7200AA22R00069_Compliance and Capacity Support for Diverse Partnerships (CCSDP) IDIQ.pdf

U.S. Agency for International Development (USAID)

CCSDP Solicitation #: 7200AA22R00069

Issuance Date: January 11, 2023 Questions Due: January 18, 2023 at 10AM EST Closing Dates: February 3, 2023 at 1PM EST (Phase 1); TBD (Phase 2)

Subject: Request for Proposals (RFP) No. 7200AA22R00069, Compliance and Capacity Support for Diverse Partnerships (CCSDP) IDIQ

The United States Agency for International Development (USAID) is seeking proposals to provide professional and technical support for USAID’s Bureau for Democracy, Development, and Innovation as described in the attached Request for Proposals (RFP). USAID anticipates the award of up to six (6), five-year Indefinite Delivery Indefinite Quantity Contracts (IDIQs). This requirement is set aside for award to small business concerns.

USAID anticipates that the maximum aggregate ordering limitation for contracts resulting from this RFP will be $250,000,000 over the five-year ordering period. The maximum aggregate dollar value of task orders awarded to all contractors cannot exceed this contract ceiling. This ceiling is not being subdivided among the number of awardees nor is it being multiplied by the number of awardees. There is no guarantee on the number of task orders that the successful contractors will receive or the amount of funding beyond the minimum order guarantee set forth in the

RFP.

Please refer to Section L for information regarding proposal requirements, preparation and submission of required proposal contents. Offerors should take into account the expected delivery time required by the proposal transmission method and are responsible for ensuring proposals are received at USAID by the due date and time as specified in Section L. Failure to comply with the submission date and time will deem any submission unacceptable and it will not be reviewed or evaluated. Faxed proposals are not acceptable, nor will they be reviewed or evaluated.

Section L of the RFP sets forth all instructions for the critical dates/times for the submission of questions, and the proposal submission closing date and time. Section M states the criteria by which proposals will be evaluated.

This RFP in no way obligates USAID to award a contract nor does it commit USAID to pay any cost incurred in the preparation and submission of a proposal. Award of a Contract under this RFP is subject to availability of funds and other internal USAID approvals.

This RFP can be viewed and downloaded from https://sam.gov/content/opportunities. 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.

Sincerely, /s/

Charles Jackson Contracting Officer, USAID https://sam.gov/content/opportunities

SECTION

15A. NAME AND

ADDRESS

OF OFFEROR

SOLICITATION, OFFER, AND AWARD 1. This Contract is a Rated Order under the Defense Priorities and Allocations System (DPAS) - Code of Federal Regulations - at 15 CFR 700.

RATING PAGE OF PAGES

2. CONTRACT NUMBER 3. SOLICITATION NUMBER 4. TYPE OF SOLICITATION 5. DATE ISSUED 6. REQUISITION/PURCHASE NUMBER

CODE7. ISSUED BY 8. ADDRESS OFFER TO (If other than item 7)

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

SOLICITATION

9. Sealed offers in original and copies for furnishings 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 local time

CAUTION - LATE Submissions, Modifications, and Withdrawals: See Section L, Provision Number 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

10. FOR

INFORMATION

CALL:

A. NAME B. TELEPHONE (NO COLLECT CALLS)

AREA CODE NUMBER EXTENSION

C. EMAIL ADDRESS

11. TABLE OF CONTENTS

(X) DESCRIPTION PAGE(S) (X) SECTION PAGE(S)DESCRIPTION

A B C D E F G H

I

J

K

L

M EVALUATION FACTORS FOR AWARD

INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

REPRESENTATIONS, CERTIFICATIONS AND OTHER

STATEMENTS OF OFFERORS

PART IV - REPRESENTATIONS AND INSTRUCTIONS

LIST OF ATTACHMENTS

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS

CONTRACT CLAUSESSOLICITATION/CONTRACT FORM

SUPPLIES OR SERVICES AND PRICES/COSTS

DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

PACKAGING AND MARKING

INSPECTION AND ACCEPTANCE

DELIVERIES OR PERFORMANCE

CONTRACT ADMINISTRATION DATA

SPECIAL CONTRACT REQUIREMENTS

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

OFFER (Must be fully completed by offeror)

12. In compliance with the above, the undersigned agrees, if this offer is accepted within 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 set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT

(See Section I, Clause Number 52.232-8)

14. ACKNOWLEDGMENT OF AMENDMENTS

(The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated):

10 CALENDAR DAYS (%) 20 CALENDAR DAYS (%) 30 CALENDAR DAYS (%) CALENDAR DAYS (%)

DATEAMENDMENT NUMBERAMENDMENT NUMBER DATE

CODE FACILITY 16. NAME AND THE TITLE OF PERSON AUTHORIZED TO SIGN OFFER

(Type or print)

15B. TELEPHONE NUMBER

AREA CODE NUMBER EXTENSION

15C. CHECK IF REMITTANCE ADDRESS IS

DIFFERENT FROM ABOVE - ENTER

SUCH ADDRESS IN SCHEDULE.

