final asha aps posted october 15 2012.pdf

SUBJECT: USAID/DCHA/ASHA Annual Program Statement (APS) No. APS-ASHA-13- 000001 for FY 2013 American Schools and Hospitals Abroad (ASHA) Program Worldwide

ISSUANCE DATE: October 15, 2012

The United States Agency for International Development (USAID), Office of American Schools and Hospitals Abroad (ASHA), is accepting funding applications from U.S. Organizations that assist schools, libraries and medical centers outside the United States to serve as study and demonstration centers for American ideas and practices.

Pont of Contact: Ms. Kerrin Goodspeed, kgoodspeed@usaid.gov; (202) 712-0510.

A. AUTHORITY AND INTRODUCTION

Pursuant to the Foreign Assistance Act (FAA) of 1961, as amended, the United States Government (USG), as represented by the U.S. Agency for International Development (USAID), Bureau for Democracy, Conflict, and Humanitarian Assistance (DCHA), Office for American Schools and Hospitals Abroad (ASHA), is seeking to support or stimulate activities from any U.S. non-profit nongovernmental organization (NGO) to implement activities as described in this Annual Program Statement (APS).

As described in Section 214 of the Foreign Assistance Act of 1961, as amended, financial assistance is made available to schools and libraries outside the United States founded or sponsored by United States citizens and serving as study and demonstration centers for ideals and practices of the United States, and to hospital centers for medical education and research outside the United States, founded or sponsored by United States citizens. Grants and cooperative agreements made under this program help such institutions demonstrate to people overseas the achievements, innovation, and ingenuity of the United States in education and medicine. Within the context of the USG’s foreign assistance program, the objectives of the ASHA program are to strengthen overseas educational and hospital centers that best demonstrate American ideals and practices, and are likely to survive over a long term.

The purpose of this APS is to disseminate information to enable prospective applicants to decide whether or not to seek ASHA funding in support of the subject program and, if so, to assist them in developing and submitting applications. USAID assumes no liability for reimbursing potential applicants for any costs they incur in the preparation and submission of applications. USAID anticipates awarding multiple grants/cooperative agreements as a result of this APS. This APS:

(1) provides relevant background information; (2) describes the program aim, results, and types of activities for which applications will be considered; (3) describes the level of funding available and the process and requirements for submitting applications; (4) explains the criteria for eligibility and evaluating and selecting applications; and (5) refers prospective applicants to related documentation available on the Internet.

22 CFR 226, OMB Circulars, the USAID Standard Provisions for U.S. Nongovernmental Recipients, and USAID Contract Information Bulletins (CIBs) and Acquisition and Assistance Policy Directives (AAPDs) will be applicable to the resulting grant/cooperative agreement awarded to a U.S. organization.

As of November 1, 2005, the preferred method of distribution of USAID APSs and submission and receipt of applications is electronically via http://www.grants.gov (“Grants.gov”).

Grants.gov provides a single source for USG-wide competitive grant opportunities. This APS and any future amendments or additions can be downloaded from that website. In order to use this method, an applicant must first register on-line with Grants.gov. If the applicant has difficulty registering or accessing the APS or related documents, the applicant should contact the Grants.gov Helpdesk at 1-800-518-4726 or via e-mail at support@grants.gov for technical assistance. It is the responsibility of the applicant to ensure that the application in its entirety has been properly submitted and received by Grants.gov, and USAID bears no responsibility for data errors resulting from transmission or conversion processes. It is important that interested organizations sign-up for e-mail updates with Grants.gov so that as changes are posted to this and other USG (including USAID) solicitations, alerts will be received.

In order to apply for a grant, your organization must complete the Grants.gov registration process. The registration process can take between three to five business days or as long as four weeks if all steps are not completed in a timely manner. Please visit http://www.grants.gov/applicants/organization_registration.jsp for the steps required to register, which include obtaining a DUNS Number and registering with the System for Award Management (SAM). SAM combines eight federal procurement systems and the Catalog of Federal Domestic Assistance into one new system. Beginning July 30, 2012, the Central Contractor Registration (CCR) system migrated into SAM. All applicants are encouraged to verify their registration in SAM.

B. SPECIFIC PROGRAMMATIC GUIDANCE

B.1. Background

For over fifty years, the USAID’s ASHA program has provided support to undergraduate and graduate academic institutions, high schools, libraries, and hospital centers that celebrate and champion American ideals, values, and principles, in over 70 countries around the world. It is estimated that over one million people benefit directly from educational, health training, research, and other services annually at ASHA-assisted institutions.

The ASHA program truly represents the pioneering spirit and the generosity of the United States and is the product of an evolutionary process that dates back to the 1800s, when U.S.

missionaries established overseas schools as a major component of their efforts. The generosity of the United States continued through the inception of the ASHA program under the Mutual Security Act of 1957, and later through the Foreign Assistance Act of 1961, as amended. For more than a century, Americans have been expanding educational and medical opportunities to countries around the world by creating institutions that incorporate our highest educational and medical standards.

