SOL-520-12-000005.pdf

Subject: Request for Proposal (RFP) No. SOL-520-12-000005 (Referenced in

FedBizOpps as SOL-520-12-000029)

Program Name: MONITORING AND EVALUATION (M&E) PROGRAM

Date of issuance: March 7, 2012

Questions due: March 19, 2012 at 10:00 a.m. Guatemala Time

To e-mail: meprogram@usaid.gov

Proposals due date & time: Monday, April 30, 2012 at 10:00 a.m. Guatemala time

The United States Agency for International Development (USAID) El Salvador/Regional Office of Acquisition & Assistance and in conjunction with USAID/Guatemala, intends to award, subject to availability of funds, plans to award a contract to implement the Monitoring and Evaluation (M&E Program).

You are invited to submit a proposal in accordance with the requirements of the RFP. This procurement shall be conducted through full and open competition, under which any type of organization (large or small commercial [for profit] firms, educational institutions, non-profit organizations) is eligible to compete. The procedures set forth in FAR Part 15 shall apply. The Government anticipates an award of a cost plus fixed fee contract for a period of performance of two years with a three years option period. Cost proposals shall be evaluated as a part of a Best Value determination for contract award.

In lieu of a pre-proposal conference, written questions and requests for clarifications may be submitted to meprogram@usaid.gov no later than Monday, March 19, 2012. The subject line of the e-mail should read:

Request for Proposal (RFP) No. SOL-520-12-000005.

Offerors are encouraged to read the entire solicitation, which includes the closing date and time, all pertinent contract requirements, and the conditions and instructions required for submitting a proposal. Proposals shall be delivered to the following addresses: meprogram@usaid.gov and via Courier Service:

USAID/Guatemala Km. 6.5 Final Boulevard Los Próceres Santa Catarina Pinula Guatemala

Attention: Acquisition and Assistance Office

Issuance of this solicitation does not obligate the USAID to award a contract, nor will USAID pay any cost associated with the preparation or submission of proposals. Because USAID reserves the right to award a contract without discussions, initial proposals should represent an Offeror’s best proposal.

Thank you for your interest in USAID/Guatemala development programs.

David Brown Supervisory Regional Contracting Officer

1. THIS CONTRACT IS A RATED ORDER RATING PAGE OF PAGES

UNDER DPAS (15 CFR 700)

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

SEALED BID (IFB)

NEGOTIATED (RFP)

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

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

9. Sealed offers in original and ___________________ copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if handcarried, in the depository located in until local time _______________________ (Hour) (Date)

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.

A. NAME B. TELEPHONE (NO COLLECT CALLS) C. E-MAIL ADDRESS

AREA CODE NUMBER EXT.

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

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

A SOLICITATION/CONTRACT FORM I CONTRACT CLAUSES

B SUPPLIES OR SERVICES AND PRICES/COSTS PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

C DESCRIPTION/SPECS./WORK STATEMENT J LIST OF ATTACHMENTS

D PACKAGING AND MARKING PART IV - REPRESENTATIONS AND INSTRUCTIONS

E INSPECTION AND ACCEPTANCE

F DELIVERIES OR PERFORMANCE

G CONTRACT ADMINISTRATION DATA L INSTR., CONDS., AND NOTICES TO OFFERORS

H SPECIAL CONTRACT REQUIREMENTS M EVALUATION FACTORS FOR AWARD

K

REPRESENTATIONS, CERTIFICATIONS AND OTHER

STATEMENTS OF OFFERORS

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

12. In compliance with the above, the undersigned agrees, if this offer is accepted within ___ 180 days_____ calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT 10 CALENDAR DAYS (%) 20 CALENDAR DAYS (%) 30 CALENDAR DAYS (%) CALENDAR DAYS (%)

(See Section I, Clause No. 52-232-8)

14. ACKNOWLEDGEMENT OF AMENDMENTS AMENDMENT NO. DATE AMENDMENT NO. DATE

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

CODE FACILITY

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

ADDRESS

OF OFFEROR

(Type or print)

15B. TELEPHONE NUMBER 17. SIGNATURE 18. OFFER DATE

AREA CODE NUMBER EXT.