17. SIGNATURE 18. OFFER DATE

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 OPEN COMPETITION UNDER THE

UNITED STATES CODE AT:

10 U.S.C. 3204(a) ( )41 U.S.C. 3304(a)

24. ADMINISTERED BY (If other than Item 7)

26. NAME OF CONTRACTING OFFICER (Type or print)

IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

23. SUBMIT INVOICES TO ADDRESS SHOWN IN

(4 copies unless otherwise specified)

25. PAYMENT WILL BE MADE BY

27. UNITED STATES OF AMERICA

(Signature of Contracting Officer)

28. AWARD DATE

CODE

ITEM

STANDARD FORM 33 (REV. 12/2022)

Prescribed by GSA - FAR (48 CFR) 53.214 (c)

SEALED BID (IFB) INVITATION FOR BID

NEGOTIATED (RFP) REQUEST FOR

PROPOSAL

(Hour) (Date)

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

The purpose of this contract is to provide services that fall within the Scope of Work (SOW) specified in Section C for Compliance and Capacity Support for Diverse Partnerships (CCSDP). USAID Task Order Contracting Officers (TOCOs) will request the work through the issuance of task orders during the ordering period as specified in Section F of the contract.

B.2 CONTRACT TYPE AND SERVICES

This is an Indefinite Delivery/Indefinite Quantity (IDIQ) type contract. The Government will issue task orders that are either Cost-Plus-Fixed-Fee (CPFF) (term or completion), or any Fixed-Priced type. The Contractor must perform the services set forth in task orders at prices consistent with Section B of this contract.

Task Order requirements can be described with a statement of objectives (SOO), performance work statement (PWS), or statement of work (SOW).

B.3 MINIMUM OBLIGATED AMOUNT

The basic contract includes an initial obligation of funds in the amount of $25,000 to cover the minimum order guarantee USAID is required to order and the Contractor is required to furnish the minimum order amount of services.

Following this initial obligation, individual task orders will obligate funds to cover the work required under that task order.

B.4 MAXIMUM CONTRACT CEILING

This is a multiple award Indefinite Quantity Contract (IDIQ) with an overall ceiling price of

$250,000,000 for Compliance and Capacity Support for Diverse Partnerships (CCSDP). The maximum aggregate dollar value of task orders awarded to all contractors must not exceed the contract ceiling. This ceiling is not being subdivided among the number of awardees nor is it being multiplied by the number of awardees.

B.5 FIXED FEE CEILING (Cost-Plus- Fixed-Fee Task Orders Only)

NOTE: The ceiling on fixed fee does not apply to Fixed-Priced Task Orders.

(a) For each cost-reimbursement task order issued under this IDIQ, the TOCO and Contractor agree to negotiate a set dollar amount for a fixed fee. In negotiating the fixed dollar amount for fee, the TOCO must consider the policies and factors for establishing fee in FAR 15.404-4 as well as any applicable USAID policy on establishing a fixed fee amount. In no event, however, may the amount of fixed fee in any individual task order exceed seven percent (7%) of the task order’s estimated cost, excluding fee.

This fee ceiling is not applicable to Grants under Contracts (GUCs), if any, or other costs that have a separate fee ceiling established in the contract. The fixed fee ceiling applies to the prime contract and all cost reimbursement subcontracts.

(b) The Total Estimated Cost -Plus- Fixed- Fee for each Task Order must be negotiated in accordance with the terms of this contract.

(c) Fixed Fee Payment. For any Task Order issued under this Contract, at the time of each payment of allowable costs to the contractor, the USAID paying office ordinarily pays the contractor a percentage of fixed fees that directly corresponds to the percentage of allowable costs being paid. Two exceptions to paying fixed fee in this manner apply:

(1) If the TOCO determines that this method results in paying a disproportionately higher ratio of fixed fee than the percentage of work that the contractor has completed, then the TOCO may suspend further payment of any fixed fee until the contractor has made sufficient progress to justify further payment, up to the agreed percentage.

(2) Because the clauses entitled "Allowable Cost and Payment" (FAR 52.216-7) and "Fixed Fee" (FAR 52.216-8) are incorporated into this Contract, the terms and conditions of these clauses apply after total payments of fixed fee reach eighty-five percent (85%) of the total fixed fee.

(d) Separate Fixed Fee Ceiling Applicable To Grants Under Contracts (GUCs)

(1) In no event may the amount of fixed fee (if any) applicable to GUCs in any individual task order exceed _____ percent (Offeror proposes ceiling percentage) of the task order GUC cost.

Or

(2) If a Letter of Credit has been issued to the Contractor for GUC expenditures only, in no event may the amount of fixed fee (if any) applicable to GUCs in any individual task order exceed _____ percent (Offeror proposes ceiling percentage) of the task order GUC cost.

B.6 CONTRACT LINE ITEMS (CLINs):

CLINs will be established based on requirements at the Task Order level.

B.7 LABOR

(Only applicable to cost reimbursement type task orders)

(a) Central management costs will be handled through the following method:

(1) The Contracting Officer has determined that a key (full-time) technical manager is not necessary or required to administer the basic IDIQ. Contractors will not be authorized to bill USAID directly for IDIQ management costs under this IDIQ or under task orders.

