RFP_72016721R00005_Social Contract Activity.pdf

Request for Proposals (RFP) No.: SOLICITATION No. 72016721R00005 Issue Date: June 3, 2021 Pre-Proposals Conference: June 15, 2021 at 3:00 pm Kosovo local time.

Questions Due Date: June 18, 2021 at 5 p.m., Kosovo local time.

Answers to the questions Due Date: June 23, 2021 Proposals Submission Due Date: July 19, 2021 at 5pm, Kosovo local time

SUBJECT: Request for Proposal (RFP) SOLICITATION No. 72016721R00005

Social Contract Activity

Dear Prospective Offeror:

The United States Government, represented by the U.S Agency for International Development (USAID), through the Regional Office for Acquisition and Assistance in Kosovo, is seeking proposals from qualified organizations to implement Social Contract Activity in Kosovo, as described in section C of this solicitation.

This is USAID/Kosovo Democracy and Governance portfolio activity, and the goal of the activity is to introduce sustainable practices for public participation in order to improve Kosovo citizens’ quality of life and strengthen their partnership with the municipal government.

USAID/Kosovo anticipates awarding one Cost Plus Award Fee (CPAF) contract as a result of this solicitation covering an estimated period of five (5) years from the date of the award. The principal geographic code for this contract is 937. The North American Industry Classification System (NAICS) code for this acquisition is 541990. This requirement is subject to the availability of funds.

Subject to availability of funds, USAID estimates funding available for this contract up to $15 million.

USAID’s intent is to maximize the best value obtainable and is in no way obligated to make an award within the maximum estimated amount. Offerors should not strive to meet the maximum amount; rather, offerors should propose the best technical/management solution, and costs that are appropriate, realistic, and reasonable, and in accordance with the proposed approach for achieving the activity objectives.

This procurement will be conducted under full and open competition, pursuant to Part 15 of the Federal Acquisition Regulation (FAR) (48 CFR Chapter 1). All types of organizations are eligible to compete;

USAID encourages the participation to the maximum extent possible of local Kosovar organizations, small business concerns, veteran owned small businesses, service-disabled veteran small businesses, HUB zone small businesses, small disadvantaged businesses, women-owned small business concerns and small business concerns in this activity as the prime contractor or as subcontractors. USAID discourages the use of exclusive agreements as this limits USAID’s and Kosovo’s ability to receive the best services. This applies to personnel and subcontractors, international and local organizations.

Only electronic proposals will be accepted. Any questions regarding this solicitation and the proposals must be submitted in via email to Dukagjin Hasani at dhasani@usaid.gov and Fiolla Radoniqi at fradoniqi@usaid.gov by the date and time specified above. If your organization decides to submit a proposal in response to this solicitation, detailed requirements for Offerors’ proposals are outlined in Section L of mailto:cberkowitz@usaid.gov

SOLICITATION No. 72016721R00005 Social Contract Activity in Kosovo this solicitation. Proposals must be signed by an official who is authorized to bind the organization and are to be submitted to USAID no later than the closing date and time stated above.

USAID will conduct a Pre-Proposals Conference on June 15th, 2021 at 3 p.m. Kosovo Time. Any entity that wishes to participate should email Dukagjin Hasani at dhasani@usaid.gov and Fiolla Radoniqi at fradoniqi@usaid.gov with the name, title, and organization for each participant by Friday, June 11th, 2021 at 5 p.m. Kosovo Time in order to receive instructions for joining USAID’s video conference platform.

USAID reserves the right to amend or rescind this solicitation at any time. This solicitation, amendments to this solicitation, and announcement of contract award will be made available through the government point of entry at https://beta.sam.gov/. It is the Offeror’s responsibility to check this site periodically for official updates to this solicitation. Issuance of this solicitation and the submission of a proposal do not constitute a commitment on the part of the U.S. Government nor USAID to make an award; neither does it constitute an obligation for any costs incurred in the preparation and submission of a proposal.

USAID appreciates the time and effort put into preparing proposals in response to this solicitation.

Sincerely, Chad Berkowitz Foreign Service Contracting Officer mailto:cberkowitz@usaid.gov https://beta.sam.gov/

72016721R00005

SOLICITATION, OFFER AND AWARD

4. TYPE OF SOLICITATION2. CONTRACT NUMBER 3. SOLICITATION NUMBER

7. ISSUED BY CODE 8. ADDRESS OFFER TO (If other than Item 7)

ORDER UNDER DPAS (15 CFR 700)

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

NEGOTIATED (RFP)

SEALED BID (IFB)

5. DATE ISSUED

1. THIS CONTRACT IS A RATED RATING PAGE OF PAGES

1 1

C. E-MAIL ADDRESS

EXT.NUMBERAREA CODE

B. TELEPHONE (NO COLLECT CALLS)A. NAME

10. FOR

INFORMATION

CALL:

CAUTION: LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

(Date)(Hour) local timeuntildepository located in copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if hand carried, in the

SOLICITATION

9. Sealed offers in original and

PART IV - REPRESENTATIONS AND INSTRUCTIONS

OTHER STATEMENTS OF OFFERORS

EVALUATION FACTORS FOR AWARD

INSTRS., CONDS., AND NOTICES TO OFFERORS

REPRESENTATIONS, CERTIFICATIONS AND

LIST OF ATTACHMENTS

CONTRACT CLAUSES

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

I

J

K

L

M SPECIAL CONTRACT REQUIREMENTS

CONTRACT ADMINISTRATION DATA

DELIVERIES OR PERFORMANCE

INSPECTION AND ACCEPTANCE

PACKAGING AND MARKING

DESCRIPTION/SPECS./WORK STATEMENT

SUPPLIES OR SERVICES AND PRICES/COSTS

SOLICITATION/CONTRACT FORM

PART II - CONTRACT CLAUSESPART I - THE SCHEDULE

H

G

F

E

D

C

B

A

SEC. DESCRIPTION PAGE(S) (X) DESCRIPTION SEC. (X)

11. TABLE OF CONTENTS

18. OFFER DATE17. SIGNATURE

SUCH ADDRESS IN SCHEDULE.