15C. CHECK IF REMITTANCE ADDRESS IS DIFFERENT FROM

ABOVE - ENTER SUCH ADDRESS IN SCHEDULE

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION: 23. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM (4 copies unless otherwise specified)

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

24. ADMINISTERED BY (If other than Item 7) 25. PAYMENT WILL BE MADE BYCODE CODE

26. NAME OF CONTRACTING OFFICER (Type or print)

Supervisory Regional Contracting Officer

27. UNITED STATES OF AMERICA 28. AWARD DATE

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

(Signature of Contracting Officer)

(REV. 9-97)

10. FOR INFORMATION CALL:

11. TABLE OF CONTENTS

STANDARD FORM 33

SOLICITATION, OFFER AND AWARD

SOLICITATION

OFFER (Must be fully completed by offeror)

AWARD (To be completed by Government)

1 N/A 156

SOL-520-12-000005

X

03/07/2012

Regional Office of Acquisition and Assistance (ROAA) USAID/El Salvador 3450 San Salvador Place Washington, DC 20521-3450

Acquisition and Assistance Office USAID/Guatemala 3190 Guatemala Place Washington DC 20521-3190

0 (zero)

10:00 a.m 04/30/2012

Fabiola Loy 502 2422-4125 x-4125 meprogram@usaid.gov

See Attached Table of Contents pages 1-3

X 1

X 5-9

X 10-41

X 42-47

X 48

X 49-59

X 60-63

X 64-80

X 81-105

X 106

X 107-118

X 119-139

X 140-144

SOL-520-12-000005 SECTION A

Table of Contents Page

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

B.2 CONTRACT TYPE

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

B.4 LINE ITEMS

B.5 INDIRECT COSTS (DEC 1997)

B.6 CEILING ON INDIRECT COST RATES

B.7 COST REIMBURSABLE

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 OBJECTIVE

C.2 BACKGROUND

C.3 OVERVIEW OF M&E SERVICE PROGRAM COVERAGE

C.4 SCOPE OF WORK

C.5 GEOGRAPHIC FOCUS

C.6 LOGISTICAL SUPPORT

C.7 TASK, INDICATORS AND EXPECTED RESULTS

C.8 OTHER USAID, USG AND DONOR COORDINATION

C.9 GRANTS UNDER CONTRACTS (GUC)

C.10 RAPID RESPONSE FUND (RRF)

C.11 ADDITIONAL DOCUMENTS AND INFORMATION

SECTION D - PACKAGING AND MARKING

D.1 BRANDING POLICY AND COMMUNICATIONS PLAN

D.2 AIDAR 752.7009 MARKING (JAN 1993)

D.3 BRANDING STRATEGY FOR SJSR PROGRAM

SECTION E - INSPECTION AND ACCEPTANCE

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

E.2 INSPECTION AND ACCEPTANCE

E.3 MONITORING AND EVALUATION PLAN

SECTION F - DELIVERIES OR PERFORMANCE

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

F.2 PERIOD OF PERFORMANCE

F.3 PLACE OF PERFORMANCE

F.4 PERFORMANCE STANDARDS

F.5 AUTHORIZED WORKWEEK

F.6 REPORTS

F.7 MONITORING AND EVALUATION

F.8 752.242-70 PERIODIC PROGRESS REPORTS

F.9 SUBMISSION REQUIREMENTS FOR DEVELOPMENT EXPERIENCE DOCUMENTS

F.10 USAID PROPERTY IN THE CUSTODY OF CONTRACTORS

SECTION G - CONTRACT ADMINISTRATION DATA

G.1 AIDAR 752.7003 DOCUMENTATION FOR PAYMENT (NOV 1998)

G.2 ADMINISTRATIVE CONTRACTING OFFICE

G.3 TECHNICAL DIRECTION

G.4 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID

G.5 PAYING OFFICE

G.6 ACCOUNTING AND APPROPRIATION DATA

G.7 CONTRACTOR’S PRIMARY POINT OF CONTACT

G.8 CONTRACTOR’S PAYMENT ADDRESS

SECTION H - SPECIAL CONTRACT REQUIREMENTS

H.1 AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND NOTIFICATION

REQUIREMENTS AND AIDAR 752.7027 PERSONNEL

H.2 AIDAR 752.7004 EMERGENCY LOCATOR INFORMATION (JUL 1997)

H.3 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES

H.4 AIDAR 752.7027 PERSONNEL (DEC 1990)