The networks of American educational and medical institutions supported around the world offer and help expand opportunities to those who are unable to access quality education and services in areas of the world where often very little exists. More importantly, they create a foundation for training future leaders in a wide variety of disciplines – while providing an understanding of American economic, scientific, and social practices and institutions. The ASHA-supported institutions make a vital contribution to U.S. foreign policy by nurturing democracy and tolerance. These institutions educate successive generations of global citizens, a significant number of whom continue to leadership positions in their home countries, who understand and support American values, and who also understand the tangible economic, political, and social benefits that a commitment to democracy and critical thinking produce.

B.2. Program Scope and Objective(s)

USAID is inviting applications from U.S. organizations (USOs) that sponsor overseas institutions (OSIs) engaged in the following activities: (1) providing foreign nationals the benefits of American ideals and practices in education and medicine; and (2) serving as effective demonstration and study centers that foster interchange, mutual understanding, and favorable relations with the United States. For the purpose of this APS, USAID is soliciting applications outlining how the applicant proposes to further the mission of creating or enhancing educational and medical demonstration centers, study centers, or research facilities to showcase American values, principles, innovation, and ingenuity.

Specifically, USAID is looking to support OSIs that are founded and/or sponsored by U.S.

organizations such as: (1) secondary schools that provide academic and vocational training; (2) undergraduate institutions with programs in liberal arts, medicine, nursing, agriculture, and the sciences; (3) graduate institutions that provide specialized training and research opportunities to future national and international leaders in health sciences, physical sciences, and other professional areas; (4) libraries and centers of excellence that provide open access to information and encourage its use in decision-making; and (5) hospital centers that prepare leaders in the profession, influence standards, and provide facility- and community-based health care, medical training, and research.

ASHA funds will primarily be used for: (a) the procurement of commodities (equipment, furnishings, and other non-expendable items) and/or (b) capital improvements. Capital improvement activities are broadly expressed as the construction of a permanent structure or structural improvement or the renovation/rehabilitation of existing facilities. Procurement of commodities may include such items as library materials, specialized medical and research technology, and education equipment and furnishings. USAID will not fund the costs of the USO. Applicants (USOs) are expected to fund direct operational costs and indirect costs from other sources and must demonstrate that they have the capacity to continue to support their planned project without further USAID support. USAID will fund program support costs of OSIs, but this is primarily limited to the cost of required audits

USAID is seeking applications supporting organizations worldwide. USAID is not obligated to provide funding for activities in each or any country. USAID will base funding decisions on the Evaluation Criteria described in Section H of this APS. Applicants (USOs) may submit more than one application per year, but each application should be for a different overseas institution and/or country, and must be a separate stand-alone submission.

B.3. Program Duration

The program duration is up to four (4) years from the date of award. USAID plans to fund approved activities and make awards in FY2013.

B.4. Anticipated Funding Availability

The ceiling for any individual award is $2,000,000, although final funding levels will depend on the content, quality of the applications, the number of applications received, needs, and availability of funding. USAID reserves the right to fund any or none of the applications submitted.

B.5. Anticipated Number of Awards

Each year, USAID awards approximately 30 ASHA grants, subject to the availability of funds.

This year, USAID plans to make multiple ASHA awards. Nevertheless, USAID reserves the right to make a single award, to fund parts of applications, or to not make any awards at all.

Issuance of this APS does not constitute an award commitment on the part of the U.S.

Government, nor does it commit the U.S. Government to pay for any costs incurred in the preparation and submission of any application.

B.6. Types of Award(s)/Substantial Involvement

USAID anticipates that a grant(s) or cooperative agreement(s) will be awarded as a result of this APS, where USAID will determine the type of award on a case by case basis. Depending on the application(s) that is/are received and selected, USAID may decide to be substantially involved in the implementation of the project, and therefore award a cooperative agreement(s) instead of a grant(s). Cooperative agreements will include additional language describing USAID’s substantial involvement, consistent with the provisions of USAID’s Automated Directives System (ADS) 303.3.11. The applicant will operate in accordance with the terms and conditions of the grant or cooperative agreement.

C. ELIGIBILITY

ASHA assistance is made available through USOs for OSIs. These OSIs must be either founded or sponsored by a USO that holds a 501(c)(3) status. Grants or cooperative agreements made under the ASHA program help support such institutions that demonstrate to people overseas the achievements of the United States in education, medicine, and technology. USAID encourages applications from all eligible partners, previous, current and new.

C.1. Required Characteristics of Applicants (USOs)

The applicant must be a non-profit USO, which either founded or sponsors the overseas institution for which assistance is sought. The applicant, for example, can be a nonprofit university or tax-exempt organization under Section 501(c)(3) of the Internal Revenue Code of 1954, as amended. The USO is ineligible if it is included on the USG’s Excluded Parties List System (https://www.epls.gov/).