IS DIFFERENT FROM ABOVE - ENTER

15C. CHECK IF REMITTANCE ADDRESS

EXT.NUMBERAREA CODE

15B. TELEPHONE NUMBER

(Type or print)AND

ADDRESS

OF

OFFEROR

CODE FACILITY

16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER15A. NAME

DATEAMENDMENT NO.DATEAMENDMENT NO.

and related documents numbered and dated):

amendments to the SOLICITATION for offerors

(The offeror acknowledges receipt of

14. ACKNOWLEDGEMENT OF AMENDMENTS

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

(See Section I, Clause No. 52.232.8)

13. DISCOUNT FOR PROMPT PAYMENT

designated point(s), within the time specified in the schedule.

by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the

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)

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

28. AWARD DATE

(Signature of Contracting Officer)

27. UNITED STATES OF AMERICA

25. PAYMENT WILL BE MADE BY

26. NAME OF CONTRACTING OFFICER (Type or print)

CODE 24. ADMINISTERED BY (If other than Item 7)

ITEM

(4 copies unless otherwise specified)

23. SUBMIT INVOICES TO ADDRESS SHOWN IN

41 U.S.C. 253 (c) ( 10 U.S.C. 2304 (c) (

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:

21. ACCOUNTING AND APPROPRIATION20. AMOUNT19. ACCEPTED AS TO ITEMS NUMBERED

AWARD (To be completed by government)

CODE

6. REQUISITION/PURCHASE NUMBER

REQ-167-21-000012X

720167

Embassy of the USA/USAID/Kosovo Regional Office of Acquisition and Assistance (ROAA) Rr. 4 KORRIKU Nr. 25, Arberia, Pristina, Kosovo 10000

1700 A

Dukagjin Hasani dhasani@usaid.gov

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PAGE(S)

Chad Berkowitz

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (Rev. 9-97)

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

1-6 7-10

11-25 28-36 37-39 40-54

55-62

64-80

81-91

92-95

12. In compliance with the above, the undersigned agrees, if this offer is accepted within _____0_________ calendar days (60 calendar days unless a different period is inserted

06/03/2021

07/19/2021

Contents

PART I – SCHEDULE 7

SECTION B – SUPPLIES OR SERVICES AND PRICE/COSTS 7

B.1 PURPOSE 7

B.2 CONTRACT TYPE 7

B.3 ESTIMATED COST, FEE, AND OBLIGATED AMOUNT 7

B.4 PRICE SCHEDULE 7

B.5 INDIRECT COST 8

B.6 ADVANCE UNDERSTANDINGS ON CEILING INDIRECT COST RATES AND FINAL

REIMBURSEMENT FOR INDIRECT COSTS 8

B.7 COST REIMBURSABLE 9

B.8 PAYMENT OF FEE 9

SECTION C – STATEMENT OF WORK 11

SECTION D – PACKAGING AND MARKING 26

D.1 AIDAR 752.7009 MARKING (JAN 1993) 26

D.2 BRANDING 26

SECTION E – INSPECTION AND ACCEPTANCE 27

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE 27

E.2 INSPECTION AND ACCEPTANCE 27

SECTION F – DELIVERIES AND PERFORMANCE 28

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE 28

F.2 PLACE OF PERFORMANCE 28

F.3 PERIOD OF PERFORMANCE 28

F.4 PERFORMANCE STANDARDS 28

F.5 KEY PERSONNEL 29

F.6 REPORTS AND DELIVERABLES OR OUTPUTS 29

F.7 DISTRIBUTION OF PROJECT MATERIALS, PARTICIPATION PARTNER MEETINGS

AND PUBLIC EVENTS 34

F.8 SUBMISSION REQUIREMENTS FOR DEVELOPMENT EXPERIENCE DOCUMENTS

(Sept 2013) 34

SECTION G – CONTRACT ADMINISTRATION DATA 37

G.1 ADMINISTRATIVE CONTRACTING OFFICE 37

G.2 CONTRACTING OFFICER'S AUTHORITY 37

G.3 CONTRACTING OFFICER'S REPRESENTATIVE (COR) 37

G.4 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID 37

G.5 PAYMENT AND INVOICES 38

G.6 ACCOUNTING AND APPROPRIATED DATA 39

SECTION H – SPECIAL CONTRACT REQUIREMENTS 40

H.1 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES 40

H.2 AIDAR 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS (FEB 2012) 40

H.3 AIDAR 752.228-3 WORKERS COMPENSATION INSURANCE (DEFENSE BASE ACT)

(DBA) (DEC 1991) 40

H.4 AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC) SERVICES (JULY 2007) 42