H.5 AIDAR 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS (FEB 2012)

H.6 INSURANCE AND SERVICES

H.7 AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC) SERVICES, (JUL 2007)

H.8 AUTHORIZED GEOGRAPHIC CODE

H.9 NONEXPENDABLE PROPERTY PURCHASES AND INFORMATION TECHNOLOGY RESOURCES

H.10 LOGISTIC SUPPORT

H.11 LANGUAGE REQUIREMENTS

H.12 KEY PERSONNEL

H.13 SUBCONTRACTING PLAN AND THE SF 294 – SUBCONTRACTING REPORT FOR

INDIVIDUAL CONTRACTS AND SF 295 – SUMMARY CONTRACTING REPORT

H.14 EXECUTIVE ORDER ON TERRORISM FINANCING

H.15 REPORTING OF FOREIGN TAXES (JULY 2007)

H.16 PROHIBITION AND ASSISTANCE TO DRUG TRAFFICKING

H.17 GRANTS UNDER CONTRACTS

H.18 AIDAR 752.7007 PERSONNEL COMPENSATION (JULY 2007)

H.19 CONFIDENTIALITY AND OWNERSHIP OF INTELLECTUAL PROPERTY……………

H.20 USAID DISABILITY POLICY ACQUISITION (DECEMBER 2004)……………

H.21 PERSONNEL COMPENSATION…………

H.22 TRAVEL TO GUATEMALA

H.23 USAID IMPLEMENTATION OF SECTION 508 OF THE REHABILITATION ACT OF 1973

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

TECHNOLOGY ACCESIBILITY”

H.24 MANDATORY COMPLIANCE REVIEWS

H.25 ORGANIZATIONAL CONFLICT OF INTEREST

H.26 DISCLOSURE OF REAL OR POTENTIAL CONFLICT OF INTEREST FOR USAID EVALUATIONS

H.27 TRANSITION AWARDS

H.28 CONTRACTOR’S STAFF SUPPORT, ADMINISTRATIVE AND LOGISTICS ARRANGEMENTS

AND LEGAL REGISTRATION IN THE COOPERATING COUNTRY

PART II - CONTRACT CLAUSES

SECTION I - CONTRACT CLAUSES

I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

I.2 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)

I.3 52.227-23 RIGHTS TO PROPOSAL DATA (TECHNICAL) (JUN 1987)

I.4 AIDAR 752.245-70 GOVERNMENT PROPERTY-USAID REPORTING REQUIREMENTS

I.5 52.203-8 CANCELATION, RESCISSION, AND RECOVERY OF FUNDS FOR ILLEGAL OR

IMPROPER ACTIVITY (JAN 1997)

I.6 52.203-13 CONTRACTOR CODE OF BUSINESS ETHICS AND CONDUCT (APR 2010)

I.7 8 52.204-10 REPORTING EXECUTIVE COMPENSATION AND FIRST-TIER SUBCONTRACT AWARD

I.8 52.215-14 INTEGRITY OF UNIT PRICES (OCT 2010)

I.9 52.216-7 ALLOWABLE COST AND PAYMENT (JUN 2011)

I.10 52.217-8 OPTION TO EXTEND SERVICES (NOV 1999)

I.11 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 2000)

I.12 52.222-50 COMBATING TRAFFICKING IN PERSONS (FEB 2009)

I.13 52.227-23 RIGHTS TO PROPOSAL DATA(TECHNICAL) (JUN 1987)

I.14 52.243-7 NOTIFICATION OF CHANGES (APR 1984)

I.15 52.229-8 TAXES—FOREIGN COST-REIMBURSEMENT CONTRACTS (MAR 1990)

I.16 AIDAR 752.228-3 WORKER’S COMPENSATION INSURANCE (DEFENSE BASE ACT)

I.17 AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND NOTIFICATION REQUIREMENTS

I.18 USAID MENTOR-PROTÉGÉ PROGRAM (JULY 2007)

I.19 MENTOR REQUIREMENTS AND EVALUATION (JULY 2007)

I.20 AIDAR 752.7019 PARTICIPANT TRAINING (JAN 1999)

I.21 VOLUNTARY POPULATION PLANNING ACTIVITIES (JUNE 2008)

