicators require a PIRS. Completed Performance Indicator Reference Sheets (PIRS) for all indicators in the Activity MEL Plan may be included in this annex.
For Standard Foreign Assistance Indicators, see the Standard Foreign Assistance Indicator Reference sheets and Standard Foreign Assistance Indicators and USAID PIRS Cross Walk.
While not required, it is recommended that context indicators have completed indicator reference information, stored in a Context Indicator Reference Sheet (CIRS). They may also be included in this annex.
Performance Indicator Reference Sheet Please delete instructions in italics as you fill in the form. Project Purpose: Select only one Project the indicator falls under. If the indicator is at the Project goal level, please note so (use the LogFrame of the Project your Activity belongs to). Name of Project Results Measured: Select only one specific Project result the indicator contributes to. If the indicator is at the Project goal level, please note so (use the LogFrame of the Project your Activity belongs to). If the indicator is not related to Project Result, leave empty. Activity Purpose: Enter your Activity’s purpose (use your Activity’s LogFrame). Name of Activity Result Measured: Enter the Activity result this indicator measures (use your Activity’s LogFrame). Name of Indicator: Enter the full title of the indicator. Is this a Project Indicator: Yes ☐ No ☐ If Yes, state the Project indicator to which this Activity indicator contributes. If No, leave empty.
IMPORTANT: If this is a Project indicator, note that you must consult Project PIRS for this indicator when preparing this PIRS for your Activity indicator. Your main PIRS fields (Precise Definition, Calculation Model, Unit of Measure, Disaggregation, Geography, Data Collection Methods, and Data Source) need to include detailed explanation of how your Activity will track the indicator, but paying close attention that the general methods are in line with those prescribed in Project-level PIRS for this indicator. This is particularly important in the case of Project indicators on which multiple Activities report, in order for the Mission to be able to use your Activity data along with the data from other Activities. DESCRIPTION Precise Definition(s): Define the specific words or elements used in the indicator, especially qualitative terms, such as effective, improved, strengthened, accountable, etc. Clarify numerator and denominator for all percent based units of measure. Calculation Model (if applicable): Describe the statistical formula you will use to calculate the indicator. A reader should be able to reconstruct the indicator from the raw data and the formula. If the indicator is merely a ‘number of…’, write n/a.
Unit of Measure: hoo se an item. Description of Unit of Measure: Describe what exactly is being measured. E.g., i) if chosen unit is Simple Number, description can be Score on rating scale 1-7, 7 being the best (maximum citizen satisfaction), ii) if chosen unit is Simple Number, description can be Tons of vegetables produced, iii) if chosen unit is Simple Number, description can be Jobs, iv) if chosen unit is Percent/Fraction, description can be Ratio of convictions to indictments, v) if chosen unit is Percent/Fraction, description can be Investment in % of GDP, vi) if chosen unit is Percent Change, description can be Annual change of sales of Activity beneficiaries. Does this Indicator Have a Changing Calculation Base with Each Reporting Period: Yes ☐ No ☐ If indicator is expressed in percent/fraction (e.g. share, ratio, proportion) or percent change (e.g. annual or quarterly change), its calculation base changes with each reporting period (the exceptions are indicators for which denominator stays the same in each reporting period, such as representative surveys, in which denominator covers entire population in each reporting period). For example, if indicator measures percent change in sales of activity beneficiaries (companies) and if number of beneficiaries increases from one year to the next, baselines are different for each year and should be noted. Another example is an indicator that measures organizational capacity, where the number of organizations that contribute to overall score changes from one year to the next. In such cases, in addition to Overall Activity Baseline that you need to set here, during the implementation of your Activity, you will also need to report on Calculation Base Date, Value, Unit of Measure, and Description when filling out your actuals in Activity Indicator Performance Tracking Table with your Quarterly/Annual Report. For example, if indicator is Annual Change of Sales of Activity Beneficiaries, you will set your baseline (e.g. 0%) and annual targets in percent (e.g. 10% increase in 2016) when filling out this PIRS. When you report actuals for this indicator within the Activity Indicator Performance Tracking Table at the time of preparation of your Quarterly/Annual Reports, you will need to report that total sales of your beneficiaries were e.g. 10 mil KM in 2015, while the actual percent change for 2016 was e.g. 20% (meaning that actual sales in 2016 were 12 mil KM). Desired Direction: Indicate in which direction the indicator should preferably go (e.g. up, down)
Disaggregation: List planned ways of disaggregating the data (sex, age, urban/rural, etc.) and justify why useful. Note that all people-level indicators must be sex-disaggregated. Baselines and targets (as well as actuals, to be reported later within the Activity Indicator Performance Tracking Tables as an Appendix to each Quarterly/Annual Report) should be set for total indicator values, as well as for each disaggregation category (e.g. sex) specified here. Note, however, that Activities can use additional break-downs of data for their internal management and in their data analyses (which should be explained in the field on Plan for Data Analysis, Review, and Reporting), in which case actuals for these additional break-downs of data can be monitored within the narrative part of Activity Quarterly/Annual Reports, but not within the official Activity Indicator Performance Tracking Table (thus, no need for targets and baseline to be established for these additional break-downs of data). Geography: At what geographic scale will actuals for this indicator be measured during Activity implementation (thus, no need for targets and baseline to be established for geographical distribution).Select all that apply. Rationale or Justification for Indicator: Describe why this particular indicator was selected to measure the intended result and how it will be useful for