H.5 AUTHORIZED GEOGRAPHIC CODE 43

H.6 LOGISTIC SUPPORT 43

H.7 EXECUTIVE ORDER ON TERRORISM FINANCING 43

H.8 PROHIBITION AND ASSISTANCE TO DRUG TRAFFICKING 43

H.9 AIDAR 752.7007 PERSONNEL COMPENSATION (JUL 2007) 44

H.10 ADDITIONAL REQUIREMENTS FOR PERSONNEL COMPENSATION 44

H.11 LANGUAGE REQUIREMENTS 46

H.12 CONFIDENTIALITY AND OWNERSHIP OF INTELLECTUAL PROPERTY 46

H.13 CONSENT TO SUBCONTRACTS 46

H.14 INTERNATIONAL TRAVEL APPROVAL 46

H.15 GOVERNMENT FURNISHED FACILITIES OR PROPERTY 46

H.16 ENVIRONMENTAL COMPLIANCE AND REQUIREMENTS 47

H.17 USAID IMPLEMENTATION OF SECTION 508 OF THE REHABILITATION ACT OF 1973

AND FEDERAL ACQUISITION CIRCULAR (FAC) 97-27 "ELECTRONIC AND INFORMATION

TECHNOLOGY ACCESSIBILITY 47

H.18 ADS 302.3.5.9 NONDISCRIMINATION (JUNE 2012) 47

H.19 AIDAR 752.222-70 USAID DISABILITY POLICY (DECEMBER 2004) 48

H.20 ADS 302.3.5.19 USAID-FINANCED THIRD-PARTY WEB SITES (NOV 2017) 48

H.21 ADS 302.3.5.21 SUBMISSION OF DATASETS TO DEVELOPMENT DATA LIBRARY

(OCT 2014) 49

H.22 ELECTRONIC PAYMENTS SYSTEM 50

H.23 SEXUAL MISCONDUCT (DECEMBER 2020) 51

H.24 FAR 4.21 PROHIBITION ON CONTRACTING FOR CERTAIN COVERED

TELECOMMUNICATIONS AND VIDEO SURVEILLANCE SERVICES OR EQUIPMENT

(SECTION 889) (JANUARY 2021) 52

H.25 ADS 302.3.4.13 GRANTS UNDER CONTRACTS (GUCs) 52

H.26 ADS 302.3.5.5 REPORTING OF FOREIGN TAXES (JULY 2007) 53

PART II CONTRACT CLAUSES 55

SECTION I – CONTRACT CLAUSES 55

I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE 55

I.2 FAR 52.204-1, APPROVAL OF CONTRACT (DEC 1989) 58

I.3 FAR 52.217-8 OPTION TO EXTEND SERVICES (NOV 1999) 58

I.4 FAR 52.229-8 TAXES – FOREIGN COST-REIMBURSEMENT CONTRACTS (MAR 1990)

I.6 AIDAR 752.7013 CONTRACTOR-MISSION RELATIONSHIPS (JUNE 2018) 59

I.8 AIDAR 752.7037 CHILD SAFEGUARDING STANDARDS (AUG 2016) 60

I.9 FAR 52.252-2, CLAUSES INCORPORATED BY REFERENCE (FEB 1998) 61

PART III LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS 63

SECTION J – LIST OF ATTACHMENTS 63

PART IV REPRESENTATIONS AND INSTRUCTIONS 64

SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF

OFFERORS 64

K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE 64

K.2 FAR 52.204-3, TAXPAYER IDENTIFICATION (OCT 1998) 64

K.3 FAR 52.204-8, ANNUAL REPRESENTATIONS AND CERTIFICATIONS (MAR 2020) 65

K.4 FAR 52.209-5, CERTIFICATION REGARDING RESPONSIBILITY MATTERS (AUG 2020)

K.5 FAR 52.209-7, INFORMATION REGARDING RESPONSIBILITY MATTERS (OCT 2018)

K.6 FAR 52.209-11 REPRESENTATION BY CORPORATIONS REGARDING DELINQUENT

TAX LIABILITY OR A FELONY CONVICTION UNDER ANY FEDERAL LAW (FEB 2016) 70

K.7 FAR 52.209-13 VIOLATION OF ARMS CONTROL TREATIES OR AGREEMENTS-

CERTIFICATION (FEB 2021) 71

K.8 FAR 52.219-1, SMALL BUSINESS PROGRAM REPRESENTATIONS (NOV 2020) 72

K.9 FAR 52.222-22, PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FEB 1999) 74

K.10 FAR 52.222-25, AFFIRMATIVE ACTION COMPLIANCE (APR 1984) 75

K.11 FAR 52.230-1, COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION

(JUN 2020) 75

K.12 FAR 52.230-7, PROPOSAL DISCLOSURE--COST ACCOUNTING PRACTICE CHANGES

(APR 2005) 77

K.13 FAR 52.204-26 COVERED TELECOMMUNICATIONS EQUIPMENT OR SERVICES-

REPRESENTATION (OCT 2020) 77

K.14 FAR 52.204-24 REPRESENTATION REGARDING CERTAIN TELECOMMUNICATIONS

AND VIDEO SURVEILLANCE SERVICES OR EQUIPMENT (OCT 2020) 78

K.15 SIGNATURE 80

SECTION L – INSTRUCTIONS TO OFFERORS 81

L.1 FAR 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB

1998) 81

L.2 FAR 52.216-1 TYPE OF CONTRACT (APR 1984) 81

L.3 FAR 52.233-2 SERVICE OF PROTEST (SEP 2006) 81

L.4 GENERAL INSTRUCTIONS TO OFFERORS 81

L.5 SUBMISSION/DELIVERY INSTRUCTIONS 82

L.6 GENERAL INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL

PROPOSAL 84

L.7 TECHNICAL UNDERSTANDING AND APPROACH 85

L.8 PERSONNEL AND MANAGEMENT APPROACH 86

L.9 LOCAL OWNERSHIP 87

L.10 INSTRUCTIONS FOR THE PREPARATION OF THE COST PROPOSAL 88

SECTION M – EVALUATION CRITERIA 92

M.1 GENERAL INFORMATION 92

M.2 TECHNICAL EVALUATION CRITERIA 92

M.3 TECHNICAL UNDERSTANDING AND APPROACH 93

M.4 PERSONNEL AND MANAGEMENT APPROACH 93

M.5 LOCAL OWNERSHIP 94

M.6 EVALUATION OF PAST PERFORMANCE 94

M. 7 EVALUATION OF COST PROPOSALS 95

M.8 DETERMINATION OF COMPETITIVE RANGE 95

M.9 SOURCE SELECTION 95

PART I – SCHEDULE

SECTION B – SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

The purpose of the Social Contract Activity is to introduce sustainable practices for public participation in order to improve Kosovo citizens’ quality of life and strengthen their partnership with the municipal government.

B.2 CONTRACT TYPE

This is a Cost Plus Award Fee (CPAF) type Contract for an estimated period of five (5) years. For the consideration set forth below, the Contractor shall provide the deliverables or outputs described in Sections C, F, and Award Fee Plan, and comply with all contract requirements.