The applicant must demonstrate a strong, continuing (no less than 2 years), and supportive relationship with the OSI with respect to the two organizations’ overall relationship and purpose and with regard to both historical and future planned support by the USO for the OSI. The applicant must identify the amount of person hours and type of expertise used to support the OSI.

C.2. Required Characteristics of OSIs

(a) The overseas institution must be located outside the U.S. and should not be under the control or management of a government or any of its agencies (i.e., a majority of the members of the governing body are government employees/appointees or the recipient government owns a majority interest). The receipt of financial or other assistance from a government or government agency or the observance of national educational or medical standards required by the country where the institution is located does not necessarily mean that the institution is “under the control or management” of such government. The applicant is not eligible if its sponsored OSI is included on the USG’s Excluded Parties List System (https://www.epls.gov/).

(b) The institution must be open to all persons regardless of race, religion, sex, color, or national origin. (This shall not be construed to require enrollment of students of both sexes at educational institutions enrolling males or females only.)

(c) Organizations that receive direct financial assistance from USAID may not engage in inherently religious activities, such as worship, religious instruction, or proselytization, as part of the programs or services directly funded with direct financial assistance from USAID. If an organization conducts such activities, the activities must be offered separately, in time or location, from the programs or services funded with direct financial assistance from USAID, and participation must be voluntary for beneficiaries of the programs or services funded with such assistance. USAID funds may not be used for the acquisition, construction, or rehabilitation of structures to the extent that those structures are used for inherently religious activities. USAID funds may be used for the acquisition, construction, or rehabilitation of structures only to the extent that those structures are used for conducting eligible activities. Where a structure is used for both eligible and inherently religious activities, USAID funds may not exceed the cost of those portions of the acquisition, construction, or rehabilitation that are attributable to eligible activities in accordance with the cost accounting requirements applicable to USAID funds.

Sanctuaries, chapels, or other rooms that a USAID-funded religious congregation uses as its principal place of worship, however, are ineligible for USAID-funded improvements.

In addition, Federal funds may not be used to purchase religious materials such as the Bible, Torah, Koran, or other religious or scriptural materials.

(d) For schools, the instruction program must serve the secondary or higher level and must reflect American educational ideals and practices. (Education at the elementary/primary level will not be supported. Elementary/primary level is defined as 1st-6th grade.) A school offering a broad academic program must include instruction on at least one of the following subjects, U.S. History, U.S. Geography, U.S. Political Science, U.S. Culture, or U.S. Economics. English must be used in instruction or taught as a second language.

(e) The majority of users of any institution, e.g., students or patients, must be citizens of other countries other than the United States.

(f) A medical center, in addition to being a treatment facility, must be involved in medical education and/or research.

(g) The land, for construction or renovation activities, must be either a) owned by the USO and/or OSI or b) the USO or OSI must have legal evidence of a long-term lease where the current end-date is at least 20 years from the start of the project.

D. SELECTION PROCESS AND SCHEDULE

D.1. Selection Process

Applications will undergo a preliminary review by USAID to ensure that the applicant meets the eligibility criteria set forth in Section C above, and that applications are complete. Applications that are determined to not meet the eligibility criteria or not be complete will not be considered in the subsequent technical evaluation process. Proposals submitted 60 days prior to the APS closing date that have not adequately addressed the eligibility criteria will receive prompt notification identifying which eligibility requirements are missing or not met. This should allow time for the applicant to resubmit prior to the closing date.

Applications that meet the above eligibility criteria and are complete will be reviewed by the USAID technical evaluation committee.

Applications will be evaluated in accordance with the criteria set forth in Section H. After evaluation of the applications, each applicant will be notified as to the outcome by means of USAID’s awarding a grant or issuing a rejection letter. If deemed necessary or desirable by USAID, written and/or verbal discussions/negotiations may be conducted with applicants that submit the most highly rated applications, after which USAID will make award decisions and notify applicants accordingly, Award(s) will be made to those organization(s) whose application(s) offer the best value to USAID.

D.2. Schedule

This APS is open for six months from the date of issuance. Applications must be received no later than 5:00 p.m. Eastern Time (ET) on April 15, 2013. Initial review of applications will be against the eligibility requirements (please refer to D.1).

Applications must be submitted through www.grants.gov. An applicant must first register on-line with www.grants.gov, and should allow sufficient time to do so. If the applicant has difficulty registering, the applicant should contact the www.grants.gov Help Desk at 1-800-518- 4726 or via e-mail at support@grants.gov for technical assistance.

E. APPLICANT RESPONSIBILITY

In order for an award to be made, the Agreement Officer must make an affirmative determination that the applicant is “responsible,” as discussed in ADS 303.3.9. This means that the applicant must possess, or have the ability to obtain, the necessary management and technical competence to conduct the proposed program, and must agree to practice mutually agreed-upon methods of accountability for funds and other assets provided or funded by USAID.