managing performance. PLAN FOR DATA ACQUISITION BY USAID Data Collection Method: Describe the tools and methods for collecting the raw data, e.g.: ledger of patient names, document review, structured interviews, focus groups, written survey, direct observation, self-reported information, review of sign-in sheets, and so on. If the indicator is constructed, such as an index or an expert panel assessment, describe the procedure for construction. If the indicators is collected from a secondary source (e.g. Statistics Agency), please explain their methodology used, at least in simplest terms. Data Source: Identify the source of data (e.g., Household Budget Survey; ministry data; partner records; Freedom House Nations in Transit website with a link; etc.). For indicators that require calculation based on multiple indicators from different sources, list data source for each. Frequency of Reporting Data Within Activity Tracking Table: E.g. quarterly or annually. Baselines and targets (as well as actuals, to be reported later within the Activity Indicator Performance Tracking Table) should be set for indicators based on frequency defined here (e.g. for quarterly indicator, quarterly targets need to be set and actuals will need to be reported in Activity Indicator Performance Tracking Table with each Quarterly Report). Note, that in the case of indicators for which defined frequency is annual, Activities can still report and analyze quarterly progress within the textual part of the Quarterly Reports. Specify here any overlap/discrepancies in data collection and reporting periods – for example, some indicators are only measured on the basis of calendar year, in which cases, the value reported for one fiscal year will be the most recent available value (the value for previous calendar year). Estimated Cost of Data Acquisition: What is the cost of direct data acquisition, not including the Activity staff time? Data Collected by: Name and contact details of the person/organization that collects the raw data. Individual Responsible at USAID: Identify the specific USAID staff member directly responsible for acquiring the data. Individual Responsible at Activity: Identify the specific Activity staff member directly responsible for acquiring the data. Location of Data Storage: Explain where the data will be stored. DATA QUALITY ISSUES Date of Initial/Previous Data Quality Assessment: Enter the month and year of DQA conducted by your COR/AOR/USAID for this indicator. If no external DQA was conducted, with N/A. If your Activity conducted internal DQA, please note so and note the month and year. Date of Future Data Quality Assessments: Enter the planned date for subsequent external data quality assessments (if you know it) or the planned date for next internal DQA, if any. Known Data Limitations and Significance (if any): Enter any major data limitations that affect the USAID data quality standards, namely validity, reliability, timeliness, precision, and integrity of data, which were identified during conducted DQAs, if any. Note whether the limitations were identified by external or internal DQA if both conducted. Actions Taken or Planned to Address Data Limitations (if any): Explain whether the identified limitations are/will be addressed and how. PLAN FOR DATA ANALYSIS, REVIEW, AND REPORTING Data Analysis Method: Explain how the indicator will be analyzed to measure the progress and performance. E.g. comparison of actuals vs. targets, comparing results between disaggregation groups (e.g. male vs. female), measuring trends, developing more complex indices or matrices, geo-analysis, econometrics, etc. Be realistic, use analyses that are relevant for decision-making. Explain any break-down of data (other than official disaggregation) which you plan to use for analyses purposes (e.g. by geographic location). Responsible for Data Analysis: Identify the specific USAID/Activity staff or organization responsible for conducting data analysis. E.g. M&E Officer and COP at the Activity-level, as well as Activity COR and relevant USAID/BiH Technical Office. Presentation of Data Analysis: Describe the format the data analysis will be presented in (e.g. charts) and which program/software will be used. Reporting of Data Analysis: Explain when and who will submit the data analysis, in which type of a report (e.g. the CoP will submit analyses of the data and relevant actions if needed within each Activity Quarterly/Annual Report, while COR will report within material for Project Portfolio Review at Project level). Review and Use of Data Analysis: Explain who will be using the data analysis and for which type of decisions (e.g. analyses will be used by COP, COR, and Project Manager in : i) determining intervention effectiveness and efficiency, ii) work planning iii) timely adjusting and improving the tasks if needed, and iv) planning of future USAID/BiH interventions if applicable). Review should ideally be done in a participatory manner. CHANGES TO INDICATOR Changes to Indicator: Document here any changes to indicator, such as a change in how the data is collected, not changes in the indicator data. Specify (1) the date of the change (2) the change that was made, and (3) the reason for the change. Other Notes: PERFORMANCE INDICATOR VALUES (also specify for disaggregation, if any) Overall Activity Baseline: State the timeframe (quarter, year, etc.) that will serve as the overall Activity baseline value for this indicator. Overall Activity baseline describes the status of the performance indicator at the onset of implementation of USAID-supported interventions that contribute to the achievement of the relevant result. See ADS 201 for more information on baselines. As noted above, baselines and targets (as well actuals, to be reported later within Indicator Performance Tracking Table in Quarterly and Annual Reports) should be set for total indicator values, as well as for each disaggregation category (e.g. sex). Note, however, that Activities can use additional break-downs of data for their internal management and in their data analysis (can be explained in the PIRS section on Plan for Data Analysis, Review, and Reporting) which do not have disaggregated baselines and targets (and later actuals). Rationale for Targets: Explain the basis on which targets are set (e.g., identify specific trends to make reasonable projections based on anticipated level of effort and resources). See ADS 201for more information on targets. Note that annual/quarterly targets need to refer to the reporting period only (i.e. they should not be cumulative), while the Life of Activity Target should be cumulative.