B.3 ESTIMATED COST, FEE, AND OBLIGATED AMOUNT

a) Total Estimated Cost:

The estimated cost for the performance of the work required hereunder in section C and F exclusive of Award Fee, is $ TBD.

b) Award Fee

i. The Base (Fixed) Fee is $ TBD by the offeror.

ii. The maximum award fee pool is $ TBD by the offeror.

c) Obligated amount

1) Within the estimated cost specified in paragraph a) plus base fee specified in paragraph b)i.

above, the amount currently obligated and available for reimbursement of allowable costs incurred by the contractor and payment of base fee, for performance hereunder is $ TBD. The Contractor must not exceed the aforesaid obligated amount.

2) Funds obligated hereunder are anticipated to be sufficient through $ TBD.

B.4 PRICE SCHEDULE

Budget Summary Cost Category Total Total Direct Costs TBD Total Indirect Costs TBD Base (Fixed) Fee TBD Total Estimated Cost Plus Base Fee TBD Estimated Award Fee Pool TBD Contract Ceiling Price TBD

These amounts may not be adjusted without a written modification signed by the Contracting Officer. The contractor will not bill any amounts against this contract in excess of the amounts specified for each line item as illustrated above.

B.5 INDIRECT COST

Pending establishment of revised provisional or final indirect cost rates, allowable indirect costs shall be reimbursed based on the following negotiated provisional or predetermined rates and the appropriate bases:

Description Rate Base Type Period

% 1/ 1/ 1/ % 2/ 2/ 2/ % 3/ 3/ 3/

1/Base of Application:

Type of Rate:

Period:

2/Base of Application:

Type of Rate:

Period:

3/Base of Application:

Type of Rate:

Period:

B.6 ADVANCE UNDERSTANDINGS ON CEILING INDIRECT COST RATES AND FINAL

REIMBURSEMENT FOR INDIRECT COSTS

(a) Reimbursement for indirect costs shall be at the lower of the negotiated final (or predetermined) rates or the following ceiling rates:

Description Rate Base Period

% 1/ 1/ % 2/ 2/ % 3/ 3/

1/ Base of Application:

Period:

2/ Base of Application:

Period:

3/ Base of Application Period

(b) The Government will not be obligated to pay any additional amount should the final indirect cost rates exceed the negotiated ceiling rates. If the final indirect cost rates are less than the negotiated ceiling rates, the negotiated rates will be reduced to conform to the lower rates.

(c) This understanding shall not change any monetary ceiling, obligation, or specific cost allowance or disallowance. Any changes in classifying or allocating indirect costs require the prior written approval of the Contracting Officer.

B.7 COST REIMBURSABLE

The U.S. dollar costs allowable will be limited to reasonable, allocable, and necessary costs determined in accordance with FAR § 52.216-7 “Allowable Cost and Payment,”; FAR § 52.216-8“Fixed Fee”; FAR § 52.232-22 “Limitation of Funds,” if applicable, and AIDAR 752.7003, “Documentation for Payment.”

B.8 PAYMENT OF FEE

1) Base Fee

a) USAID will pay the base fee pursuant to FAR § 52.216-7 and FAR § 52.216-8, upon the receipt of an invoice deemed proper by the USAID/Kosovo Financial Management Office. The Contractor may earn and be paid all or a portion of the total fee based on completed deliverables under this contract.

Payment of the Contractor’s fee is tied to the accomplishment of objectives and deliverables or outputs described in Sections C and F of the contract.

b) The contractor must propose a base fee payment schedule tied to the objectives and deliverables or output for the Government's review and acceptance. The base fee payment schedule will become part of the contract upon award.

c) Base Fee Payment Schedule TBD:

Deliverables

Delivery schedule

Percentage of Base Fee

Base Fee Amount for payment

Deliverables for Year 1 TBD by the contractor Deliverables for Year 2 TBD by the contractor Deliverables for Year 5 TBD by the contractor

2) Award Fee

a) The maximum award fee pool for this contract is $TBD and it is not part of the total estimated cost plus base fee. The Contractor may earn and be paid all or a portion of an award fee for performance under this contract. The Government's purpose in granting an award fee is to encourage and reward superior contract performance.

b) The award fee shall be made available to the Contractor for each evaluation period; the table below reflects evaluation periods, estimated available award fee and actually earned award fee for each evaluation period.

Period of Performance

Evaluation Period*

(Start/End date)

Estimated Percentage of Award Fee Available

Estimated Amount of

Available

Earned

Amount

First Evaluation Period (end of Year 1) /2021 -/2022 TBD TBD Second Evaluation Period (end of Year 2) /2022 -/2023 TBD TBD Third Evaluation Period (end Year 3) /2023 -/2024 TBD TBD Fourth Evaluation Period (end of Year 4) /2024 -/2025 TBD TBD Fifth Evaluation Period (end of Year 5) /2025 -/2026 TBD TBD Maximum Award Fee Available 100% TBD

*Exact dates of each Evaluation Period will be determined upon contract award.

c) The determination of the award fee earned by the Contractor and payment of award fee, if any, shall be in accordance with the terms of the Award Fee Plan attached in Section J.

d) At the end of each evaluation period, the contract shall be modified to increase the total estimated cost to add the award fee amount earned for the respective evaluation period and the contractor can invoice for the earned amount as soon as the modification is completed.

e) Unearned award fee cannot rollover from one award fee evaluation period to the next evaluation period.

f) Payment of any award fee earned by the Contractor shall not be subject to the withholding provisions of the clause of this contract entitled "Allowable Cost and Payment" (FAR 52.216-7) clause.

The paying office is USAID/Kosovo, Financial Management Office, as specified in Section G.5.

B.9 MULTI-YEAR CONTRACT AND CANCELLATION CEILING

USAID/Kosovo considers this contract non-severable and is therefore a multi-year contract as defined in FAR 17.103. Therefore, this contract is subject to the requirements of FAR 17.106. However, as a cost-reimbursement contract, USAID/Kosovo will authorize the reimbursement for all allowable costs incurred by the Contractor pursuant to FAR 52.216-7, “Allowable Costs and Payment.” The Contractor will not incur any costs that require amortization or substantial upfront investment over the contract’s period of performance if the Contracting Officer cancels the contract pursuant to FAR 52.217-2. Thus, $0 will serve as the cancellation ceiling for each cancellation date. Accordingly, no requirement to include cancellation dates in the contract exists.