I.22 PROHIBITION AGAINST DISCRIMINATION

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS

SECTION J - LIST OF ATTACHMENTS

PART IV - REPRESENTATIONS AND INSTRUCTIONS

SECTION K - REPRESENTATIONS, CERTIFICATIONS AND

OTHER STATEMENTS OF OFFERORS

K.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

K.2 TAXPAYER IDENTIFICATION (OCT 1998)

K.3 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (FEB 2012)

K.4 52.209-5 CERTIFICATION REGARDING RESPONSIBILITY MATTERS (APR 2010)

K.5 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FEB 1999)

K.6 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984)

K.7 52.227-15 REPRESENTATION OF LIMITED RIGHTS DATA AND RESTRICTED

COMPUTER SOFTWARE (DEC 2007)

K.8 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (OCT 2008)

K.9 52.230-7 PROPOSAL DISCLOSURE – COST ACCOUNTING PRACTICE CHANGES (APR 2005)

K.10 INSURANCE - IMMUNITY FROM TORT LIABILITY

K.11 AGREEMENT ON, OR EXCEPTIONS TO, TERMS AND CONDITIONS

K.12 AUTHORIZED NEGOTIATORS

K.13 SIGNATURE

SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE

L.2 DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (APR 2008)

L.3 52.215-1 INSTRUCTIONS TO OFFERORS- COMPETITIVE ACQUISITION (JAN 2004)

L.4 52.216-1 TYPE OF CONTRACT (APR 1984)

L.5 52.233-2 SERVICE OF PROTEST (SEP 2006)

L.6 GENERAL INSTRUCTIONS TO OFFERORS

L.7 DELIVERY INSTRUCTIONS

L.8 INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL PROPOSAL

L.9 INSTRUCTIONS FOR THE PREPARATION OF THE COST/BUSINESS PROPOSAL

SECTION M - EVALUATION FACTORS FOR AWARD

M.1 GENERAL INFORMATION

M.2 EVALUATION CRITERIA

M.3 COST PROPOSAL EVALUATION

M.4 EVALUATION OF OPTIONS

M.5 EVALUATION SYSTEM

M.6 COST PROPOSAL EVALUATION

M.7 DETERMINATION OF THE COMPETITIVE RANGE AND CONTRACT AWARD

M.8 CONTRACTING WITH SMALL BUSINESS CONCERNS AND DISADVANTAGED ENTERPRISES

M.9 BEST VALUE

ATTACHMENT J.1 – USAID FORM 1420-17 CONTRACTOR BIOGRAPHICAL DATA SHEET

ATTACHMENT J.2 – SF LLL – DISCLOSURE OF LOBBYING ACTIVITIES

ATTACHMENT J.3 – MODEL SUBCONTRACTING PLAN

ATTACHMENT J.4 – LIST OF USAID/GUATEMALA PROGRAMS

SOL-520-12-000005 SECTION B

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

The purpose of this contract is to obtain the services of a firm to set up and manage a Monitoring and Evaluation (M&E) Program to facilitate informed program management decisions of the USAID/Guatemala Economic Growth (EG) Office and other offices upon request, in particular the implementation of the Feed the Future (FTF) and Global Climate Change (GCC) initiatives.

The primary objective is to provide M&E that furnishes continued performance monitoring, verification, and impact evaluation of program results. The contractor will also monitor environmental compliance of USAID mission wide programs and activities. The contractor will provide regular periodic reviews of specific activities. The contract will also permit buy-ins from other USAID offices upon request.

B.2 CONTRACT TYPE

The Government contemplates award of a Cost Plus Fixed Fee (CPFF) completion contract resulting from this solicitation.

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

(a) Base Period of Performance: Years 1-2

(1) The estimated cost for the performance of the work required hereunder, exclusive of fixed fee, if any, is __________. The fixed fee, if any, is ________. The estimated cost plus fixed fee, if any, is __________.

(2) Within the estimated cost plus fixed fee (if any) specified in paragraph (a)(1) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the Contractor (and payment of fee, if any) for performance hereunder is __________. The Contractor shall not exceed the aforesaid obligated amount.

(b) Option Period of Performance: Years 3-5

(1) The estimated cost for the performance of the work required hereunder, exclusive of fee, if any, for the option period is __________. The fixed fee for the option period, if any, is ________. The estimated cost plus fixed fee, if any, for the option period is

(2) Within the estimated cost plus fixed fee (if any) specified in paragraph (b)(1) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the Contractor (and payment of fee, if any) for performance hereunder is $0.