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TABLE WITH BASELINE AND TARGETS This section should be filled out with indicator values in accordance with the frequency defined above in the field Frequency of Reporting Data within Activity Tracking Table. Baselines and targets should be given for total and for each category noted in the field Disaggregation. OVERALL ACTIVITY BASELINE OVERAL ACTIVITY BASELINE DATE OVERAL ACTIVITY BASELINE VALUE e.g. FY2017 e.g. x total, x women, x men TARGETS Reporting Period (e.g. Year of Quarter) TARGET e.g. FY2018 e.g. x total, x women, x men e.g. FY2019 e.g. x total, x women, x men e.g. FY2020 e.g. x total, x women, x men Life of Activity Cumulative Targets e.g. x total, x women, x men THIS SHEET LAST UPDATED BY: DATE: To avoid version control problems, type the date of most recent revision or update to this reference sheet.
10. Annex III: Data Management
A section or annex on managing data is an opportunity to explain how data will be managed at all stages, from collection to reporting. If several organizations are jointly managing the activity, this section should touch on how data will be consistently handled across the partners to ensure a high quality of aggregated data. Potential topics to cover in this section include the following:
• Data Collection summarizes the data collection methods included in the PIRS or evaluation plans and explains the methods and frequency with which data will be gathered, including potential limitations or challenges. • Data Quality for indicators should reasonably meet USAID’s five data quality standards of validity, integrity, precision, reliability, and timeliness. This section may address findings from Data Quality Assessments and note whether any mitigating actions are being taken to improve data quality. • Data Storage sections detail the formats in which data will be held and shared. This includes file types (for example, Microsoft Word, Excel, paper copies), larger storage units (for example, a private server, a cloud-based system, file cabinets), and processes for sharing knowledge internally and externally. For more information, see ADS 579. • Data Security protocols for every activity should meet a basic threshold of restricting access to key offices and workspaces, preventing unauthorized computer access, and safeguarding data during both storage and transfer. This section should detail data security protocols. In particular, personally identifiable information (PII) must be protected. For more information, see the USAID Monitoring Toolkit Data Security Guidance. • Data Analysis and Use details how USAID or the implementing partner will analyze and use data. If specific software will be employed for this purpose, it may be useful to identify it by name or function.
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11. Annex IV: Activity Indicator Performance Tracking Table (IPTT)
TO BE ATTACHED TO QUARTERLY AND ANNUAL REPORTS AND NOT TO THE ACTIVITY MEL PLAN
INDICATOR OVERALL REPORTING REPORTING … LIFE OF
NAME ACTIVITY PERIOD 1 PERIOD 2 ACTIVITY
BASELINE
Date Value Actual Actual Target Target FREQUENCY applicable applicable applicable applicable Target Achieved UNIT OF OF MEASURE UNIT DISAGGREGATION reporting period, if reporting period, if Comparison to Targets % Calculation base for the Calculation base for the Calculation base value, if Calculation base value, if Explanation of Deviation in
End of Activity Target of Activity End
1. E.g. Number of
farmers and others who have applied TOTAL new
technologies
or mana- gement FEMALE
practices as a result of
USAID assistance MALE
TOTAL
Add row per
each
indicator GROUP 1
GROUP 2
…
To fill out this table, keep the following notes in mind:
1. This Table will be used for reporting actuals and will be attached to your Quarterly and Annual Reports (note that only those indicators with quarterly frequency defined within your PIRS will be attached to Quarterly Reports). 2. Precise definition of every indicator is important, especially if this IPTT is filled out by different partners (included in the Activity consortium). They need to understand and report the same data. 3. Calculation base for the reporting period and Calculation base value need to be filled out only for those indicators for which the calculation base changes with each reporting period. This refers to indicators expressed in percent/fraction (e.g. share, ratio, proportion) or percent change (e.g. annual or quarterly change), with the exception of indicators for which denominator stays the same in each reporting period, such as representative surveys, in which denominator covers entire population in each reporting period. For example, if indicator measures percent change in sales of Activity beneficiaries (companies assisted by activity) and if number of beneficiaries increases from one year to the next, calculation bases are different for each year and should be noted. Another example is an indicator that measures organizational capacity, where the number of organizations that contribute to overall score changes from one year to the next. In such cases, in addition to Overall Activity Baseline that is set in PIRS, Activities also need to report on Calculation Base Date, Value, Unit of Measure, and Description when filling out actuals in Activity Indicator Performance Tracking Table attached to the Quarterly/Annual Reports. For example, if indicator is Annual Change of Sales of Activity Beneficiaries, you will set your baseline (e.g. 0%) and annual targets in percent (e.g. 10% increase in 2020) when filling out this PIRS. When you report actuals for this indicator within the Activity Indicator Performance Tracking Table at the time of preparation of your first Annual Report, you will need to report that total sales of your beneficiaries were e.g. 10 mil KM in 2019, while the actual percent change for 2020 was e.g. 20% (meaning that actual sales in 2020 were 12 mil BAM). For all other indicators, Activity should have only one baseline (Overall Activity Baseline), describing the status of the performance indicator at the onset of implementation of USAID-supported intervention that contribute to the achievement of the relevant result. 4. It is possible that some indicators (for example, higher level indicators at Goal or Purpose level) are measured annually, while other indicators are measured on quarterly basis. Please note that 5. Fiscal year starts at October 1 and ends at September 30. 6. Note that annual values for actuals do not necessarily simply add quarterly values (e.g. if indicators measures percent change). 7. Baselines, targets and actuals should be set for total indicator values, as well as for each disaggregation category (e.g. sex). Note, however, that activities can use additional break-downs of data (e.g. by age) for their internal management use and in their data analysis, which should be explained in the PIRS section on Plan for Data Analysis, Review, and Reporting. 8. Annual/quarterly targets need to refer to the reporting period only (i.e. they should not be cumulative), while the Life of Activity Target should be cumulative. 9. Please note that all people-level indicators must be sex-disaggregated.