In the absence of an affirmative “responsibility” determination, an award can ordinarily not be made. For awards to potential new partners, USAID must undertake formal pre-award surveys as described in ADS 303.3.9.1.a to determine their “responsibility.” These organizations should take this into account and plan their implementation dates and activities accordingly.

F. AWARD ADMINISTRATION AND RELEVANT WEBSITES FOR REFERENCE

Prime awards to USOs resulting from this APS will be administered in accordance with the following:

22 CFR 226 which is available at: http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title22/22cfr226_main_02.tpl

Chapter 303 of ADS 303, which is available at http://www.usaid.gov/policy/ads/300/303.pdf.

USAID Standard Provisions for U.S. Nongovernmental Organizations, which are available at: http://transition.usaid.gov/policy/ads/300/303maa.pdf

USAID Business Regulations and Policy, which is available at:

http://transition.usaid.gov/business/regulations/

2 CFR 220 Cost Principles for Educational Institutions (formerly OMB Circular A-21), which is available at http://www.whitehouse.gov/omb/grants_circulars/.

2 CFR 230 Cost Principles for Non-Profit Organizations which is available at http://www.whitehouse.gov/omb/grants_circulars/ (formerly OMB Circular A-122).

OMB Circular A-133 for both universities and non-profit organizations, which is available at http://www.whitehouse.gov/omb/grants_circulars/.

22 CFR 216 USAID Environmental Compliance Procedures, which is available at http://transition.usaid.gov/our_work/environment/compliance/22cfr216.htm

G. APPLICATION INSTRUCTIONS

G.1. General

All applicants must have a DUNS number and must be registered in the System for Award Management (SAM). USAID/ASHA cannot fund organizations that do not comply. A DUNS number may be obtained at http://fedgov.dnb.com/webform, and is required for registration in SAM. SAM registration may be done on-line at www.SAM.gov.

Unnecessarily elaborate brochures or other presentations beyond those sufficient to present a complete and effective response to this APS are not desired and may be construed as an indication of the applicant's lack of cost consciousness. Elaborate art work, expensive paper and bindings, and expensive visual and other presentation aids are neither necessary nor wanted.

The penalty for making false statements to the U.S. Government is prescribed in 18 U.S.C. 1001.

The successful application and/or revised application/addendum will become the Program Description of the grants(s) or cooperative agreement(s) awarded as a result of this APS.

Pursuant to the Freedom of Information Act of 1981, the public is entitled to request information from Agency award files.

Upon award of the grant(s) or cooperative agreement(s) resulting from this APS, USAID will disclose, use, or duplicate any information submitted in response to this APS to the extent provided in the award and as required by the Freedom of Information Act.

(a) Limited Use of Data Statement An application may include data that the Applicant does not want disclosed for any purpose other than evaluation. USAID’s determination to withhold or disclose a record will be based upon the particular circumstances involving the record in question and whether the record may be exempted from disclosure under the Freedom of Information Act. If the applicant wishes to restrict the data in the application, the title page must be marked with the following legend:

“USE AND DISCLOSURE OF DATA

Unless the disclosure is required by the Freedom of Information Act, 5 U.S.C.

552, as amended, (the Act) as determined by Freedom of Information (FOI) officials of the U.S. Agency for International Development, data contained in the portions of this application which have been specifically identified by page number, paragraph, etc. by the Applicant as containing restricted information shall not be used or disclosed except for evaluation purposes.

The Applicant acknowledges that the Agency may not be able to withhold a record (data, document, etc.) nor deny access to a record requested pursuant to the Act and that the Agency’s FOI officials must make that determination. The Applicant hereby agrees that the Government is not liable for disclosure if the Agency has determined that disclosure is required by the Act.

If a grant/cooperative agreement is awarded to the Applicant as a result of, or in connection with the submission of this application, the Government shall have the right to use or disclose the data to the extent provided in the agreement.

Applications not resulting in an award remain subject to the Act.

The applicant also agrees that the Government is not liable for disclosure or use of unmarked data and may use or disclose the data for purpose, including the release of the information pursuant to requests under the Act.

The data subject to this restriction are contained in pages ______ (insert page numbers, paragraph designation, etc. or other identification).”

In addition, the applicant should mark each page of data it wishes to restrict with the following statement:

“Use or disclosure of data contained on this page is subject to the restriction on the cover sheet of this application.”

Applicants must clearly identify the person authorized as the official point of contact, the legal mailing and street addresses, phone and fax numbers and e-mail address.

The application should be submitted in five sections; section 1 should address the eligibility requirements, section 2 should address the technical merit criteria, section 3 should address cost, section 4 should address past performance, and section 5 should address branding and marking, as discussed in more detail below.