The Contractor shall not exceed the aforesaid obligated amount.

(c) Funds obligated hereunder are anticipated to be sufficient through ____________.

B.4 LINE ITEMS

The Total Estimated Cost of this contract is within the following range: $13.0 Million to $16.0 Million (inclusive of base and option period). The estimated cost for the base period is $xxxx Million. The estimated cost for the option period is $xxxxx Million.

The summary budget for the base period (years 1-2) is as follows:

Direct Labor $__________ Other Direct Costs $*_________ Rapid Response Fund $**________ Indirect Costs $__________ Subcontracts $__________ Grants Fund $ ***______ Fixed Fee $__________ Total Estimated Cost plus Fixed Fee (without component 5) $__________

Component 5 $ ****_____

Total Estimated Cost plus Fixed Fee (including component 5) $__________

The summary estimated budget for the option period (years 3-5) is as follows:

Direct Labor $__________ Other Direct Costs $*_________ Rapid Response Fund $**________ Indirect Costs $__________ Subcontracts $__________ Grants Fund $ ***______ Fixed Fee $__________ Total Estimated Cost plus Fixed Fee (without component 5) $__________

Component 5 $ ****_____

Total Estimated Cost plus Fixed Fee (including component 5) $__________

The total estimated costs inclusive of Based and Option Period, if exercised, is as follows:

Direct Labor $__________ Other Direct Costs $*_________ Rapid Response Fund $ 450,000.00** Indirect Costs $__________ Subcontracts $__________ Grants Fund $2,000,000.00*** Fixed Fee $__________ Total Estimated Cost plus Fixed Fee (without component 5) $__________

Component 5 $6,000,000.00**** Of which Grants Fund $1,000,000.00

Total Estimated Cost plus Fixed Fee (including component 5) $__________

NOTE: The Contractor will not be paid any sum in excess of the ceiling price. The only person authorized to commit or obligate additional funds is the Contracting Officer. Incurrence of costs in excess of the total amount obligated based on directions received from any individual other than the Contracting Officer and without prior Contracting Officer’s approval, shall not be reimbursed to the Contractor.

LIMITATION OF FUNDS

The ceiling price of this contract is $xxxx. In accordance with FAR clause 52.232-22, funds currently obligated under this contract are limited to $xxxxx. The contractor is not authorized to incur expenses in excess of $xxxx and shall notify the Contracting Officer in writing whenever it has reason to believe that the costs it expects to incur under this contract in the next 60 days, or when added to all costs previously incurred will exceed 75% of the total obligated amount.

* OTHER DIRECT COSTS: include xxxx

**RAPID RESPONSE FUND (RRF): USAID requires that the contractor establishes a mechanism to manage and implement a Rapid Response Fund (RRF) of $450,000 of the total estimated cost of the contract to be able to respond to Government of Guatemala unanticipated requests and/or emergencies. This RRF will give USAID the flexibility to quickly and efficiently respond to problems or to design program activities to address unforeseen events but that offer high pay off within any of the components of the contract. The fund must be managed by the contractor in a separate line item. The use of these funds requires USAID, Contracting Officer’s Representative (COR) prior written approval, and shall be reported in Quarterly and Annual Performance Reports.

***GRANTS UNDER CONTRACTS: USAID expects to award sub-grants to local entities under the resulting contract of this project which shall not exceed $3,000,000, of which $1,000,000 is under Component 5. It is expected that the M&E Contractor will execute a Grants under Contract (GUC) mechanism to award individual sub-grants to further build the capacity and improve the performance of local partner organizations.

The contractor shall comply in all material respects with USAID’s Automated Directives System (ADS) Chapter 303 (including mandatory and supplementary references) in awarding and administering sub-grants, as well as the Code of Federal Regulations 22 CRF 226. In addition, contractor shall comply with requirements provided in ADS 302.3.4.8 Grants under Contracts (GUCs). Fixed Obligation Grants (FOG) with performance metrics are encouraged to develop local capacity per USAID Forward.

****COMPONENT 5

No more than $6.0 Million (of which $1Million should be set aside for subgrants) should be reserved as a single line item for the component No. 5 of the Statement of Work, Section C of this document, to support the different USAID/Guatemala technical offices: Health and Education, Democracy and Governance, and Title II-P.L. 480 Food Aid Office.