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XYZ ACTIVITY
111 Street Zip Code, City Bosnia and Herzegovina www.xyz.ba phone: +387.00.000.000 email: [email protected]
ACTIVITY LOGFRAME TEMPLATE LEVEL OF DATA NAME OF RESULT INDICATORS ASSUMPTIONS RESULT SOURCE TBD Activity Improved fiscal discipline and fiscal regulatory Economic Governance Index Goal framework conducive to business in BiH Scorecard measuring:
Improved overall public financial management through Activity Number of Financial Stability enhanced fiscal planning, tax compliance, control of Purpose Management Requirements spending, and debt management significantly advanced with FITRA assistance Activity Technical capacity related to revenue projections and To be proposed by the Sub- micro-simulation models in selected BiH government implementer purpose 1 institutions strengthened Activity Analytical capacity of the FC, FMOF and RS MoF strengthened, Outcome/ resulting in enhanced fiscal analysis, forecasting and policies, Output 1.1 planning and reporting Activity # of macro-econometric and micro Macro-econometric and micro models implemented at State Outcome/ models implemented at State and and the level of the entities Output 1.2 the level of the entities # of dynamic and behavioral Activity Dynamic and behavioral models introduced in economic models introduced in economic FITRA Outcome/ forecasting in BIH, at different levels of the government forecasting in BIH, at different RECORDS Output 1.3 levels of the government
Activity Treasury Systems of the FBiH and RS health sectors
Sub- strengthened purpose 2 Activity Analysis produced, recommending the most viable solution for Outcome/ FBIH health sector TS system Output 2.1 Activity Upgrades to the TS system(s) for number of Cantons in the Outcome/ FBiH (if required) Output 2.2 Activity Number of health sector Number of health sector institutions in the FBiH included in a Outcome/ institutions in the FBiH included in a real-time treasury system. Output 2.3 real-time treasury system Activity #of additional health sector budget Additional health sector budget users in RS included in the RS Outcome/ users in RS included in the RS Treasury System Output 2.4 Treasury System
Activity Business Environment in BiH strengthened Sub- purpose 3 Activity # of nuisance fees eliminated Outcome/ Nuisance fees eliminated /reduced in both entities and BD /reduced in both entities and BD Output 3.1 Activity Outcome/ Fiscal stability of different levels of local government preserved Output 3.2 Activity Cost and time for business Outcome/ Cost and time for business operations in BiH reduced operations in BiH reduced Output 3.3 Activity Sub- Public Debt Management strengthened purpose 4 Activity Legislation and procedures improved to enable software Number of procedures/regulations Outcome/ installation introduced Output 4.1
DMS system installed at all levels of the government (State, Activity both entities) using appropriate tools and techniques to manage Outcome/ and use the best methods and procedures for debt Number of IT systems introduced Output 4.2 management. The IT solution will increase analytical capability of the three
Activity To be proposed by the Sub- Tax compliance increased implementer purpose 5 # of requirements associated with Activity Tasks/requirements associated with Base Erosion and Profit Base Erosion and Profit Sharing Outcome/ Sharing (BEPS) project requirements (Action 13) implemented (BEPS) project requirements Output 5.1 (Action 13) implemented Activity Outcome/ Reporting on BEPS CbC implemented Output 5.2 Activity # of specific and general anti- Outcome/ Specific and general anti-avoidance rules implemented avoidance rules implemented Output 5.3 Activity Data exchange between FBiH TA Data exchange between FBiH TA and FBiH Financial and Outcome/ and FBiH Financial and Information Information Agency established Output 5.4 Agency established # of IT solutions and upgrades implemented in Tax Activity Additional IT support for the further digitization and Administrations Outcome/ automatization of business process implemented in Tax Output 5.5 Administrations, resulting in reduced time and cost for citizens
Activity Sub- Quality of budgeting and public spending improved purpose 6 Activity Cantonal budget users familiar with program and performance # of cantonal budget user trained in Outcome/ budgeting performance budgeting Output 6.1 Activity # of software modules for P&P Software solution for P&P budgeting deployed in e-budget Outcome/ budgeting deployed in e-budget software in all cantons Output 6.2 software in cantons (1-10) Activity Spending programs developed in accordance with strategy and # of spending programs developed Outcome/ methodology; results and indicators developed for all budget in accordance with strategy and Output 6.3 users. methodology
Attachment J.5 DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 0348-0046 (See reverse for public burden disclosure.) 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: a. contract a. bid/offer/application a. initial filing b. grant b. initial award b. material change c. cooperative agreement c. post-award For Material Change Only: d. loan year ______quarter ______e. loan guarantee date of last report ______f. loan insurance 4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is a Subawardee, Enter Name Prime Subawardee and Address of Prime: Tier ______, if known :
Congressional District, if known : 4c Congressional District, if known : 6. Federal Department/Agency: 7. Federal Program Name/Description:
CFDA Number, if applicable: ______