Contractors must propose a centralized management structure that allows for recovery of IDIQ management costs as part of its indirect costs.

(b) The workday and work week policies and method of accounting for paid absences including holidays for the contractor and major subcontractors is set forth in Attachment J.4 [To be inserted at time of award]

(c) Compensation of personnel under this contract or any resulting subcontract must be in accordance with AIDAR 752.7007 Personnel Compensation (July 2007) (See Section H.).

B.7 (a) Unburdened Ceiling Daily Rates (CDR)

(1) The task order rates must not exceed the ceiling daily rates set forth in the table below.

Each CDR for personnel listed below is “unburdened” and must only include salary costs or consulting rates of the individual providing the services.

The CDR for employees must not include the following:

● Payroll costs (fringe benefits, FICA, allowances, differentials, etc.);

● Indirect Costs applicable to labor; and

● Profit or fee, if any.

The CDRs set forth below are fixed for the contract period and is for a productive eight (8) hour day, and apply to all subcontractors set forth in clause 52.244-2 in Section I. If a new subcontractor is proposed for a specific task order on other than a fixed-price basis, the CDRs set forth below will apply, and the subcontract is subject to consent by the TOCO in accordance with FAR Part 44.

Actual salaries for all personnel will be negotiated under task orders and final approval is provided by the TOCO. The ceiling rates presented below do not constitute approval of final salary rates above the Contractor Salary Threshold (CST) (see ADS 302).

(2) The single unburdened ceiling daily rate for each labor category/group below represents the mid-level and senior level rate in each category/grouping. One unburdened ceiling daily rate for each labor category/grouping is included in the contract to provide more flexibility under task orders. If junior-level personnel are required under task orders, they must be proposed at rates below the unburdened ceiling daily rate for mid-level personnel.

No. Labor Category Level Year 1 Year 2 Year 3 Year 4 Year 5

001 Finance and Compliance Staff

Senior

Mid

002 Administrative and Operational Staff

Mid $ $ $ $ $

003 Subject Matter Expert - General

Senior

Mid

004 Subject Matter Expert - Institutional Development

Senior

Mid

005 Monitoring, Evaluation and Learning Specialist

Senior

Mid

006 Technical Writer/Editor Senior

Mid

007 Consultant Senior

Mid

008 Systems Analyst Senior

Mid

009 Grants Manager Senior

010 Grants Specialist Senior

Mid

[Note 1: The Unburdened Ceiling Daily Rates apply to any task order(s) that are awarded under this contract.]

[Note 2: The Unburdened Ceiling Daily Rates apply to all labor (the prime contractor, subcontractor, Third Country Nationals (TCNs), Cooperating Country Nationals (CCN’s), and consultant salaries). CCN and TCN labor are also governed by the local compensation plan limitations as further provided in note 3 below.]

[Note 3: Locally Hired National Personnel or Other Non-U.S. Expatriate Rates

All CCN and TCN personnel and other non-U.S. expatriates must be paid in accordance with AIDAR 722.170.

Salaries for individual locally-hired personnel and other non-U.S. expatriates under this contract and any resulting subcontract must be in accordance with AIDAR 752.7007, Personnel Compensation (July 2007), and should be based upon a combination of factors including the prevailing compensation paid to personnel performing comparable work in the cooperating country as determined by USAID and consideration of the individual's education, work experience and rationale for proposed salary based on market value.

Unless otherwise authorized by USAID, the compensation for CCN and TCN labor must not exceed the prevailing compensation paid to personnel performing comparable work in the cooperating country as determined by USAID and must be paid in the currency of the cooperating country.]

[Note 4: The Unburdened Ceiling Daily Rates above do not apply to Fixed-price Task Orders.]

(3) Definition of labor categories:

001 - Finance and Compliance Staff - Includes managers and specialists for financial matters of the task orders, grants under contract, with experience providing or supervising financial and accounting services for U.S. Government funded programs, as well as compliance with regulatory requirements and government policies.

002 - Administrative and Operational Staff - Includes managers and specialists responsible for programmatic, operational, logistics, and administrative support to the task orders.

003 - Subject Matter Expert - General - Includes a technically diverse range of industry and functional specialists who are not otherwise specified in any other labor categories with professional experience in one or more technical fields relevant to the IDIQ and task orders.

004 - Subject Matter Expert - Institutional Development - Includes specialist with professional credentials and experience in the Institutional Development field, including but not limited to:

● Human Resources/Workforce Development Specialist: Includes expertise strengthening in-country systems to build capacity of the workforce in technical and compliance areas.

● Institutional/Organizational Development Specialist: Includes expertise supporting sustainable institutional and or organizational development in the public and private sectors for improved structure, operation procedures and workflow, governance/line of authority, funding, staffing, and transitional planning.

● Training Specialist: Includes experience designing and/or delivering pre-service training, in-service training, and/or continuing education.

● Gender Specialist: Includes experience conducting gender analysis, developing and implementing gender appropriate policies, procedures and systems in different international environments.

● Small and Medium Enterprise (SME) Development Specialist: Includes experience providing support to small and medium enterprises.