G.2. Application Guidelines

The application must be in English, single spaced, with each page numbered consecutively. The application must be in MS Word, and must use Times New Roman font in 10-point or larger size.

Attachments should be in searchable PDF documents. Budget and financial documents (including audits) must be in English and U.S. dollars. The application may not exceed 25 pages, excluding attachments, annexes, appendices, and the like. Attachments, appendices, and annexes are limited to 100 pages. Total application with attachments, appendices, and annexes is 125 pages. All such attachments, appendices, and annexes must be in English or, if the originals are in another language, must be translated into English (only the English translated copy will count towards the page limit, even though the original document in the original language is attached).

The following types of documents are exempt from the page limits: audits, construction drawings, SF-330, SF-424 series, translated documents in their native language, the resume(s) of the principal officer (s) of the application, and the Articles of Incorporation for the USO and OSI.

These requirements are not intended to prohibit or discourage applicants from submitting technical data in addition to the information described below; however, information which exceeds the page limitation will not be furnished to the USAID technical evaluation committee.

The application will be the critical item of consideration in selection of an applicant for an award.

The information provided in the application must be specific, complete, and presented concisely.

The application must demonstrate that the applicant meets all eligibility requirements, must adequately describe the proposed project and how it contributes to achieving the goals of the ASHA program, and must demonstrate the applicant’s (USO’s) and the OSI’s capabilities and expertise with respect to successfully implementing, managing, and monitoring the proposed project. The evaluation criteria weightings below indicate their relative order of importance, so that applicants will know which areas require emphasis in the preparation of the application.

Applicants are advised that lack of completeness or superficiality of the application may constitute grounds for excluding it from consideration.

The application must set forth in detail the applicant’s conceptual approach, methodology, procedures, and techniques for the management, implementation, and monitoring of the proposed project. It must have a definitive strategy and plan for the management, implementation, and monitoring of the program. The application must define the technical resources, capabilities, and expertise of the applicant’s organization and other institution(s) involved, and of the professional personnel proposed. The information presenting the capabilities of the applicant’s organization and of the individuals to be assigned should spell-out clearly the pertinent work experience and accomplishments in developing and conducting activities of the type being proposed, as well as the specialized skills, professional competence, academic training, and relevant achievements of the personnel. It is important that the application furnish verifiable, objective supporting evidence of successful program management, implementation, and monitoring.

The application must include the following:

(a) Application for Federal Assistance

The application must include the applicable forms from the Standard Form 424 (SF-424) series, which includes (not included as part of the 125 page limit):

(1) SF-424 Application for Federal Assistance

(2) SF-424A Budget Information- Non construction Programs

(3) SF-424B Assurances for Non-construction Programs

(4) SF-424C Budget Information for Construction Programs

(5) SF-424D Assurances for Construction Programs

These forms are found on www.grants.gov.

(b) Detailed Budget

The application must provide a detailed line item project budget, including complete cost breakdowns in sufficient detail to permit cost analysis. The detailed project budget must set forth the basis for all project costs, including those which are proposed to be funded by ASHA under the award resulting from this APS, those to be funded by non-USG matching contributions (cash or in-kind) to be provided by the USO, OSI, and third parties, and those to be funded by any other USG contributions under arrangements other than award resulting from this APS. The budget shall contain a separate column for each source of funds/contributions. It shall include whatever supporting schedules and narrative budget explanations as may be necessary to adequately support and/or explain proposed costs. It is recognized that it may be difficult for the applicant to project actual needs and costs. Accordingly, estimates, based on assumptions, are acceptable. However, the applicant must indicate the basis of the estimate, and/or the assumptions on which the estimate is based. This information is required in order to permit USAID to determine whether estimated costs are fair and reasonable, necessary, allowable, allocable, and realistic, which, in turn, are a prerequisite for making an award. Please note that 22 CFR 226.25 provides a great deal of flexibility to the Recipient to make budget adjustments during the award period without the need to obtain prior approval from the USAID Agreement Officer. The budget information must be submitted in English and in US dollars.

(c) Waivers from or Approvals under USAID Procurement Requirements

If the applicant foresees the need for waivers from, or approvals required under, USAID’s source and supplier nationality requirements (see Section I of this APS), the application should describe which goods and services need approval/waivers, and provide an explanation and justification for the same.

(d) Eligibility Information

The applicant must provide sufficient documentation to demonstrate that it meets all eligibility requirements listed in Section C, including a narrative and/or charts explaining and documenting in detail how it meets each criterion.

With respect to the required characteristics of the USO, the application must include at a minimum:

(1) a description of the legal relationship between the USO and the OSI, including whether the USO and OSI are part of the same entity;

(2) a brief summary of the USO’s purpose and how the sponsorship of the OSI promotes that purpose;

(3) a detailed description of any historical support provided by the USO to the sponsored OSI. This should include financial, policy, curriculum development, management, oversight, and any other program or technical support provided by the USO. If historical support includes USAID sources, the application must specify what portion of historical support is from USAID sources; and

(4) a brief summary of how the applicant (USO) intends to continue providing support, including planned support from other than USAID sources.