8. Federal Action Number, if known : 9. Award Amount, if known : $ 10. a. Name and Address of Lobbying Registrant b. Individuals Performing Services (including address if (if individual, last name, first name, MI): different from No. 10a ) (last name, first name, MI ):
Information requested through this form is authorized by title 31 U.S.C. section 11. 1352. This disclosure of lobbying activities is a material representation of fact Signature: upon which reliance was placed by the tier above when this transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This Print Name: information will be available for public inspection. Any person who fails to file the required disclosure shall be subject to a civil penalty of not less than $10,000 and Title: not more than $100,000 for each such failure. Telephone No.: ______Date:
Authorized for Local Reproduction Federal Use Only: Standard Form LLL (Rev. 7-97) Attachment J.5 INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreementto make payment to any lobbying entity for influencing or attempting to influence an officer or employeeof any agency, a Member of Congress, an officer or employeeof Congress, or an employeeof a Member of Congress in connection with a coveredFederalaction. Completeall items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriateclassification of this report. If this is a followup report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action.
4. Enter the full name, address, city, State and zip code of the reporting entity. Include CongressionalDistrict, if known. Check the appropriateclassification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee,e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks "Subawardee," then enter the full name, address, city, State and zip code of the prime Federal recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizationallevel below agency name, if known. For example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5.
10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting entity identified in item 4 to influence the covered Federal action.
(b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and Middle Initial (MI).
11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.
According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it displays a valid OMB Control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is estimated to average 10 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, DC 20503.
USAID SMALL BUSINESS SUBCONTRACTING PLAN TEMPLATE (Also see Federal Acquisition Regulation 19.704 and 52.219-9)
The U.S. Agency for International Development (USAID) Office of Small and Disadvantaged Business Utilization (OSDBU) recommends that offerors use the following format to submit “proposed” Individual Subcontracting Plans, including modifications. While this template has been designed to be consistent with Federal Acquisition Regulation (FAR) 19.704, the use of this template DOES NOT waive other requirements that are applicable under FAR 52.219-9 and specified in the Government’s solicitation. This template is not intended to replace any existing Corporate / Commercial Plan that may be more extensive.
A Subcontracting Plan is required if the estimated cost of the contract is equal to or greater than $700,000 ($1,500,000 for construction), the contract has subcontracting possibilities, and the award is made to an “Other Than Small Business”. See FAR 19.702 for exemptions. . SOLICITATION NUMBER: ______
CONTRACT VEHICLE (CHECK ONE):
• STAND-ALONE CONTRACT ___
• INDEFINITE DELIVERY INDEFINITE QUANTITY CONTRACT (IDIQ) ___
• FEDERAL SUPPLY SCHEDULE ORDER ___
• CONTRACT MODIFICATION ___
Note: FAR 19.702(e): A contract may not have more than one subcontracting plan. However, a contracting officer may establish separate subcontracting goals for each order under an indefinite-delivery, indefinite-quantity contract (19.705-1(b)(2)). When a contract modification exceeds the subcontracting plan threshold (see 19.702(a)) or an option is exercised. The goals of an existing subcontracting plan shall be amended to reflect any new subcontracting opportunities not envisioned at the time of contract award. The goal changes do not apply retroactively.
DATE OF PLAN SUBMISSION: ______
CONTRACTOR: ______
ADDRESS: ______
STATE/ZIP CODE______
DUNN & BRADSTREET (DUNS) NUMBER: ______
ITEM/SERVICE (Description): ______
______
______
Page 1 of 8 Template updated by OSDBU on March 5, 2019
NEW / INITIAL CONTRACT
PERIOD OF CONTRACT PERFORMANCE (MM/DD/YYYY – MM/DD/YYYY):______- ______
Base (if options apply) $______Performance Period/Quantity ______
Option 1: $______Performance Period/Quantity ______
Option 2: $______Performance Period/Quantity ______
Option 3: $______Performance Period/Quantity ______
Option 4: $______Performance Period/Quantity ______
$______Total Contract Cost
CONTRACT MODIFICATION (if applicable)
NEW PERIOD OF CONTRACT PERFORMANCE (MM/DD/YYYY – MM/DD/YYYY):______
Original/Base $______Performance Period/Quantity ______
Modification $______Performance Period/Quantity ______
Task Order $______Performance Period/Quantity ______
$______Modified Total Contract Cost
Important: Failure to include information covered by FAR 52.219-9 may be cause for either a delay in acceptance or rejection of a bid or offer when a subcontracting plan is required. The term “SUBCONTRACT,” as used in this clause, means any agreement (other than one involving an employer-employee relationship) entered into by a Federal Government prime contractor or subcontractor involving supplies or services required for performance of a contract or subcontract.