[END OF SECTION B]

SECTION C – STATEMENT OF WORK

ACTIVITY TITLE: Social Contract

C.1. PURPOSE

The activity will introduce sustainable practices for public participation in order to improve Kosovo citizens’ quality of life and strengthen their partnership with the municipal government.

To this purpose, the activity will use a systems thinking approach to lower behavioral, institutional, and other environmental barriers and amplify existing facilitators for public participation. In order to be sustainable, public participation practices must be of value to the key stakeholders, effective in solving community problems to the satisfaction of all the affected stakeholders, and feasible for both local public officials and members of the community to continue without donor support.

For the purpose of this activity, participation is broadly defined as efforts to involve citizens in the design, monitoring and delivery of policy and programs at the local (municipal and lower) level.

C.2. EXPECTED OUTCOMES

Intermediate outcomes - to be achieved before the end of the activity:

- Improved quality of public participation experience for community members and public officials in target municipalities.

- Improved community representation in public participation practices in target municipalities.

- Positive change in the attitudes and the behavior of the public officials and key community members with regards to public participation.

- Increased number of successfully completed community improvements initiated by or with meaningful input from the community members affected by these improvements.

Long-term outcomes - to be achieved by the end of the activity and sustained for at least one year beyond the life of the activity:

- Public participation practices identified as valuable, effective and feasible during the activity sustain for at least one year after the activity ends.

- Improved aspects of quality of life for the residents of target municipalities which correlate with the public participation practices introduced during the activity.

- Positive developments in state-society relationships in target municipalities as perceived by the public officials and the community members which can be linked to the public participation practices introduced during the activity.

C.3. MANAGEMENT APPROACH

The activity will be implemented by a consortium of two partners who will prepare the proposal and closely collaborate throughout the course of the activity. For the purposes of this activity, a consortium means any type of partnership that best promotes close cooperation between the learning partner and the implementing partner including forming a new legal entity or using a primary contractor/subcontractor structure.

https://onlinelibrary.wiley.com/doi/10.1002/CL2.205

○ The learning partner, in close cooperation with the implementing partner and local stakeholders, develops the methodology, conducts, and analyzes the results of the public participation assessments and the mid-term learning assessment. The learning partner also develops the monitoring system and tools for every objective of the activity, trains the implementing partner/s and local stakeholders on using the tools to collect the data, and aggregates and verifies the quality of the monitoring data. Finally, the learning partner, in lockstep with the implementing partner and local stakeholders, regularly analyzes the monitoring and evaluation data and suggests ways to adapt the activity implementation (for more details, see Collaborating, Learning and Adapting section of this SOW). The learning partner must demonstrate expertise in systems thinking and participatory approaches as well as using complexity-aware monitoring approaches.

○ The implementing partner designs the activity’s interventions in close cooperation with the learning partner and local government and community stakeholders, and facilitates the implementation of the interventions. The implementing partner and the key local stakeholders jointly decide how to adapt the interventions based on the analysis of the monitoring and evaluation data supplied by the learning partner. The implementing partner needs to demonstrate expertise in both building capacity of local governments and community mobilization.

○ The activity interventions must be co-designed with the local government and community stakeholders based in the target municipalities with the goal for these stakeholders to then implement these interventions and sustain the results with support and facilitation1 from the consortium partners. The relevant local and national stakeholders on government and community side must be meaningfully and appropriately involved in identifying the facilitators and barriers to public participation, co-designing and implementing interventions to achieve a system-wide change, monitoring the effectiveness of these interventions, and sustaining successful practices beyond the life of this activity. The consortium partners are free to determine which local government and community partners should be involved in the context of each municipality, to decide on the level and nature of their involvement, and to expand or narrow down the list of local partners along the way with clear justification. Implementation through local partners, despite requiring additional time and resources, ensures that the interventions are grounded in the local knowledge and that the expertise stays in place after the program ends2.

C.4. DEVELOPMENT CHALLENGE

Background and progress to date

The services and infrastructure provided by local governments in Kosovo are some of the most immediate representations to the public of the accountability and responsiveness of their government. The performance of local government largely shapes public perception of how well the state writ large performs. In addition to managing many issues that affect citizens’ daily lives, Kosovo’s municipalities spend a significant proportion of public funds: more than a quarter of total government spending in most years. Real or perceived waste, fraud, and abuse in the use of local funds not only jeopardizes vital public services and infrastructure but undermines citizens' trust in government and weakens the social contract.3 With Kosovo’s international corruption standing stagnant4 and already limited local resources further undermined by the COVID-19 pandemic, there is a need not only for improved internal controls but also for more effective

1 The Facilitation Approach at USAID: A Discussion Paper https://usaidlearninglab.org/sites/default/files/resource/files/the_facilitation_approach_at_usaid_07.28.2015.pdf 2 This approach is in line with USAID’s Local Systems Framework 3 Government at a Glance Western Balkans 2020, Kosovo Country Fact Sheet https://www.oecd.org/gov/goverment-at-a-glance-kosovo.pdf 4 Corruption Perception Index https://www.transparency.org/en/cpi/2019/results/ksv https://usaidlearninglab.org/sites/default/files/resource/files/the_facilitation_approach_at_usaid_07.28.2015.pdf https://www.usaid.gov/policy/local-systems-framework https://www.oecd.org/gov/goverment-at-a-glance-kosovo.pdf https://www.oecd.org/gov/goverment-at-a-glance-kosovo.pdf https://www.transparency.org/en/cpi/2019/results/ksv oversight by the public. Citizens, civil society, and businesses operating in Kosovo need to step up their involvement throughout the entire policy cycle which includes determining local priorities, helping shape interventions to address these priorities, and monitoring how these interventions are implemented.

