ANNEX 6 - PHASE 2 MANDATORY & AS APPLICABLE for FY21 RFA.pdf

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ANNEX 6 - MANDATORY ATTACHMENTS AND MANDATORY AS

APPLICABLE ATTACHMENTS

A. MANDATORY ATTACHMENTS:The following attachments are mandatory for all applicants submitting a full application. Check all the required and applicable boxes, to state that the Applicant has included the attachments with their Phase 2 application.

● M1 - USO Audited Financial Statements

Applicants must include an attachment containing the most recent Single Audit (A-133 audit) and/or independently audited financial statements of the USO with accompanying letter of audit findings and management letter on internal controls. If both audits are available, please submit both. The audited financial statements must be from 2019 or later and in English. ASHA will only accept independently audited financial statements of the USO. ASHA will not accept a financial review, compilation, tax return, independent accountant’s review or other materials in lieu of independently audited financial statements. The audited financial statements provided must be complete and cannot be missing the auditor’s opinion, auditor’s signature, commentary, or other components included in the original document provided by the independent auditing institution. ASHA will not accept drafts of audited financial statements. The audited financial statements may not be provided with supplemental attachments intended to provide information that should be included in the original audited financial statements such as excel sheets documenting the financial figures being reviewed in the audited financial statements (i.e.

providing independent audited financial statements without the monetary figures, and instead providing them as a separate attachment). All financial figures, commentary and facts contained within the audited financial statements should be presented in their original form, unedited without additional attachments to supplement information that should be present, but is otherwise missing. Audited financial statements with missing information, figures, or supplemental attachments (other than translations) will render the application ineligible. This information must be submitted as a separate attachment named “M1 - USO Audited Financial Statements”.

● M2 - OSI Audited Financial Statements Applicants must include an attachment containing the most recent independently audited financial statements of the OSI. The audited financial statements must be from 2019 or later. If originally completed in a language other than English, applicants must provide the English translation of the audited financial statements. If originally completed using a currency other than the U.S. dollar, applicants must provide a version that converts local currency to U.S.

dollars. ASHA will only accept independently audited financial statements of the OSI in English or with English translation provided, and in US Dollars, or with USD conversion provided.

ASHA will not accept unaudited financial statements, OSI financial statements in a language other than English, or financial statements in a currency other than the U.S. Dollar. ASHA will not accept a financial review, compilation, tax return, independent accountant’s review or other materials in lieu of independently audited financial statements. The audited financial statements provided must be complete and cannot be missing the auditor’s opinion, auditor’s signature, commentary, or other components. ASHA will not accept drafts of audited financial statements.

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The audited financial statements may not be provided with supplemental attachments such as excel sheets documenting the financial figures being reviewed in the audited financial statements (other than USD conversion). All financial figures, commentary and facts contained within the audited financial statements should be presented in their original form, unedited without additional attachments to supplement information that should be present, but is otherwise missing. Audited financial statements with missing information, figures, or supplemental attachments (other than translations or conversions to USD) will render the application ineligible. This information must be submitted as a separate attachment named “M2 - OSI Audited Financial Statements”. If the USO and OSI are the same entity there is no need to submit independently audited financial statements for the OSI. If the USO and OSI are the same entity the applicant should make note of that fact in response to number 1 on the eligibility page of their application.

● M3 - USO Project Manager Applicants must submit a 1-page resume(s) of the Project Manager(s) (not construction or renovation management) who will be responsible for managing this project at the USO.

Information detailing licensure, certification and professional society memberships must be included. This information must be submitted as a separate attachment named “M3 - USO Project Manager”.

● M4 - OSI Project Manager Applicants must submit a 1-page resume(s) of the Project Manager(s) who will be responsible for managing this project (not construction or renovation management) at the OSI. Information detailing licensure, certification and professional society memberships must be included. This information must be submitted as a separate attachment named “M4 - OSI Project Manager”. If the USO and OSI are the same legal entity there is no need to submit a project manager for the OSI. If the USO and OSI are the same legal entity the applicant should make note of that fact in response to number 1 of the eligibility page of their application.

● M5 - USO Board of Directors Applicants must submit a table showing the members of the USO’s Board of Directors, with columns for names, titles, and employers. This information must be submitted as a separate attachment named “M5 - USO Boards of Directors”. If the USO and OSI are the same legal entity, indicate if any board member was appointed by a foreign government.

● M6 - OSI Board of Directors Applicants must submit a table showing the members of the OSI’s Boards of Directors, with columns for names, titles, employers, and an indication for every board member stating whether they are appointed by the host country government. ASHA will not accept applications that fail to include in the M6 attachment statements indicating whether or not each member of the OSI board of directors is appointed by the host country government. This information must be submitted as a separate attachment named “M6 - OSI Board of Directors”. If the USO and OSI are the same legal entity there is no need to submit a board of directors for the OSI as they would be the same. If the USO and OSI are the same legal entity the applicant should make note of that fact in response to number 1 of the eligibility page of their application.

● M7 - Environmental Capability Statement

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Applicants must submit an Environmental Capability Statement that is no more than 2 pages long. See Annex 3 for more information. This document must be submitted as a separate attachment named “M7 - Environmental Capability Statement”. Following award, successful awardees must complete additional environmental requirements as described in Section H.