As part of its eligibility documentation, the applicant must also include copies of the articles or certificate of incorporation, charter, articles of organization or association of both the USO and the OSI, and, for construction and renovation projects, a copy of the title to the land or the land-lease.

H. EVALUATION CRITERIA

Applications will be reviewed by USAID/ASHA in accordance with the following evaluation criteria. Other USAID staff, USG agencies, and consultants may also be invited to review applications on a case-by-case basis. The evaluation criteria and their respective weights (out of a total of 100 points) are:

EVALUATION CRITERIA Max Points

1 TECHNICAL MERIT 75

1.1 USO Management and Financial Capacity 10

1.2 OSI Description 5

1.2.1 OSI’s Impact and Influence

1.2.2 OSI Management and Financial Capacity

1.3 Project Description 45

1.3.1 Quality and Completeness of Project Design/Description

1.3.2 Need, Benefit, and Impact/Results

1.3.3 Quality and Completeness of Project Implementation Plan

1.3.4 Quality and Completeness of Project Management Plan

1.3.5 Quality and Completeness of Performance Management Plan

1.3.6 Mandatory Environmental Impact Assessment and Compliance

1.3.7 Sustainability

1.3.8 Mandatory Gender Analysis

1.3.9 ASHA Mandate (“American Ideals, Values, Principles”) 15

2 COST 15

2.1 Cost-Realism: Likelihood that the program can be accomplished within the stated budget

2.2 Cost-Effectiveness: Significance of program impact in terms of cost to USAID/ASHA

3 PAST PERFORMANCE 10

4 BRANDING STRATEGY AND MARKING PLAN (evaluated for apparently successful applicants only, following the technical evaluation, on a non-competitive basis) 0

TOTAL 100

H.1. Technical Merit Evaluation Criteria

H.1.1. USO Management and Financial Capacity

The application must provide the following summary of the USO:

Name of Organization Date and State Organized Date: State:

Date and Code for IRS Tax Exemption (e.g., 501c[3]) Date: Code:

Number of Full/Part-Time Staff Size of Board of Directors Annual Operating Budget $ Total Cash Support for OSI in Past Two Years (exclude any ASHA Funding)

2011: $ 2010: $

Date Sponsorship of OSI Began Date Last IRS Form 990 Filed

In addition, the application must provide a description of the USO's management and financial capacity and a description of how the USO provides management and financial support to the OSI. This response includes.

a. The USO’s Management Capacity.

This should include a brief description of the applicant’s human resources capacity, physical and material resources, information technology and intellectual resources. A list of the USO’s Board of Directors must be included. The résumé of the principal officer(s) of the applicant must be included in an annex to the application, which will not count toward the page limit.

b. USO’s Financial Capacity.

The applicant should describe its financial capacity. Another annex to the application must include the USO’s most recent financial audit. If the applicant is a prior recipient of federal awards and was subject to an OMB Circular A-133 audit, then the supplemental audit conducted under OMB A-133 must be included with the financial audit. If there are audit findings, a copy of the USO’s management's response to these findings and the management letter must be included. If the last audit is older than 2 years from the application date, this annex must also include the most recent copy of the USO’s IRS Form 990 and a copy of the latest unaudited financial statement. Submission of only unaudited financial statements will not be considered responsive. The required audit attachments will not count toward the page limit.

H.1.2. OSI Description

H.1.2.1. OSI’s Impact and Influence

(a) General

The application should provide a chart summarizing the OSI’s characteristics, as set forth below.

Listed elements are standard for educational and should be adjusted for unique organizational circumstances.

Name of Organization Date Established Name of Principal Officer Type of Entity (i.e., High School, University, Teaching Hospital, research institution, Library) U.S. Accreditation (if any) In-Country Accreditation (if any) Entity Chartered by Total Number of Degree Students Total Number of Non-Degree Students Total Administrative Staff Total Teaching Staff Total Medical Staff Total Other Staff Current Year Operating Budget in US$ Endowment in US$ Value of Physical Plant in US$

(b) Physical Plant

The application must describe the OSI’s physical plant, including: (a) real estate owned or leased, number of buildings, and total square footage; (b) the estimated value of all real property; and (c) how the physical plant is used. As indicated in Section C.2 of this APS, for construction and renovation projects, the physical plant cannot be owned by the host government at the national or local level except where the government provides a long-term lease on the property.

(c) Staff

The application must provide a brief description of the OSI's staff, how they are selected, and their overall qualifications. This information must include the nationality of the institution's management and faculty in tabular format (see below).

Total Number of Persons Management Faculty Medical

Staff U.S. Citizens Full-Time U.S. Citizens Part-Time Host Country Citizens with U.S. Degrees Host Country Citizens with Other Degrees Citizens of Other Countries with U.S.