If assistance is needed to help locate small business sources, contact the OSDBU, Small Business Specialist that supports the USAID Bureau or Department that issued the solicitation or modification. The main phone number for OSDBU is (202) 567-4730.
USAID’s FY 2020 Subcontracting Goals are: Small Business (SB) 16.00% Service Disabled Veteran Owned Small Business (SDVOSB) 3.00% Small Disadvantaged Businesses (SDB, includes Section 8(a) firms) 5.00% Woman-Owned Small Business (WOSB) 5.00% Historically Underutilized Business Zone Small Business (HUBZone) 3.00%
Note: The Small Business Administration defines a small business concern as one that is independently owned and operated, organized for profit, and is not dominant in its field. The small business designation is also governed by industry size standards, the average number of employees for the preceding twelve months to include sales volume averaged over a three-year period. See www.sba.gov for additional information regarding size standards.
Template updated by OSDBU on November 14, 2019
Page 2 of 8
1. Type of Plan (check one)
[Note: Almost all plans submitted to USAID should be Individual Plans.]
_____ Individual plan means a subcontracting plan that covers the entire contract period of performance (including options, if applicable), applies to a specific contract, and contains goals that are based on the offeror’s planned subcontracting in support of the specific contract, except that indirect costs incurred for common or joint purposes may be allocated on a prorated basis to the contract.
_____ Master plan means a subcontracting plan that includes all the required elements of an individual contract plan, except goals, and may be incorporated into individual contract plans, provided the master plan has been approved.
_____ Commercial products/service plan means a subcontracting plan (including goals) that covers the offeror’s fiscal year and the plan applies to the entire production of commercial items sold by either the entire company or a portion thereof ( e.g., division, plant, or product line).
2. Goals
Below report the dollar and percentage goals for Small Business (SB), Small Disadvantaged (SDB) including Alaska Native Corporations and Indian Tribes, Women-owned and Economically Disadvantaged Women-Owned (WOSB), Historically Underutilized Business Zone (HUBZone), Veteran Owned Small Business (VOSB), Service-Disabled Veteran-Owned (SDVOSB) Small Businesses and “Other than Small Business” (Other) as subcontractors. Indicate the base year and each option year, as specified in FAR 19.704 or project annual subcontracting base and goals under commercial plans. If any contract contains more than four options, please attach additional sheets which illustrate dollar amounts and percentages. PLEASE NOTE: Zero dollars is not an acceptable goal for SB, SDB, WOSB, HUBZone, VOSB or SDVOSB categories because FAR 19.702 requires contractors to demonstrate a good faith effort throughout the period of performance of the contract. Formula provided below:
a. Total estimated dollar value of ALL planned subcontracting, i.e., with ALL types of concerns under this contract is ______(Base Period + All Option Periods).
b. Total estimated dollar value and percent of planned subcontracting with SMALL BUSINESSES (including SDB, WOSB, HUBZone, VOSB and SDVOSB, ANC and Indian Tribes): (% of “a”) $ ______(Base Period + All Options Periods)
c. Total estimated dollar value and percentage of planned subcontracting with SMALL DISADVANTAGED BUSINESSES: (% of “a”) $ ______(Base Period + All Option Periods)
d. Total estimated dollar value and percentage of planned subcontracting with WOMEN-OWNED SMALL BUSINESSES: (% of “a”) $ ______(Base Period + All Option Periods)
e. Total estimated dollar and percentage of planned subcontracting with HUBZone SMALL BUSINESSES: (% of “a”) $ ______and (Base Period + All Option Periods)
f. Total estimated dollar and percentage of planned subcontracting with VETERAN-OWNED SMALL BUSINESSES: (% of “a”) $ ______(Base Period + All Option Periods)
g. Total estimated dollar and percentage of planned subcontracting with SERVICE-DISABLED VETERAN-OWNED SMALL BUSINESSES: (% of “a”) $ ______(Base Period + All Option Periods)
Template updated by OSDBU on November 14, 2019
Page 3 of 8 h. Total estimated dollar and percentage of planned subcontracting with “OTHER THAN SMALL BUSINESSES” (As defined by the Small Business Administration as “any entity that is not classified as a U.S. small business. This includes large businesses, state and local governments, non-profit organizations, public utilities, educational institutions and foreign-owned firms.) i. (% of “a”) $ ______(Base Period + All Option Periods)
j. Use the “Small Business Utilization Plan Template,” Attachment A, to provide a description of ALL products and/or services to be subcontracted under this contract and percentage (%) of work. It is important to identify and report the name and socio-economic status of the entities to be utilized as subcontractors, and indicate what (if any) written commitments have been entered into with the subcontractors.