As a signatory state to the European Charter of Local Self-Government, Kosovo has sufficient legal basis to involve the general public in the decision-making and policy-making processes at the local level. This is reflected in Kosovo’s Constitution, several laws including the Law on Local Self-Government, administrative instructions issued by the Ministry of Local Governance Administration (MLGA), and municipal statutes and regulations.

Kosovo also has horizontal accountability tools for tracking compliance with the existing laws. In 2017, the Ministry of Local Governance Administration (MLGA) introduced a comprehensive Municipal Performance Management System (MPMS) with over 100 indicators, many of which relate to citizen engagement5. At the local governance level, the Municipal Assemblies have the right to reject proposals of municipal acts and local policy documents that were not publicly consulted.

Recent positive developments reflect growing acceptance of the participation, inclusion, transparency and accountability (PITA) principles in Kosovo, such as improved municipal websites and social media pages, increase in the amount of open data published by GoK, a new national online platform for public consultations with plans to expand it to the municipal level, a national online public procurement platform, and greater involvement of village and community councils in decision-making by the municipalities, among other improvements. Several municipalities worked on citizen participation plans. Overall, the compliance of Kosovo’s municipalities with regulations on transparency and accountability has been improving, although the performance varies greatly by municipality6. Public trust in municipal government in Kosovo remains higher than that in the central level government institutions, and citizens place the local government among the least corrupt institutions7. There are recent success stories of citizens and the local government working together to solve community problems.

USAID has been building different aspects of the local governments’ capacity and consistently promoting greater participation, accountability, transparency, and inclusivity of their work through a series of activities. The most recent ones include Transparent, Effective and Accountable Municipalities (TEAM) and Advancing Kosovo Together (AKT)8.

5 A select subset of the MLGA’s indicators was used as a basis of the Municipal Incentive Fund jointly funded by the GoK and international donors. The Fund issued financial bonuses to the well-performing municipalities for capital investment projects. In September 2020, the Fund was temporarily suspended due to disagreements over its management between municipal leaders and MLGA and there was a major shift in the senior management of MLGA. The future format of the Municipal Incentive Fund is yet to be determined.

6 2019 Municipal Transparency and Accountability Index https://kdi-kosova.org/wp-content/uploads/2020/03/16- Transparometri-Komunal-2019-ENG.pdf; 2019 MLGA Municipal Performance Report https://mapl.rks-gov.net/wp-content/uploads/2020/09/Raporti-i-performances-komunale-2019_final-Anglisht.docx 7 Public Pulse XVIII https://www.ks.undp.org/content/kosovo/en/home/library/democratic_governance/public-pulse-xviii.html; 2019 NDI Public Opinion Survey https://www.ndi.org/sites/default/files/NDI%20Kosovo%20Public%20Opinion%20Poll%202019.pdf; World Justice Project, The Rule of Law Report, Kosovo.

https://worldjusticeproject.org/sites/default/files/documents/WJP%20Graphical%20Report- Rule%20of%20Law%20in%20Kosovo_FINAL%20110320.pdf 8 USAID Advancing Kosovo Together Final Evaluation Report https://pdf.usaid.gov/pdf_docs/PA00MZ3H.pdf;

Kosovo Transparent, Effective, And Accountable Municipalities Midterm Evaluation Report https://pdf.usaid.gov/pdf_docs/PA00WPRQ.pdf https://kdi-kosova.org/wp-content/uploads/2020/03/16-Transparometri-Komunal-2019-ENG.pdf https://kdi-kosova.org/wp-content/uploads/2020/03/16-Transparometri-Komunal-2019-ENG.pdf https://mapl.rks-gov.net/wp-content/uploads/2020/09/Raporti-i-performances-komunale-2019_final-Anglisht.docx https://mapl.rks-gov.net/wp-content/uploads/2020/09/Raporti-i-performances-komunale-2019_final-Anglisht.docx https://www.ks.undp.org/content/kosovo/en/home/library/democratic_governance/public-pulse-xviii.html https://www.ks.undp.org/content/kosovo/en/home/library/democratic_governance/public-pulse-xviii.html https://www.ndi.org/sites/default/files/NDI%20Kosovo%20Public%20Opinion%20Poll%202019.pdf https://worldjusticeproject.org/sites/default/files/documents/WJP%20Graphical%20Report-Rule%20of%20Law%20in%20Kosovo_FINAL%20110320.pdf https://worldjusticeproject.org/sites/default/files/documents/WJP%20Graphical%20Report-Rule%20of%20Law%20in%20Kosovo_FINAL%20110320.pdf https://pdf.usaid.gov/pdf_docs/PA00MZ3H.pdf https://pdf.usaid.gov/pdf_docs/PA00WPRQ.pdf

Problem

Despite the sufficient legal basis, accountability tools at the national and local government level, and recent improvements in municipal performance, the following challenges persist:

● With rare exceptions, citizen participation platforms, processes, and models developed during the projects funded by the international donors fall out of use shortly after the project is completed.

● There is a widespread perception that the overall level of public participation in Kosovo is low.

The data suggests that such perception has merit. The internal target set by the MLGA is at least 3% of the municipality’s population taking part in public meetings, including budget hearings, with the municipal staff and elected officials annually. A recent assessment done in six target municipalities of USAID/TEAM showed that on average only 0.26% of the municipalities’ residents took part in budget hearings in 20189. In addition to falling short of the MLGA’s target, this number is well below the levels of citizen participation in local budget hearings in North Macedonia (2%) or Croatia (8.5%).

Looking at a broader picture, 6% of the respondents in Kosovo’s Public Pulse survey confirmed that they ever participated in online or offline public consultations initiated by local or central government about budget, legislation or public projects10. An exact international comparison is unavailable, but in a 2018 survey by the Pew Research Center 29% of Americans reported attending a local government meeting during the last five years11.

There are no universal criteria for judging the success of citizen participation efforts12 and comprehensive and comparable data on public participation in Kosovo is scarce. However, the low citizen uptake of public participation opportunities (online and offline, direct and indirect) is a common refrain repeated by the donors, the CSOs, the municipal staff and the MLGA. Isolated successful examples of public participation do not change the overwhelming general perception that Kosovo citizens and their government do not interact nearly enough.