Degrees

Citizens of Other Countries with Other Degrees

Citizens of Other Countries with U.S.

Specialized Degrees

If management or staff is not from either the U.S. or host country, provide a description of the nationality of the staff and why the USO considers the OSI a Center of American ideals and practices.

(d) Academic Institutions

If the OSI is an academic institution, a research institution or an academic library, the application must provide a brief description of the student body to include statistics that demonstrate the composition of the student body by sex, degree or non-degree programs, and nationality. A suggested format is set forth below.

Students, Tuition, and Scholarships

Total

Male

Female Host Country Students Degree Full-Time Host Country Students Degree Part-Time U.S. Citizens Degree Full-Time U.S. Citizens Degree Part-Time Citizens of Other Countries Degree Full-Time Citizens of Other Countries Degree Part-Time Total Number of Students U.S. Citizens as % of Total Students Tuition per Student in US$ Number of Students Receiving Scholarships Total Amount Paid for Scholarships in US$ Notes:

(e) Medical Facilities

If the OSI is a medical facility or a medical library, the application must describe the type of medical facility, the patients served, the training and research programs offered, and its rate structures. In addition, the application must provide information on the patients served, outreach programs, and the level of services offered. A suggested format is listed below:

Annual Total – Inpatients Annual Total – Outpatients Annual Persons Served by Outreach Programs Number of Beds – All Facilities Number of Beds in Facility to be Funded Rate of Occupancy Daily Bed Cost

H.1.2.2. OSI Management and Financial Capacity

The application must describe and demonstrate the OSI’s competence and professional skills and must exhibit sound management and financial practices and capacity. Therefore, the application must provide a description of:

a. The OSI’s Management Capacity.

This should include a brief description of its human resources capacity, physical and material resources, information technology and intellectual resources. A list of the OSI’s Board of Directors must be included. The resume of the principal officer(s) of the applicant must be included in an annex to the application, which will not count toward the page limit.

b. The OSI’s Financial Capacity.

This description should identify the annual operating budget of the entity, and its ability to finance its operations and its proposed project. The applicant must provide the OSI’s most recent financial audit. If the OSI is a prior recipient or sub-recipient of USAID funds with expenditures over $300,000 a USAID-required recipient-contracted audit must be included with the most recent financial statements in an annex to the application. If there are audit findings a copy of the OSI management’s response to these findings and the management letter must be included. A partial response or the submission of only unaudited financial statements will not be considered responsive. This annex will not count toward the page limit.

H.1.3. Project Description

H.1.3.1. Quality and Completeness of Project Design/ Description

The application must provide a description of the project to be funded and how the project relates to the OSI’s long-term strategic plan. It should be specific, detailed, written in the active voice, include benchmarks/milestones, and answer the questions: what, why, how, who, where, when, and so what? The application should be written in results-oriented terms, and cover the full period of the proposed project. If the proposed project is part of a larger project, the application must provide a description of the larger project, followed by a description of the precise component of that project that is proposed for ASHA funding. Also provide a project summary as shown in the example below.

Type of Project (Commodities, Construction, Renovation) Total Project Cost in US$ $ Amount Raised to Date $ Balance of Funds Needed $ USO-Provided Cost-Sharing in US$ $ OSI-Provided Cost-Sharing in US$ $ Third Party Cost-Sharing in US$ $ Amount Requested from ASHA in US$ $ Host Country Approval Needed (Yes/No) Host Country Approval received (Yes/No) Basis of Cost (Firm/Estimate)

A/E Firm for Construction/Renovation Projects (enter name, if known at the time of application)

Construction Firm for Construction/Renovation Projects (enter name, if known at the time of application)

(a) Commodities

If the application is for commodities, the application must provide list of commodities substantially as follows:

Description Number of Units Cost Place of Purchase

Total

The recipient of the award is responsible for compliance with ADS 312, Eligibility of Commodities (http://transition.usaid.gov/policy/ads/300/312.pdf).

(b) Construction/Renovation

If the application is for a construction or renovation project, the application must provide a description of the facility to be constructed or renovated and the construction timeline. The application must also provide details of all host country approvals needed for the project and status of these approvals. The application must also provide details and status (active, planned, or pending approval) of any required agreements, host country approvals, and jurisdictional constraints (related to local utilities, site restrictions, permits, contacts, and related issues) and indicate whether these constraints will be in the critical path for construction. The application should include any known dates of actual or expected completion of these project requirements.

Also included must be a description of the land to be used for the proposed project, including square footage of the property, and information on existing levels of site preparations, i.e., has the existing land already been prepared and does it have the available roads, storm water management, water/sewer, etc.

The application must contain the conceptual design and construction drawings. The conceptual design provides a workable site and building layout, and a minimum level for the building image.

It is not intended that the applicant provide a complete design with most issues resolved prior to submitting the application. The application must provide enough information for ASHA to reasonably understand the requirements and potential design features.