k. Provide a description of the method used to develop the subcontracting goals for SB, SDB, WOSB, HUBZone, VOSB, and SDVOSB concerns. Address efforts made to ensure that maximum practicable subcontracting opportunities have been made available for those concerns and explain the method used to identify potential sources for solicitation purposes. Explain the method and state the quantitative basis (in dollars) used to establish the percentage goals provided in Attachment A. Also, explain how the areas to be subcontracted to SB, WOSB, HUBZone, VOSB and SDVOSB concerns were determined, how the capabilities of these concerns were considered contract opportunities and how such data comports with the cost proposal. Identify any source lists or other resources used in the determination process. (Attach additional sheets, if necessary). ______
______
l. Indirect costs have ____ or have not ____ been included in the dollar and percentage subcontracting goals above (check one).
m. If indirect costs have been included, explain the method used to determine the proportionate share of such costs to be allocated as subcontracts to SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns: ______
______
______
3. Subcontracting Program Administrator:
NAME: ______
TITLE: ______
ADDRESS: ______
______
TELEPHONE: ______
E-MAIL: ______Template updated by OSDBU on November 14, 2019
Page 4 of 8 Duties: Does the individual named above retain general overall responsibility for the company’s subcontracting program, i.e., developing, preparing, and executing subcontracting plans and monitoring performance relative to the requirements of the subcontracting plan(s) and perform the following duties? ___yes ___no (If NO is checked), it is important to identify who in the company performs those duties, or indicate why the duties are not performed on a separate sheet of paper and submit with the proposed subcontracting plan.)
a. Developing and promoting company-wide policy initiatives that demonstrate the company supports the award of contracts and subcontracts to SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns; and for assuring that these concerns are included on the source lists regarding solicitations for products and services they are capable of providing: __Yes __ No
b. Developing and maintaining a bidder/offeror source lists of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns from all possible source categories: __Yes __ No
c. Ensuring periodic rotation of potential subcontractors on bidder/offeror lists; __ Yes __ No
d. Assuring that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB businesses are included on the bidder/offeror lists for every subcontract solicitation for products and services that they are capable of providing: __ Yes __ No
e. Ensuring that Requests for Proposals (RFPs) are designed to permit the maximum practicable participation of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns: __ Yes __ No
f. Reviewing subcontract solicitations to remove statements, clauses, etc., which might tend to restrict or prohibit small, 8(a), SDB, WOSB, HUBZone, VOSB and SDVOSB small business participation: __ Yes __ No
g. Accessing various sources for the identification of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns to include SBA’s Dynamic Small Business Search web page (http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm) and/or the System for Awards Management (www.sam.gov), ( https://www.vip.vetbiz.va.gov/) , local small business and minority associations, local chambers of commerce and Federal Agency Small Business Offices: ___ Yes ___ No
h. Establishing and maintaining contract and subcontract award records: __ Yes __ No
i. Participating in Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, Procurement Conferences, etc: __ Yes __ No
j. Ensuring that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns are made aware of subcontracting opportunities and assisting concerns in preparing responsive bids/Offers to the company: __ Yes __ No
k. Conducting or arranging for training for purchasing personnel regarding the intent and impact of Section 8(d) of the Small Business Act, as amended: __ Yes __ No
l. Monitoring the company’s subcontracting program performance and making adjustments as necessary to achieve the subcontract plan goals: ___ Yes ___ No
m. Preparing and submitting timely, required subcontract reports: ___ Yes ___ No
n. Conducting or arranging training for purchasing personnel regarding the intent and impact of 8(a) of the Small Business Act on purchasing procedures: __ Yes __ No
Template updated by OSDBU on November 14, 2019
Page 5 of 8 o. Coordinating the company’s activities during the administration of compliance reviews by Federal Agencies: __ Yes __ No
p. Other duties: ______
______
______
4. Equitable Opportunity
Describe efforts the offeror will undertake to ensure that SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns will have an equitable opportunity to compete for subcontracts. These efforts include, but are not limited to, the following activities:
a. Outreach efforts to obtain sources:
1. Contact minority and small business trade associations 2. Contact business development organizations and local chambers of commerce 3. Attend SB, SDB, WOSB, HUBZone, VOSB and SDVOSB procurement conferences and trade fairs 4. Review sources from the Dynamic Small Business Search web page (http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm) 5. Review sources from the System for Award Management web page (www.sam.gov) 6. Review sources from the Department of Veterans Affairs, Vendor Information Pages VIP at: https://www.vip.vetbiz.va.gov/
Additional efforts: ______
b. Internal efforts to guide and encourage purchasing personnel:
1. Conduct workshops, seminars and training programs;
2. Establish, maintain, and utilize SB, SDB, WOSB, HUBZone, VOSB and SDVOSB source lists, guides, and other data for soliciting subcontractors; and
3. Monitor activities to evaluate compliance with the subcontracting plan.
Additional efforts: ______
5. Flow-Down Clause
The contractor agrees to include the provisions under FAR 52.219-8, “Utilization of Small Business Concerns,” in all acquisitions exceeding the simplified acquisition threshold that offers further subcontracting opportunities. All subcontractors (except small business concerns) that receive subcontracts in excess of $700,000 ($1,500,000 for construction) must adopt and comply with a plan similar to the plan required by FAR 52.219-9, “Small Business Subcontracting Plan.” [Note]: In accordance with FAR 52.212-5(e), the contractor is not required to include the flow-down clause if it is subcontracting commercial items.