005 - Monitoring, Evaluation and Learning Specialist - Includes experience with causal model development, monitoring, assessments, data collection and management, evaluation of interventions using a variety of methodologies and learning in developing countries.

006 - Technical Writer/Editor - Includes professionals with expertise writing and editing technical documents, progress reports, and other program materials.

007 - Consultant - Includes experience providing technical guidance and expertise to project staff that ensures that methods, tools and techniques applied reach the desired outcomes and task outcomes.

008 - System Analyst- Includes experience in providing technical support on the concepts, practices and procedures of logistics, acquisition management, data management, and program control.

009 - Grants Manager - Includes experience in overseeing grants, grantee compliance, reporting grant activities; including maintaining and managing grant agreements and issuing grants solicitations. The Grants Administrator will provide oversight and capacity building support for grants issued under USAID task orders.

010 - Grants Specialist - Includes experience with developing and evaluating grant proposals based on responsiveness, cost realism, regulatory compliance, and risk analysis and mitigation. The grants specialist will also:

● Maintain and manage record of grants agreements; including paper and electronic files, an inventory of all agreements, and a schedule of dates and deadlines relevant to agreements; and

● Provide regular updates to the grants manager on grantee compliance, risks and challenges that may arise and offer solutions accordingly.

Other Labor Categories Other labor categories not listed above may also be required under Task Orders. Utilization of other labor categories under a Task Order is not subject to IDIQ CO approval. However, at any time and throughout the life of the contract, at the request of either the Contractor or the Government, the Contractor may propose additional labor categories, rates and descriptions to be added to the IDIQ contract. These additional labor categories, rates, and descriptions will be negotiated on a case-by-case basis and may only be approved by the IDIQ Contracting Officer.

B.7 (b) Minimum Qualifications

In order to perform the statement of work set forth in Section C, the Contractor must provide personnel that meet the minimum education and experience requirements set forth below. These minimum qualifications for mid-level and senior personnel correspond to the Unburdened Ceiling Daily Rates above.

Education and Experience Requirements

Level Academic

Degree*

Required Minimum Years of

Relevant Work Experience **

Senior Ph.D.

ABD/JD

MS/MA/MBA

BA/BS

Mid Ph.D.

ABD/JD

MS/MA/MBA

BA/BS

Language fluency, relevant regional experience, and international development experience requirements will be specified in individual task orders.

*Highest degree obtained should be related to work being performed.

** Experience should be related to the work being performed.

B.7 (c) Subcontractor Rates.

The following provides guidance for various subcontracting arrangements:

(i) The Prime subcontracts with an approved subcontractor from the original IDIQ competition

The unburdened CDR’s for the prime contract apply to the subcontractor.

(ii) The Prime contracts with a new subcontractor not yet approved

The unburdened CDR’s for the prime contract apply to the new subcontractor.

(iii) Prime subcontracts with a new subcontractor not yet approved and may or may not have a different cost accounting system that only processes fully burdened rates. Further, subcontractor proposes rates that are “above” the prime IDIQ rates.

The Prime may then include in its TO proposal, (i) the fully burdened rate proposed to the Prime by the Subcontractor, (ii) allocation of the Prime’s indirect costs in accordance with established accounting practices, and (iii) a reasonable profit. If the rates proposed to USAID, inclusive of the Prime’s allocable indirect costs and a reasonable profit are above the Prime’s unburdened CDRs, the Prime must disclose the amount of the indirect costs, and the amount of the proposed profit that were added to the Subcontractor’s proposed rates. A reasonable fixed fee will be negotiated by the TOCO for the specific TO. The CDRs of the subcontractor must not exceed the prime’s CDRs in the IDIQ contract.

B.8 INDIRECT RATES

[Indirect rates are only applicable to cost reimbursement task orders.]

Pending establishment of revised provisional or final indirect cost rates, allowable indirect costs must be reimbursed on the basis of the following negotiated provisional or predetermined rates and the appropriate bases for prime contractors and their major subcontractors.

Offeror Fringe Rate

Overhead Rate %

G&A Rate %

PRIME (Insert Name)

Base of Application

Source: (insert)

Period: (insert)

SUBCONTRACTOR(S) (Insert Name(s)

Base of Application

Source: (insert)

Period: (insert)

NOTE: Insert additional indirect rates as needed for all primes. Subcontractor(s) rates will be on file with the Government and available for internal use only.

*Special Note: The indirect cost table above is the current approved indirect cost rates for the prime and major subcontractor(s).

The Contractor will make no change in its established method of classifying or allocating indirect costs that impacts this contract without the prior written approval of the Contracting Officer.

Note: Contractors are allowed to recoup indirect costs (OH, G&A, etc.) as other direct costs if it is part of the contractor’s usual accounting procedures, consistent with FAR Part 31 and the contractor's

NICRA.

[END OF SECTION B]

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 PURPOSE

One of the Bureau for Development, Democracy, and Innovation’s (DDI) four strategic priorities is to provide technical support to Missions and operating units (OUs). Within DDI, the Local, Faith, and Transformative Partnerships (LFT) Hub provides a broad array of technical support to Missions and OUs in their engagement with non-traditional and diverse partners, including local actors, new partners, faith-based organizations, and minority-serving institutions. Through Mission engagement and ongoing partnerships with Washington-based OUs, the New Partnerships Initiative housed within the LFT Hub, identified compliance support and capacity strengthening services as an essential Mission need.