In addition to the levels of participation being low among the general population, the levels of participation among traditionally underrepresented groups, including women, youth, non-majority community members, people with disabilities and the elderly are particularly low to non-existent.

● There is a considerable degree of variation between municipalities in the level of compliance with the legal requirements related to the PITA principles. Similar variation is reported with regards to how well residents of different municipalities are informed about the actions of their local government and their perceptions of the local government’s work.

● The disconnect between citizens and local governments leads to:

○ Perception that the decision-making processes in municipalities are corrupt.

9 USAID/KDI. The 2019 Municipal Budget Development Process In Kosovo https://kdi-kosova.org/wp-content/uploads/2020/02/Municipal-Budget-Development-Process-in-Kosovo-ENG-me-ISBN.pdf 10 Public Pulse XVIII https://www.ks.undp.org/content/kosovo/en/home/library/democratic_governance/public-pulse-xviii.html 11 Pew Research Center (2018). The Public, the Political System and American Democracy https://www.people-press.org/2018/04/26/10-political-engagement-knowledge-and-the-midterms/ 12 IBM Center for the Business of Government (2011) A Manager’s Guide to Evaluating Citizen Participation https://www.maxwell.syr.edu/uploadedFiles/parcc/cmc/Evaluating%20Citizen%20Participation- Nabatchi%20IBM.pdf https://kdi-kosova.org/wp-content/uploads/2020/02/Municipal-Budget-Development-Process-in-Kosovo-ENG-me-ISBN.pdf https://kdi-kosova.org/wp-content/uploads/2020/02/Municipal-Budget-Development-Process-in-Kosovo-ENG-me-ISBN.pdf https://www.ks.undp.org/content/kosovo/en/home/library/democratic_governance/public-pulse-xviii.html https://www.ks.undp.org/content/kosovo/en/home/library/democratic_governance/public-pulse-xviii.html https://www.people-press.org/2018/04/26/10-political-engagement-knowledge-and-the-midterms/ https://www.maxwell.syr.edu/uploadedFiles/parcc/cmc/Evaluating%20Citizen%20Participation-Nabatchi%20IBM.pdf https://www.maxwell.syr.edu/uploadedFiles/parcc/cmc/Evaluating%20Citizen%20Participation-Nabatchi%20IBM.pdf

○ Unrealistic expectations because citizens are not aware of the limitations of municipal budgets, procedures and mandates.

○ Poor alignment (real and perceived) of limited municipal resources with the needs and priorities of the local residents. This is particularly important in light of the strain on local budgets resulting from reduced municipal tax revenue, redirection of municipal funds to poverty alleviation and public health measures, and diminished transfers from the central government, all caused by the COVID-19 pandemic13.

○ Lost opportunities for local development that can result from collaboration between citizens (including local businesses) and municipal government. If the local government is not perceived as transparent and accountable, citizens and local businesses are less inclined to pay taxes and invest their efforts and resources in community improvements.

Causes

Reports and local experts often describe a blaming game between the citizens and the municipal governments. The former are accused of being civically passive and of forgoing existing participation opportunities, especially when issues of public (as opposed to personal) benefit are at stake. The latter are accused of complying with the minimum legal requirements for the sake of ticking a box as opposed to genuinely trying to solicit and act upon the citizens’ input. Citizens and civil society point out that they rarely learn whether and to what extent their comments were taken into account which breeds disillusionment with the entire process.

In reality, shortcomings exist on the part of both sides. Citizens are held back by a low level of awareness, lack of agency, distrust in the effectiveness of the participation processes, and logistical impediments. Local governments are constrained by insufficient capacity and resources, and weak individual and institutional incentives to genuinely engage citizens.

These shortcomings do not exist in isolation from one another or from the broader social and institutional context. Public participation patterns are hyper-localized and influenced by interconnected and dynamic individual, social, and structural factors14. This complexity means that the ideal citizen-state chain of communication (Figure 1) often breaks at multiple points at once.

There are no Kosovo-specific studies of public participation that respect the complexity of the challenge. The existing assessments look at a fraction of over 20 direct and indirect public participation mechanisms existing in Kosovo, fail to take into consideration the context specific to each municipality, and do not analyze the roles of multiple stakeholders influencing citizen participation practices. One-size-fits-all approach to citizen engagement and failure to apply a systems lens to the challenge undermine the sustainability of the participation-related project results.

13 MLGA (2020) Narrative report of the situation with COVID - 19 pandemic for the municipalities of the Republic of Kosovo https://mapl.rks-gov.net/wp-content/uploads/2020/07/Narrative-report-of-the-situation-with-COVID-19-pandemic-for-the-municipalities-of-the-Republic-of-Kosovo-eng.pdf; Association of Kosovo Municipalities (2020) Emergency Needs and Socio-Economic Impact of Covid-19 on Local Government in Kosovo https://komunat-ks.net/2020/07/09/asociacioni-i-komunave-nxori-studimin-mbi-nevojat-emergjente-dhe-ndikimin-socio-ekonomik-te-covid-19-ne-pushtetin-lokal-ne-kosove/?lang=en 14 Transparency and accountability Initiative (2015). Strengthening Accountability Ecosystems: A Discussion Paper https://www.transparency-initiative.org/blog/862/strengthening-accountability-ecosystems/; Pathways through participation: What creates and sustains active citizenship (2011). Accessed at https://www.involve.org.uk/sites/default/files/uploads/Pathways-Through-Participation-final-report_Final_20110913.pdf https://mapl.rks-gov.net/wp-content/uploads/2020/07/Narrative-report-of-the-situation-with-COVID-19-pandemic-for-the-municipalities-of-the-Republic-of-Kosovo-eng.pdf https://mapl.rks-gov.net/wp-content/uploads/2020/07/Narrative-report-of-the-situation-with-COVID-19-pandemic-for-the-municipalities-of-the-Republic-of-Kosovo-eng.pdf https://komunat-ks.net/2020/07/09/asociacioni-i-komunave-nxori-studimin-mbi-nevojat-emergjente-dhe-ndikimin-socio-ekonomik-te-covid-19-ne-pushtetin-lokal-ne-kosove/?lang=en https://komunat-ks.net/2020/07/09/asociacioni-i-komunave-nxori-studimin-mbi-nevojat-emergjente-dhe-ndikimin-socio-ekonomik-te-covid-19-ne-pushtetin-lokal-ne-kosove/?lang=en https://komunat-ks.net/2020/07/09/asociacioni-i-komunave-nxori-studimin-mbi-nevojat-emergjente-dhe-ndikimin-socio-ekonomik-te-covid-19-ne-pushtetin-lokal-ne-kosove/?lang=en https://www.transparency-initiative.org/blog/862/strengthening-accountability-ecosystems/ https://www.involve.org.uk/sites/default/files/uploads/Pathways-Through-Participation-final-report_Final_20110913.pdf https://www.involve.org.uk/sites/default/files/uploads/Pathways-Through-Participation-final-report_Final_20110913.pdf