B. MANDATORY AS APPLICABLE ATTACHMENTS:

The following attachments are required for applicants, as applicable:

● MA1 - Conceptual Construction Drawings (“1 of 3,” ‘2 of 3,” etc., as necessary)

All projects that include construction or renovation must provide conceptual construction drawings as noted below. The construction drawings for the proposed construction/ renovation must provide sufficient detail to give the evaluation committee an idea of what the project entails and that primary elements of design have been identified. These drawings should be submitted using as few attachments as possible. Applicants submitting an application involving construction or renovation projects that fail to include a separate attachment for construction drawings will be deemed ineligible.

Note that all measurements must be in metric system units, per 2 CFR 700.6. All drawings must be drawn to an appropriate scale showing the scale on the drawing and each drawing must have a title.

The drawings must be labeled in English, and must include the following as a minimum:

1. A Site Layout Plan describing approximate location of main features, and if available, property lines, utilities, easements and/or other land use restrictions, existing buildings or structures and any wetlands or other environmentally protected areas. The site layout plan must include major site elements such as sidewalks, parking, roads, etc.

2. If demolition is required, Site Demolition Drawing showing major structures and improvements to be demolished.

3. A Site Drainage Plan showing the general flow of drainage and possible major drainage feature locations.

4. A Utility Location Plan, that identifies existing utilities, required or suggested connection/ hookup points such as power supply, potable water supply, wastewater collection and disposal,

5. Conceptual Architectural Drawings showing typical floor plans (must label all rooms and show area of each floor), and typical side elevations both complying with Americans with Disabilities Act (ADA). Description of building materials.

6. Conceptual Structural Drawings showing foundations and structural elements of the design.

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The drawings must also take into account the following:

● In the case of special facilities like preservation of historic buildings, large auditorium, multi-story libraries and such, the conceptual drawings must demonstrate awareness of structural, space and safety considerations. Likewise, in the case of unique civil features such as large retaining walls or off-grid utilities, the drawings must demonstrate the feasibility of what is proposed, to make sure that has been factored into the estimated costs.

● In the case of special equipment, additional drawings should be submitted to ensure adequate structure, electrical, mechanical considerations are incorporated into the project.

● List of additional documents that may be provided post-award. This list is presented to make applicants aware of additional considerations they may need to plan for.

a. The conceptual landscape plan that establishes a minimum level of landscaping for the project

b. Conceptual fire protection that indicate fire water tanks and whether sprinklers are pressurized or gravity fed.

c. Conceptual Mechanical drawings that show preliminary heating ventilation and air condition (HVAC) system description, locations of plumbing fixtures and gas, water and/or sewer service points. Mechanical rooms and vertical shafts or risers should be sized and shown on the conceptual floor plans. (Note that conceptual mechanical, electrical, and plumbing drawings may be combined if the situation warrants).

d. Conceptual Electrical drawings that show large features, distribution nodes, generators, etc.

If some required drawings are not required for your type of construction, please note this in the submission.

The file name of each attachment related to this requirement should begin with “MA1 - Conceptual Construction Drawings,” followed by an indication of each attachment’s order within all construction drawings. For example, an application with three construction drawings attached would name these attachments “MA1 - Conceptual Construction Drawings 1 of 3”, “MA1 - Conceptual Construction Drawings 2 of 3,” and “MA1 - Conceptual Construction Drawings 3 of 3.” The required construction drawings and additional optional construction drawings should utilize the same file-naming convention.

● MA2 - Conceptual Project Implementation Plan All projects that include construction or renovation must submit a Conceptual project Implementation Plan. This information must be submitted as a separate attachment named “MA2

- Conceptual Project Implementation Plan.”

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● Milestones and preliminary plan for all mandatory ASHA approvals: monitoring & evaluation plan, final project implementation plan, environmental/Climate risk analysis and final construction documents.

● Implementation Schedule (provide a schedule, no Gantt Chart’s required)

○ Timeline to include but not limited to: planning, permitting, procurement of A&E firm, procurement of construction firm, design phase, construction phase and projected completion date.

● Organizational Chart or Staffing Plan

● Timeline and plan for O&M Plan

Applicants submitting an application involving construction or renovations projects that fail to include a separate attachment for the Conceptual Project Implementation Plan will be deemed ineligible.

● MA3 – Land Ownership or Lease

All projects that include construction or renovation must submit proof of land ownership or a lease for applications. If these documents are not in English, the applicant must provide an English translation of these documents. Applicants that submit land ownership or lease documents in a language other than English without an English translation will be deemed ineligible. The applicant must submit an official copy of a title, lease or similar official documentation recognized within the country where implementation will take place demonstrating a legal right to the land (to build, renovate, retrofit according to current building codes) ideally for a period of at least 20 years from the date of the application. While applications involving a legal right to the land of 20 years (or more) will be given a greater preference, USAID is willing to consider applications that include a title, lease or similar official documentation covering a shorter period of time, but such applications will be given a lower preference. This information must be submitted as a separate attachment named “MA3 - Land Ownership or Lease” and a translation, if needed, should be included.

● MA4 - Construction Project Manager All projects that include construction or renovation must submit a 1-page resume(s) of the Construction Project Manager(s) who will be responsible for managing the renovation/construction portion of the project. This person cannot be the USO or OSI Project Manager. Information detailing licensure, certification and professional society memberships must be included. This information must be submitted as a separate attachment named “MA4 - Construction Project Manager”.