Template updated by OSDBU on November 14, 2019
Page 6 of 8 6. Reporting and Cooperation
The contractor gives assurance that it will, i. Cooperate in any studies or surveys that may be required; ii. Submit periodic reports which illustrate compliance with the subcontracting plan iii. Submit its Individual Subcontracting Report (ISR) and Summary Subcontract Report (SSR); via the Electronic Subcontracting Reporting System (eSRS) website (www.esrs.gov) iv. Ensure that its subcontractors with subcontracting plans agree to submit the ISR and/or the SSR using eSRS
Reporting Period Report Due Due Date
Oct 1 - Mar 31 ISR 4/30
Apr 1 - Sept 30 ISR 10/30
Oct 1 - Sept 30 SSR 10/30 Year End SDB 90 days of SSR Oct 1 – Sep 30 Report submission
Contract Completion Final ISR 30 days after completion
Please refer to FAR Part 19.7 for instructions regarding the submission of a Commercial Plan: SSR are due on 10/30 each year for the previous fiscal year ending 9/30. Reports are required when due, regardless of whether there has been any subcontracting activity since the inception of the contract or the previous reporting period.
Note: The eSRS system does not allow firms to submit a separate report for each Task Order issued. Therefore, eSRS reporting for USAID IDIQ contracts must include information pertaining to Task Orderissued under the IDIQ contract. Contractors MUST include a statement in the remarks section of eSRS that references the Task Order number, dollars awarded, and subcontracting plan percentage that is applicable to each Task Order contract.
7. Description of Record Types (Ref: FAR 52.219-9(d) (11)) In order to demonstrate the company’s adherence to the obligation to maintain records that reflect compliance with the requirements and goals covered in the plan, describe the records maintenance procedures for locating each category of small businesses for use as a subcontractor(s):
______
______
8. Description of Good Faith Effort
Maximum practicable utilization of SB, SDB, WOSB, HUBZone, VOSB and SDVOSB concerns, as subcontractors, in Government contracts is a matter of national interest with both social and economic benefits. When a contractor fails to make a good faith effort to comply with a subcontracting plan, these objectives are not achieved and 15 U.S.C. 637(d) (4) (F) directs that liquidated damages SHALL be paid by the contractor. Describe the company’s commitment to make a good faith effort to ensure that the subcontracting goals are met. Template updated by OSDBU on November 14, 2019
Page 7 of 8 ______
If this is a direct award, the contractor is required to provide the names, contact information, and socio economic status of the firms slated to receive a contract. Identifying firms after award is not conducive to meeting the goals required by the plan. If this is an ID/IQ contract, the contractor is required to provide the names, contact information, and socio economic status of the firms slated to receive a contract at the time a task order is issued FAR 19.705-1(b).
Required Signatures:
This subcontracting plan was submitted by:
Signature: ______
Typed/Print Name: ______
Title: ______
Date: ______
As covered by FAR 19.702(c) and referenced by 15 U.S.C. 637(d)(8), any contractor or subcontractor failing to comply in good faith with the requirements of the subcontracting plan is in material breach of its contract. Further, 15 U.S.C. 637(d)(4)(F) directs that a contractor’s failure to make a good faith effort to comply with the requirements of the subcontracting plan shall result in the imposition of liquidated damages.
This plan was reviewed and approved by:
Signature: ______
Typed/Print Name: ______
Title: Contracting Officer
Date: ______
Template updated by OSDBU on November 14, 2019
Page 8 of 8 ATTACHMENT J.2 - Past Performance Information
PAST PERFORMANCE INFORMATION PERFORMANCE REPORT - SHORT FORM PART I: Award Information (to be completed by Prime) 1. Name of Awarding Entity: 2. Award Number: 3. Award Type: 4. Award Value (TEC): (if sub-agreement, sub-agreement value) 5. Problems: (if problems encountered on this award, explain corrective action taken) 6. Contacts: (Name, Telephone Number and E-mail address) 6.a. Agreement Officer: 6.b. Contracting Officer Technical Representative (COTR): 6.c. Other: 7. Recipient: 8. Title/Brief Description of Product/Service Provided: 9. Information Provided in Response to RFP No. : PART II: Performance Assessment (to be completed by Agency) 1. Quality of product or service, including consistency in meeting goals and targets, and cooperation and effectiveness of the Prime in fixing problems. Comment: 2. Cost control, including forecasting costs as well as accuracy in financial reporting. Comment: 3. Timeliness of performance, including adherence to contract schedules and other time-sensitive project conditions, and effectiveness of home and field office management to make prompt decisions and ensure efficient operation of tasks. Comment: 4. Customer satisfaction, including satisfactory business relationship to clients, initiation and management of several complex activities simultaneously, coordination among subcontractors and developing country partners, prompt and satisfactory correction of problems, and cooperative attitude in fixing problems. Comment: 5. Effectiveness of key personnel including: effectiveness and appropriateness of personnel for the job; and prompt and satisfactory changes in personnel when problems with clients where identified. Comment:
ENDO OF ATTACHMENT J.3 - Past Performance Information