Figure 1: Ideal chain of communication between citizens and local government15

C.5. PROGRAM APPROACH

Theory of Change

IF local government and a representative group of citizens and civic entities co-develop public participation practices that they perceive as valuable, effective, and feasible THEN these practices will be continued after the activity is completed LEADING TO improved quality of life for the citizens and stronger state-society partnership.

The theory of change summarizes the ideal citizen-state chain of communication (Figure 1) and incorporates the following assumptions:

- Public participation practices include a wide range of modes, tools, approaches and platforms through which citizens and municipal government can collaborate. These include practices that are in-person or online, direct or mediated (e.g. by media or NGOs), and legally required or not.

- Representative group of citizens and civic entities means adequately reflecting the range of community members affected by the problem in question. For different problems representativeness will have a different composition. Overall, it is important to ensure that traditionally silent and underrepresented groups of citizens are included in the discussion of the matters that affect them.

15 This is an adaptation of a figure from 3ieimpact (2019) Does incorporating participation and accountability improve development outcomes? Meta-analysis and framework synthesis. Accessible at:

https://www.3ieimpact.org/evidence-hub/publications/systematic-reviews/does-incorporating-participation-and-accountability https://www.3ieimpact.org/evidence-hub/publications/systematic-reviews/does-incorporating-participation-and-accountability https://www.3ieimpact.org/evidence-hub/publications/systematic-reviews/does-incorporating-participation-and-accountability

- The term citizens and civic entities here includes all the non-state actors including individuals and families, registered and unregistered civil society groups (including local self-governance units), local businesses, and non-state owned media.

- Valuable means sufficiently responsive to the internal and external incentives of the key local government and community stakeholders. This activity has a strong focus on sustainability of public participation practices. Any financial incentives for the community partners - CSOs, local community leaders, or business representatives - as well as matching funds for community initiatives will cease after the activity is over. It is therefore mandatory to understand, leverage, and enhance a range of individual and institutional incentives for the local partners to engage in public participation activities to ensure that financial input from the activity is NOT the primary driving force behind the achieved results.

- Effective means that the public participation experience helps solve a community problem to the satisfaction of all the affected stakeholders.

- Feasible means respecting the financial and organizational capacity of the local government AND the capacity of various types of community stakeholders to participate. It also means recognizing the limits of the local government’s mandate and the connection between the quality of the citizen’s input and its usability for the public officials.

- In order for the public participation practices to stay in place after the activity ends, there needs to be a behavior change for both citizens and government officials.

- Quality of life for this activity means measurable aspects of citizens’ social and economic wellbeing that are affected by the activity’s interventions. These aspects include real or perceived improvements in the quality, quantity, or accessibility of public services and infrastructure.

- The strength of state-society partnership is manifested through perceptions and behaviors of citizens and public officials with regards to public participation as well as its effect on citizens’ quality of life.

The contractor must define the key terms in the above assumptions and validate them with the local stakeholders to ensure a shared and locally-owned understanding of success.

C.6. OBJECTIVES

In order for the activity results to be sustainable, an evidence-based approach that is tailored to the local context and seeks a system-level change is called for. This approach will be implemented through a phased design that includes learning, testing, and scaling up with constant adaptation. The following objectives collectively contribute to the activity’s intermediate and long-term outcomes.

The timing for the objectives suggested in this SOW overlaps in order to give the offerors flexibility in planning their approach with year 3 serving as a learning and transitional year.

OBJECTIVE 1 (years 1-3): Develop, test, and evaluate public participation action plans in five pilot municipalities.

A. The contractor must select at least five pilot municipalities selected based on multiple criteria.

The contractor must conduct an action-oriented assessment of the public participation barriers and facilitators in the pilot municipalities. Use of systems mapping and analysis methods and participatory approaches in conducting the assessment is expected. The assessment must at a minimum result in the analysis of:

I. Key barriers and facilitators that affect the public participation practices in pilot municipalities.

Barriers and facilitators may include but are not limited to the following individual, social, and institutional categories:

- existing or planned platforms and processes for citizen engagement,

- key existing or planned institutional, regulatory and personal incentives of various stakeholders in the government and in the community for/against public participation,

- prevailing community and public officials’ perceptions regarding the value and feasibility of citizen engagement,

- knowledge and skills of community members and public officials necessary to meaningfully engage with each other,

- main logistical/instrumental challenges that prevent community members and public officials from engaging with each other,

- champions of citizen engagement in the government or in the community with sufficient social capital,

- power distribution and information flows between key stakeholders,

- previous successful/unsuccessful high profile cases of citizen engagement (online or offline),

- legacy of previous relevant programs funded by USAID or other donors,

- other relevant contextual factors (e.g. consequences of COVID-19 pandemic or elections cycle).

Every municipality will likely have both unique facilitators/barriers as well as those shared with other locations. The former should be noted in order to develop action plans tailored to the context of the pilot municipalities.