Following a landscape analysis of relevant global mechanisms, and based on learning from the Partnerships Incubator contract, the NPI team developed the Compliance and Capacity Support for Diverse Partnerships (CCSDP) activity. The contract would provide Missions and OUs with services under four categories: support for Mission staff to improve local partnership; monitoring, evaluation and learning; risk mitigation support; and capacity strengthening for local actors.

Fostering increased locally led development is a longstanding area of USAID’s work and a cornerstone of long-term, sustainable development. COVID-19 relief, response, and recovery will accelerate localization efforts that require fiduciary risk mitigation and capacity development. A renewed emphasis on USAID engagement with small, minority owned, US-based businesses, non-governmental organizations, charities, and institutions will require compliance support services tailored to onboarding new partners. The Administrator’s emphasis on partnering locally as part of USAID’s broader localization agenda (including the goal of 25% of USAID funds being awarded directly to local organizations) and the local capacity strengthening policy (Attachment J.2) require a broad but comprehensive approach to delivering compliance and capacity services.

C.2 BACKGROUND

In 2018 and 2019, the DDI/LFT examined the compliance and risk mitigation needs of OUs in order to enhance their ability to partner with new, local, and locally established partners. The Chief Financial Officer’s (CFO) office was consulted on the state of compliance and risk mitigation measures for forming partnerships with local, new, and nontraditional partners. Through the Office of Acquisition and Assistance’s (OAA) listening tours and the NPI Action Plans exercise it demonstrated a strong need for compliance and capacity services across Missions and OUs. This funding was re-emphasized by Missions in their 2021 NPI Action Plans.

C.3 OBJECTIVE

The primary objective of the CCSDP Contract is to ensure that new, nontraditional, local partners and governments have the capabilities and resources to serve as prime partners for USAID programming; along with ensuring that USAID is effectively equipped to reduce the risks associated with local partner implementation. The contract would provide Missions and OUs with the following services: support for Mission staff to improve local partnership; third party monitoring; risk assessment; and capacity strengthening for local actors - ensuring that new and local partners and governments have the capabilities and fiduciary integrity to serve as prime partners.

USAID will support compliance services, technical capacity development, and systems change services offered under this IDIQ by providing an infrastructure for implementation, including: a package of tools to aid performance solution design, implementation, research, evaluation, and success/impact reporting; institutional support to augment Mission OAA and Financial Management (FM) Offices; and by providing ongoing technical support to sponsoring units and their partners. This will include resources and tools developed through past efforts, such as the NPI Partnerships Incubator’s suite of tools, as well as ongoing products developed to support the forthcoming local capacity development policy or based on research conducted by USAID’s Local Works program.

Through Washington, Regional, and Mission-specific task orders, the contract holder will offer services to USAID Missions and Bureaus to support improved performance in host country partner institutions whose goals and objectives are in direct alignment with USAID. On behalf of Missions and OUs, the contract holder will conduct pre-award assessments and develop a sub-award facility that can identify and fund auditors, analysts, and mentors for new partners who can help USAID partners successfully manage awards or directly provide sub-awards to local governments and local partners for capacity strengthening activities.

https://www.usaid.gov/localization https://www.usaid.gov/policy/local-capacity-strengthening https://www.usaid.gov/policy/local-capacity-strengthening

There are a wide range of approaches to supporting USAID partners with what they need to meet USAID’s requirements or achieve development objectives. The focus approaches are: (1) system-level strengthening, where leverage points within a system are identified and the focus is on the collective ability of the system to deliver results; (2) donor compliance focused on organizational ability to effectively manage donor funds and donor programming; and (3) strengthening organizational performance to achieve self-defined priorities (inclusive of government institutions).

Ideally, all three approaches should be used in tandem. A systems-based approach for identifying/validating partners, and the two organization-based approaches to strengthen performance - and, as needed - to address compliance factors if partnering with USAID. Donor compliance is key for safeguarding taxpayer dollars, for partnerships with organizations focused on the delivery of specific outcomes, and for transition to local implementation. Country capacity, long-term self-reliance and independence from foreign assistance may also require approaches that are focused on organizational and/or systemic ability to deliver relevant results, independent of donor priority-setting or funding. The Contractor will be able to address any one or combination of these approaches.

The Contractor will provide customized and organization-determined capacity strengthening support to facilitate sustainability and self-reliance. In addition, the Contractor will supply a suite of capacity strengthening services/tools, compliance and risk-mitigation support, along with systems-based advisory services for USAID Missions and Operating Units (OUs). The four target audiences/partners for these services are:

1. Missions and OUs that are interested in implementing their NPI Action Plans, advancing the strategic objectives of the A&A Strategy, or have issued an NPI solicitation and are seeking services to mitigate risks and support the compliance and reporting capacity of new, local, locally established, and non-traditional partners.

