ANNEX 6 - PHASE 2 MANDATORY & AS APPLICABLE for FY20 RFA (12.4.2019).pdf

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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 2017 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 2017 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) 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 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”.

● 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 M7 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 Applicants must submit an Environmental Capability Statement that is no more than 2 pages long. See Annex 5 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 XII.

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B. MANDATORY AS APPLICABLE ATTACHMENTS:

The following attachments are required for applicants, as applicable:

● MA1 - Conceptual/Architectural-Engineering (A/E) Design (“1 of 3,” ‘2 of 3,” etc., as necessary)

For all projects that include construction or renovation, provide a conceptual architectural and engineering design and/or detailed design of the proposed project if available. These drawings should at least be 30% conceptual design drawings, which generally include architectural (layout of all facility infrastructure), mechanical, electrical, and structural drawings as applicable. These drawings should be submitted using as few attachments as possible. The file name of each attachment related to this requirement should begin with “MA1 - 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 - Construction Drawings 1 of 3”, “MA1 - Construction Drawings 2 of 3,” and “MA1 - Construction Drawings 3 of 3.” The required conceptual construction drawings and additional optional construction drawings should utilize the same file-naming convention. 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. Provide Global Positioning Systems (GPS) coordinates. Additionally, provide a succinct narrative summary (no more than five lines) of the specific renovation/construction that ASHA would fund.

● MA2 - Project Implementation Plan

Applicants must submit a project Implementation Plan for any applications that include construction or renovation projects. This information must be submitted as a separate attachment named “MA2 - Project Implementation Plan.” Provide a timeline for project completion which includes milestones such as ASHA approvals, Soil Foundation report, 30% design, obtaining the local permits, final design, the duration of the construction phase, tender documents and bidding, construction and the project completion date. The implementation plan should extend at least until the facilities supported by ASHA begin to serve intended beneficiaries. Applicants submitting an application involving construction or renovations projects that fail to include a separate attachment for the project Implementation Plan will be deemed ineligible.

● MA3 – Land Ownership or Lease

Applicants must submit proof of land ownership or a lease for applications that include construction or renovation. 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

- 4 -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.