In the event the other USAID/Guatemala Offices choose to participate under the award, each Office will develop its own scope of work, budget and expected results, which will be made part of the Contract under a modification.

B.5 INDIRECT COSTS (DEC 1997)

For the Prime Contractor:

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

Description Rate Base Type Period

TBD 1/ 1/ 1/

1/Base of Application:

Type of Rate: Predetermined Period:

For Major Subcontractor(s):

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

Description Rate Base Type Period

TBD 1/ 1/ 1/

1/Base of Application:

Type of Rate: Predetermined Period:

“Major Subcontractors” are those subcontractors whose proposed cost exceeds $1,000,000. .

B.6 CEILING ON INDIRECT COSTS

For the Prime Contractor:

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

Description Rate Base Type Period

TBD 1/ 1/ 1/

1/Base of Application:

Type of Rate: Predetermined

(2) 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 with the lower rates.

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

For the Major Subcontractor(s):

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

Description Rate Base Type Period

TBD 1/ 1/ 1/

1/Base of Application:

Type of Rate: Predetermined

(5) 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 with the lower rates.

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

B.7 COST REIMBURSABLE

The U.S. dollar costs allowable shall 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, if applicable, and AIDAR 752.7003, Documentation for Payment.

[END OF SECTION B]

SOL-520-12-000005 SECTION C

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

Monitoring and Evaluation (M&E) Program

C.1 OBJECTIVE

The M&E Program will support the USAID/Guatemala Economic Growth Office (EGO) management providing the necessary information to facilitate informed program management decisions to improve the effectiveness of development assistance EGO interventions, as well as to shape the longer-term strategic direction and decision making, in particular the implementation of the Feed the Future (FTF) and Global Climate Change (GCC) initiatives.

The primary objective is to develop a Monitoring and Evaluation (M&E) mechanism that provides continued performance monitoring, verification, and impact evaluation of program results, including environmental compliance. The contractor should also provide regular periodic reviews of specific activities, as requested by USAID/EGO and should also allow for buy-in of its services from other USAID/Guatemala offices upon request. Offerors are encouraged to familiarize themselves with the RFP and the five components and be innovative by considering creating partnerships with local organizations to implement the activities within the M&E Program and obtain desired results.

The five project components will include the following:

1. Develop statistical tools for baseline, mid- and final-term data collection

2. Local capacity development of Guatemalan institutions for monitoring and evaluation, including data collection of national and sub-national indicators

3. Clearinghouse for monitoring and evaluation developed and implemented (e.g., Management Information System, Geographic Information Systems, Mission-wide environmental compliance, and other M&E services)

4. Impact and performance evaluations, cost-benefit analysis and assessments conducted and results reported

5. A flexible component for conducting monitoring and evaluation services for other technical offices upon request.

The contract is for monitoring and evaluation that supports the USAID/Guatemala Economic Growth Office (EGO). The M&E program will also coordinate M&E activities with those of other USAID/Guatemala Mission offices, e.g., Health and Education, Democracy and Governance, Title II-P.L. 480 Food Aid – and programs of other USG agencies and donors, in particular USDA, Peace Corps, and the European Union (EU) that also contribute to FTF objectives in Guatemala. The contract should be sufficiently flexible in its design in order to permit buy-in from other USAID offices for monitoring and evaluation activities upon request if they choose to participate in the contract.

SECTION C.2 BACKGROUND

There are two Presidential Initiatives in the office – the Feed the Future Initiative (FTF) and Global Climate Change (GCC), including the Low Emissions Development Strategy (LEDS).

This program description will depict FTF in greater detail as it is further advanced, while GCC is in the early stages of program development. The contractor will provide M&E services for both initiatives, plus other programs that are managed by the EGO.

Country Context Guatemala has one of the highest national levels of chronic malnutrition (49.8%)1 in the Western Hemisphere and one of the highest in the world. Guatemala is also one of the top most vulnerable countries to climate change in the world2. USAID/Guatemala is leading a USG-wide Feed the Future (FTF) Initiative3 to support the Government of Guatemala efforts in reducing poverty and chronic malnutrition, through agriculture-led rural development and nutrition as an engine for broader economic growth and increase food security.