2. New and non-traditional organizations interested in investing in their own performance improvement, who are recognized by USAID as important actors in the local system and/or current USAID partners.

3. Missions and OUs who are interested in systems-driven development, can receive advisory services through which potential local partners who are system leverage points can be identified, or systems-level MEL support when their activities target systems change.

4. Missions and OUs who are seeking to transition the implementation of development activities, projects, and programs to local partners.

The suite of services and partnership approach is balanced between providing compliance services to Missions through basic and technical capacity support, and ensuring that partner organizations and host country governments have the skills necessary to successfully act on their own priorities and drive locally-led and locally-sustained development.

C.4 STATEMENT OF WORK

Compliance by USAID implementing partners with USAID regulations and requirements facilitate effective outcomes, ensures judicious use of taxpayer dollars, and protects the good name and reputation of the Agency. This award furthers USAID’s goal of reducing barriers to entry for new, nontraditional, and local partners by addressing barriers pertaining to the various requirements and regulations governing USAID partnerships. This award seeks to provide potential partners with contractor support to overcome the knowledge, personnel, and system challenges that organizations confront when trying to reach and maintain compliance with USAID requirements.

The Contractor(s) will assist Missions in providing compliance support and longer-term capacity strengthening to enable potential and current partners to meet and maintain organizational standards at levels required of USAID partners. Support measures include four areas of focus:

1. Support for Mission Staff to Improve Local Partnerships

2. Monitoring, Evaluation, and Learning Support

3. Risk Mitigation Support

4. Capacity Strengthening for Local Actors

Recipient organizations include: host country entity partners; potential partners; indigenous Non-government organizations (NGOs), universities, and private sector enterprises with which USAID is either partnering or buying services; host country government institutions; and other organizations that USAID may identify. Other organizations could also include: (i) international implementing partners; (ii) local institutions with strategic value in improving fraud prevention; (iii) host country local accounting and/or auditing firms; or (iv) local Mission staff.

Compliance support and capacity strengthening will help partners attain the level of organizational and managerial readiness to meet USAID partnership requirements, ensure satisfactory provision of relevant goods and services, mitigate risks, and build long-term institutional capacity to independently resolve compliance challenges.

The Contractor(s) shall provide capacity strengthening expertise in any country where a task order is initiated or in multiple countries if the task order is initiated by a Regional Bureau or DC Technical Bureau. The Contractor(s) may be requested to set up an in-country office to provide these services, utilizing local staff and organizations to the maximum extent possible. The Contractor(s) may also be requested to provide services and interventions virtually or without an in-country office. The Contractor(s) may be requested to act as a broker or agent, with the services ultimately delivered through organizations funded via a sub-award facility. The Contractor shall augment its staff with consultants and other experts, partnering with other organizations as necessary, to fulfill the requirements of the task order.

The Contractor(s) must be capable of assisting USAID Missions, Bureaus, and Independent Offices (M/B/IOs) Missions and Operating Units (OUs) in planning and coordinating their overall partner identification, capacity strengthening, feedback, and local accountability efforts.

This includes knowledge stewardship, local partner management, network strengthening, incorporation of local knowledge, and inclusive development. Given the limitations of Mission personnel to coordinate capacity strengthening with new partners, contractors support tasks order could include the following support services to USAID Missions and Operating Units (OUs):

● Advising and Consulting services

○ Perform system analyses, as directed by OU/missions, to identify relevant organizations that are best positioned to contribute to the results and system level changes defined by the OU/mission.

○ Provide technical assistance aimed at fostering an enabling environment at national, local, Task 1 – SUPPORT FOR MISSION STAFF TO IMPROVE LOCAL

PARTNERSHIP

and/or community levels for institutions and organizations that are working with or may partner in future with USAID.

○ Provide ongoing expert consultation services related to the OU’s or Mission’s overall capacity strengthening effort across its portfolio.

● Award implementation support

○ Partner with host country organizations, as well as extended Development Objective (DO) teams, Activity / Project Managers, and other stakeholders across a Mission portfolio, providing assistance in coordinating and supporting stakeholder groups in the implementation of capacity strengthening initiatives.

Requirement 1.1 – Planning and Coordinating System Strengthening through Organizational Performance Improvement Efforts

Identifying Organizations that are leverage points: The Contractor(s) shall support Missions and/or OUs in conducting systems analyses to identify organizations that can be leveraged to achieve results in the country context. These exercises identify local and otherwise underutilized partners USAID can partner with to achieve its strategy.

Partnering with Host Country Organizations: The Contractor(s) shall ensure that host country partner organizations meet selection criteria and have a mandate that is in direct alignment with USAID development objectives. The Contractor(s) shall work closely with the TOCORs to gauge potential host country partner organizations’ interest in, and suitability for, the various capacity strengthening approaches.

Partnering with Extended Development Objective Teams and Stakeholders: The Contractor(s) may be tasked with coordinating the establishment of stakeholder groups that include a diverse collection of individuals and organizations that play an important role in the functioning of organizations targeted through capacity strengthening initiatives.