(c) Conceptual Design

The following is a general outline of the conceptual design requirements to submit. The required information should be provided in the outline format below, but not all features may be applicable to the proposed project. In such a case, indicate “Not Applicable” to ensure the non-applicable feature has been addressed. Where a drawing is required in the below outline, the drawing must be placed in the drawing section in accordance with the drawing guidance immediately following, and make reference to the applicable drawing such as “See Electrical Drawing E-1.”

(1) General

The application must provide project-specific design criteria, including required guidelines, standard details, accessibility elements, security, etc., and all special or unusual criteria requirements believed to have a significant impact on the facility. The application must list titles and sources of major specifications commonly used or anticipated to be used, and must provide a schedule of proposed construction phasing and major milestones. At the point of preparing the application, the schedule can be a draft or merely notional. The application must also reference drawings/specifications of existing construction if the project is for renovation or expansion of existing facilities.

(2) Site

The application must briefly discuss the Site Location/Zoning Analysis, and provide a description of the land to be used for the proposed project. Also included must be a brief description of existing conditions, as well as a list of any existing reports and/or surveys and identification of future planned investigations. All planned investigations shall include but are not be limited to: soils test analysis, permeability, soil strength analysis, site preparation requirements, site and topographical surveys, and foundations requirements. Site and topographical surveys should include property lines, utility locations, easements, setbacks, all structures above and below grade, trees, wetlands, environmentally-protected areas, streets, roads, etc. The application must describe the weather and climate conditions, including season for construction, and must include an estimate of the number of inclement weather days that could delay the construction contractor (too wet, too dry-fire hazard, too hot to work, too cold to work, severe storms, etc.). The application must identify any utility tie-in points to major electrical grids or nearby buildings, must describe the storm-water management plan or system (gravity, pumped, sewers, etc.), should provide Conceptual Demolition drawings (if required), and must identify conceptual landscaping, planting and turfing requirements.

(3) Architectural

The application must describe any special requirements and use areas (furniture, signage, kitchen equipment, shops, auditorium seating, security, communications rooms, conference rooms, etc.), must identify gross space requirements, and must provide the number and type of occupants with a breakdown/ estimate of permanent, transient, Male/Female, etc. The application must also indicate major dimensions and clear heights required, and must provide a demolition and phasing plan for renovation/expansion projects, as well as a narrative that discusses building-related materials and proposed finishes.

(4) Structural

The application must discuss design criteria (including codes to be used for design, minimum strengths, and basic design loads) and special structural requirements, including specific load conditions and deviations from the national codes. Any seismic requirements must also be identified (it is not necessary to go into details, but any concern must be addressed).

(5) Plumbing

The application must describe general plumbing requirements (hot/cold showers, M/F toilets, kitchens, sinks, etc.), including any special plumbing requirements (handicap requirements, low flow requirements, maximum hot water requirements, dilution basins, grease separators, sewage ejection, etc.).

(6) Fire Protection

The application must list areas requiring fire protection, and must describe the planned, anticipated, or existing fire protection system.

(7) Electrical

The application must provide a narrative of the salient electrical features and any design criteria (including type of fixtures, lighting levels, day lighting requirements, distribution, mechanization listing with power requirements, etc.), and must indicate primary service or power source.

(8) Special Mechanical Equipment

The application must provide a narrative description of major mechanical components, and must include any conceptual mechanical equipment plan (including power, compressed air, and heat load requirements).

(9) Architectural/Engineering (A/E) Capacity or Capacity to Hire A/E Contractor

If the A/E firm has been selected at the time of application, the application must identify the A/E firm and provide qualifications of the A/E firm using the SF330 Architect-Engineer Qualification form (see https://www.acquisition.gov/far/html/FormsStandard28.html).

(10) Construction Capacity or Capacity to Hire Construction Contractors1

The application must discuss the anticipated source (local/foreign) of construction contractors and whether the trade skills necessary to complete the proposed project are available locally. The availability, kind, and quality of the construction contractor may influence the complexity or simplicity of the design and may affect ultimate costs.

(d) Construction Drawings

Construction drawings should be provided in an annex to the application, which will not count against the page limit. The construction drawings will consist of conceptual2 site and building drawings, and standard details of common project features that can be adapted for the project. It is not necessary to label any drawings “conceptual.” A rough estimate of the level of design completion for the application drawings is 5% or less. Not all drawings may be a part of the proposed project. In such cases, this annex to the application must include a place-holder and state “Not Applicable,” in order to indicate that it was considered and was not overlooked. The drawings must be ordered according to discipline, such as General, Civil, Architectural, Structural, Plumbing, Fire Protection, Electrical, Mechanical, and Other. The underlined letter (G, C, A, etc.) forms the prefix to the sheet number # (1, 2, 3, etc.). For example: C-1 Survey; or S-1 Foundations.