The GOG Food Security Law aimed at achieving nation-wide food security established a national system for food security (SINASAN), a National Food Security Council (CONASAN), and a Secretariat for National Food Security and Nutrition (SESAN) to coordinate implementation of the government-wide Strategic Plan for National Food Security and Nutrition (PESAN). The structure also established a mechanism for coordination with civil society, private sector, and universities, etc. (INCOPAS). The food security sectorial table, MESAN, was established to coordinate between donors and the government.

The National Food and Nutritional Security Strategy (PESAN) 2009-2012 has five components4 : (1) Food Availability, (2) Food Accessibility, (3) Food Consumption, (4) Food Utilization, and (6) Program Coordination. CONASAN, headed by the Vice-President, made the decision in August 2010 to modify PESAN to include: (1) a territorial focus for food security and (2) to incorporate climate change. SESAN then began the development of a Western Highlands Food Security Plan (PLANOCC) based in diagnostics and evidence-based analysis. PLANOCC focuses on the departments in the Western Highlands, which have the highest levels of chronic malnutrition and poverty in Guatemala (San Marcos, Huehuetenango, El Quiche, Totonicapán, Quetzaltenango, and Sololá).

In the area of environment and natural resources, the Ministry of Environment (MARN), the National Council of Protected Areas (CONAP), and the National Tourism Institute (INGUAT) are important stakeholders. Guatemala is ranked as one of the world’s top 19 hot spots for biodiversity.5 The largest forested area in Mesoamerica is found here as well as the second largest contiguous forest in the Americas after the Amazon. However, since 1950, 60% of this

1 The National Maternal and Child Health Survey (2009), Percentage of children between the ages of 3 to 59 months, with chronic malnutrition (height-for-age) using the new World Health Organization standards. Using previous NCHS/CDC standards this figure would be 43.4%.

2 Global assessment report on disaster risk reduction (2009), United Nations International Strategy for Disaster Reduction

(UNISDR)

3 At the G-8 Summit in L’Aquila, Italy in July 2009, global leaders committed to “act with the scale and urgency needed to achieve sustainable global food security” and called for increased investment in agriculture and rural development to attain broader economic growth, prosperity and stability. The summit brought a new common approach, summarized in the five Rome Principles. Feed the Future (FTF), is the U.S. government’s global hunger and food security initiative, in response to the L’Aquila Joint Statement on Global Food Security. The Rome Principles established at L’Aquila are the same principles that guide the FTF strategy3: (1) Adopt a comprehensive approach to food security that focuses on advancing agriculture-led growth, reducing under-nutrition, and increasing the impact of humanitarian food assistance; (2) Invest in country-led plans; (3) Strengthen strategic coordination–globally, regionally, and locally; (4) Leverage the benefits of multilateral institutions; and (5) Deliver on a sustained and accountable commitment.

4 See PLAN ESTRATÉGICO DE SEGURIDAD ALIMENTARIA Y NUTRICIONAL PESAN 2009�2012.

5 10th Conference of the United Nations Convention of Biological Diversity (2010) forest has been lost and Guatemala is now ranked as one of the top three countries in the world most vulnerable to natural disasters. Guatemala’s biodiversity and cultural heritage hold great promise for the country’s development, but the rapid population growth rate and growing markets put tremendous pressure on natural and cultural resources. The largest source of carbon emissions in Guatemala comes from deforestation, land degradation, and conversion of forestry land to plantation and cattle farms. Guatemala has a National Climate Change Policy (December 2009)6 and important steps have been taken toward the development of a “National Strategy for the Reduction of Deforestation” (ENRD) for the implementation of REDD+ (Reducing Emissions from Deforestation and Degradation) in Guatemala. Despite the strong conservation agenda articulated by the GOG, weak governance precludes successful conservation efforts, particularly in the Petén (including the Maya Biosphere Reserve) and in the Verapaces. The involvement of local communities, such as the community forestry concessions, in sustainable management of natural resources and biodiversity conservation are vital to long-term development. Key donors in the area of the environment include the IDB, GIZ, and Spain.

USAID Strategic Context:

USAID/Guatemala is in the process of developing its new five-year Country Development Cooperation Strategy (CDCS) FY 2012-2016. Food security and global climate change are key components of the strategy.