The Contractor(s) must be capable of successfully partnering with all extended DO teams, Activity / Project Managers, and stakeholders across a Mission portfolio while providing assistance in coordinating and supporting stakeholder groups in the implementation of capacity strengthening initiatives. The Contractor(s) may be tasked with coordinating subsequent activities and monitoring satisfactory completion of all facets of stakeholder agreements and overall capacity strengthening initiatives.

In addition, when an institutional performance assessment includes recommended performance solutions that would be implemented by implementers of other USAID activities, or any other technical assistance implementers available to the sponsoring unit, the Contractor(s) shall provide coordination allowing for the integration of these solutions and their results into the overall initiative.

Requirement 1.2 – Advising USAID Staff on Award Implementation Support for New Partners

Where appropriate, the Contractor(s) may be called upon by Missions through specific task orders, to provide various support to advance their ability to effectively manage, monitor, and support new local prime organizations in implementing their awards. This could be in the form of skills building of foreign service national (FSN) staff in the rules and regulations that govern prime and sub recipients, or it may include, in concert with OAA/W, delivering training and mentoring services to AO/COs to evaluate and negotiated indirect cost rates agreements (NICRA) with local organizations that are receiving multiple streams of USAID funding or multi-million dollar awards.

Supporting Mission staff to learn and understand adult learning principles and supporting their ability to effectively train, mentor, and develop capacity in local primes may also be an area for growth to ensure the sustainability of local capacity development efforts.

The Contractor(s) must be capable of assisting Missions or Bureaus in fulfilling their Monitoring, Evaluation, and Learning (MEL) responsibilities and needs. MEL is an essential aspect of activity management that allows USAID to track progress in achieving outputs and outcomes and understanding the impact of the Agency’s investments. The Contractor will support USAID’s staff in collecting information that advances its learning needs and working with implementing partners to adapt activity implementation and/or strengthen the implementing partner’s MEL systems.

Services supporting USAID program oversight will primarily include monitoring (including third party monitoring), evaluation and support for quality assurance. Service supporting data quality will review and verify data for quality and support recommended quality improvement efforts through USAID-guided and well targeted activities aimed at enhancing performance that are in compliance with Agency data management practices defined by the Agency Data Services Team. The Contractor(s) will regularly review and adapt to project progress and challenges, while utilizing a knowledge management methodology that facilitates continuous learning and adapting.

Specifically ADS 201 states that, “for each activity, Missions and Washington Operating Units (OU) must…perform site visits to provide activity oversight, inspect implementation progress and deliverables, verify monitoring data, and learn from activity implementation…” (ADS 201.3.4.10).

Result 2 includes contracting a third party to conduct the site visits to monitor programs, performance and finance/compliance-related matters. This may be either comprehensive third-party monitoring (TPM) programs, Site Improvement through Monitoring Systems visits (SIMS) or other types of monitoring. TPM can track the progress (or lack thereof) of USAID-supported activities, signal implementation problems in a timely manner, and inform USAID decision-making. TPM assignments will be tailored to an activity’s needs and can range from traditional verification exercises to data collection for Accountability and Feedback Plans (an NPI standard practice) or even Developmental Evaluations. Assignments will employ necessary data collection methods such as observation, verification, interviews, and surveys.

USAID expectations with regard to Contractor(s) performance include the following:

● Contractor(s) will be able to provide staff with the language skills and geographic proximity necessary to perform the contracted activity.

● The Contractor(s) will be positioned to provide qualified staff in all regions of the country in time frames called for in individual Task Orders.

● TPM tools will be tailored specifically for the sector in which the activity occurs. The Contractor’s TPM and analysis systems will have the capacity to disaggregate data by gender, age, economic status, and other factors as and when required.

● Contractor(s) may develop relationships and collaborate with host country universities and research institutions to improve the quality and contextual relevance of its work and to increase USAID access to capable, cost-effective local expertise in the future.

● The Contractor(s) and its staff will have the human, hardware, and software capacity for electronic data collection in order to better ensure the transparency of data collection; to create the ability to collect new types of data (GIS, media, including photographs, video, and audio); and to increase the quality and efficiency of: (i) transferring collected data back

Task 2 – Monitoring Evaluation and Learning to a central manager for data analysis; (ii) identifying data anomalies; and (iii) aggregating and sorting data from multiple partners and projects.

Requirement 2.1 - Continuously reflect USAID’s commitment to collaboration, learning, and adapting throughout performance.

The Contractor’s commitment to “collaborating, learning, and adapting” will be demonstrated in its deliberate and reported efforts to ensure that it is:

1. Collaborating with the local Mission to understand the questions most important to its decision-making;

2. Learning by efficiently collecting data, balancing sufficient rigor against cost and time; and

3. Adapting by developing recommendations for programmatic changes or further research based on findings and tracking the implementation of these recommendations.

4. For the agency level, the Contractors will also be expected to report on overall findings regarding barriers to entry for NUPs and how to overcome them based on its cumulative experience.

Requirement 2.2 - Ensure effective management of each unique TO with respect to the type and scope of monitoring or evaluation services required.

The Contractor(s) will be expected to provide the following services which USAID will selectively access under individual task orders. Each task order will provide specific and sufficient instructions of the required services and deliverables to enhance management transparency and effectiveness:

● Review: Understand the existing environment, systems, and processes.

● Validate: Validate records in accordance with the terms and conditions of the contract, grant, or implementation letter.

● Reconcile: Account for differences and discrepancies due to damage or loss.

● Feedback: Collect perspectives on activity context, implementation, and results from a variety of stakeholders such as direct/ indirect constituents, subcontractors, local leaders, etc.

● Recommend: Recommend specific processes and procedures to address findings.

USAID has an obligation to U.S. taxpayers to understand the strengths and weaknesses of local partners and foreign governments so that risks can be addressed. This includes fiduciary, operational, and programmatic risk as defined in USAID’s Risk Appetite Statement (Attachment J.1). In order to reduce the risk to U.S. taxpayers in supporting local partners, the Contractor(s) will work with client organizations to collaboratively develop mitigation strategies and implement compliance assurance protocols to meet USAID’s rigorous partner standards.

The Contractor(s) will assist in:

● Conducting internal control, financial management, risk and capacity assessments to identify and develop plans for addressing the risks associated with channeling USAID resources through local systems.

● Conducting financial, close out, and/or forensic audits.

● Developing capacity of implementing partners (IPs), potential local IPs, host country government and internal USAID staff to strengthen organizational management competencies necessary to identify and address risks.

TASK 3 – Risk Management https://www.usaid.gov/ads/policy/500/596mad

USAID expectations with regard to the Contractor(s) performance include the following:

● The Contractor(s) will adhere to guidance provided in USAID’s Automated Directive System (ADS) chapters referenced below and to standards set in Contract Task Orders.

● The Contractor(s) will provide staff that are certified and adhere to accounting and auditing standards that are generally accepted in the United States of America.

● Risk assessments, pre-award assessments, and other examinations of host country partner or indigenous NGO systems will be undertaken in partnership with the organization being examined.

● Risk assessments that evaluate programmatic risk, such as capacity assessments, must be conducted in partnership with the organization being assessed and needs and priorities should be identified through a collaborative process that allows for local priority setting.

Requirement 3.1 - Reflect USAID’s commitment to collaboration, learning, and adapting in the context of risk management.

The Contractor’s commitment to collaboration will be demonstrated by:

1. Its ability to collegially solicit input and participation from USAID IPs and potential IPs, when such input and/or participation is required;

2. Its performance in ensuring that USAID risk management interventions are effectively coordinated with (and when requested by the Mission, harmonized with) interventions conducted by other donors that share USAID’s objectives.

“Learning and adapting” will be demonstrated in deliberate and reported efforts to ensure that USAID and the Contractor(s) is continuously learning from ongoing work on the ground as well as elsewhere in the world and applying learning to improving practices and methodologies.

Requirement 3.2 - Conducting Risk Related Assessments, Surveys, and Audits

The Contractor(s) will be expected to provide the following services that the Mission will selectively access under individual Task Orders. Each Task Order will provide specific and sufficient instructions of the services required and indicate the required deliverables:

● Partner Government Risk Assessment: USAID’s Partner Government Risk Assessment (PGRA) guides the process of risk assessment of host country entities (Reference Section J.1)

● PGRA Follow-Up - Risk Mitigation Plan and Capacity Development Plan: The Contractor(s) will be expected to provide services in post-PGRA follow-up activities, including, but not limited to services related to incorporating the results of the risk assessment risk mitigation plan into project and activity designs, providing input into Implementation Letters between USAID/Mission and the host country, and making recommendations for the design of capacity strengthening efforts.

● Pre-Award Surveys and Assessments: As a matter of policy for grants and cooperative agreements (see ADS Chapter 303, “Grants and Cooperative Agreements to NGOs) and a good practice for contracts, USAID determines that grant, cooperative agreement, and contract recipients possess the management and competencies to plan and carry out the activity funded prior to making an award. For organizations that have not yet established a track record of performance in implementing USAID-funded activities, a pre-award survey of relevant competencies is undertaken. The Contractor(s) will be expected to provide pre-award survey and assessment services that conform to the requirements of ADS 303.

● Other Financial Risk Assessments: Beyond pre-award surveys and risk assessments, the Contractor will support Missions in conducting financial, procurement, human resources, logistics, and fraud risk assessments and other reviews of the systems of organizations that receive ongoing support from USAID, either in the form of grants, cooperative agreements, contracts or Implementation Letters with Host Country entities.

● Audits: The Contractor(s) will be expected to provide the audit services described below:

o Financial Audits: Financial audits are conducted during activity implementation or close-out to assess whether a contractor, grantee, or Host Country entity has accounted for and used USAID funds as intended and in compliance with the provisions governing the award. Financial audits will be conducted in conformance with ADS Chapter 591, “Financial Audits of USAID Contractors, Recipients and Host Government Entities.”

o Forensic Audits: Forensic audits are a deep dive into financial and other operations, conducted to examine a specific issue or concern. USAID requires support in reviewing financial data to identify inaccuracies, tracing discrepancies in electronic and paper trails, preparing oral and written reports that meet legal standards for prosecution, and…