The Mission developed a Feed the Future Multi-Year Strategy, which is part of CDCS Development Objective 2 “Improved levels of Economic Growth and Social Development in the Western Highlands”. The strategic approach is outlined in the Feed the Future website at:

www.feedthefuture.gov. USAID will concentrate its support upon the GOG’s sub-national Western Highlands Food Security Plan (PLANOCC) with a focus on food “access” and “utilization”. Mapping exercises show that this is the region where poverty and malnutrition is highest and where agricultural potential also exists. USAID will focus on inclusive agriculture sector growth (i.e., small-scale producers involved in horticulture and coffee value chains;

preventing and treating under-nutrition; and strengthening municipal governments to ensure services provision and sustainability of its programmatic interventions. Some key considerations include: the integration of agriculture and nutrition, transition and graduation from food assistance programs to productive value chains, and maintaining a strong focus on the indigenous population and on women in the target region. The USG seeks to implement its FTF Initiative with a “whole-of-government” approach that integrates the program resources of all USAID offices (Economic Growth, Health and Education, Democracy and Governance, and the Food Aid Unit) and USG agencies operating in Guatemala. USAID proposes a continuum of support from P.L. 480 Title II and USDA food assistance, nutrition, and value chains. The Peace Corps also plays an important role with the presence of volunteers at the community-level. US Embassy POL/ECON supports the diplomatic policy agenda.

Guatemala is a pilot country for joint US-EU cooperation on food security. In 2009 the EU committed 33.8 million Euros in budgetary support to the GOG for the implementation of the National Food and Nutritional Security Strategy (PESAN), through the “Apoyo a la Politica de

6 http://www.marn.gob.gt/sub/portal_cambio_climatico/docs/politica_cc.pdf

Seguridad Alimentaria” (APSAN) project7. Under this project the EU provides funds to the Ministries involved in the PESAN implementation, in particular the Ministry of Agriculture (MAGA), Ministry of Health, Ministry of Education, and Ministry of Economy/National Institute of Statistics-INE (in the case of INE funds are for collection of data required to measure indicators related with food security). An integrated and coordinated USG-EU approach to supporting and monitoring PESAN/PLANOCC and establishing baselines and targets (such as in chronic malnutrition in targeted departments) is essential, given mutually shared objectives.

The Global Climate Change USG Presidential initiative is the other important component in the USAID/Economic Growth office programs, which is incorporated in CDCS Development Objective 3 “Improved Sustainable Management and Conservation of Natural Resources to Mitigate Impact of Global Climate Change”. This initiative takes a three-pronged approach in:

(1) sustainable landscapes (e.g., Reducing Emissions from Deforestation and Degradation, REDD+ by fostering the protection of critical landscapes and helping nations become ready to enter existing and future carbon credit markets), (2) clean energy, and (3) adaptation to climate change. USAID/Guatemala focuses on sustainable landscapes and adaptation (not clean energy) in order to improve the “sustainable management of forest and other natural resources” through supporting market-driven conservation strategies, reducing the vulnerability to the effects of climate change and strengthening environmental governance. Guatemala’s biodiversity and cultural heritage holds great promise for the country’s development through tourism, carbon sequestration credits, environmental service payments and other investments.

The USG has identified Guatemala as one of 20 Low Emissions Development Strategy (LEDS) countries as part of the Global Climate Change Initiative. .

Monitoring and Evaluation Context USAID Forward incorporates monitoring and evaluation as a major focus for Agency reforms to improve accountability and learning. The new Agency-wide Evaluation Policy mandates for rigorous measurement of the performance and impact of USAID programs and projects interventions (including the use of experimental methods).8 For each project, consideration will be given during its design phase to performance evaluation and, in some cases, the impact evaluations that will be undertaken. This is part of the Performance Management Plan (PMP).

At least one impact evaluation will be identified for each Development Objective. When a project is initiated baseline data will be collected for performance and impact evaluation.

Impact indicators should be included taking into account the impact question(s). Evaluations will use methods that generate the highest quality and most credible evidence that corresponds to the questions being addressed. The M&E Program will draw on this guidance in conducting impact evaluations of the USAID programs, in particular those related with FTF and GCC Initiatives, in coordination with other ongoing impact and performance evaluation efforts being undertaking by the Office of Health and Education. The USAID/Guatemala M&E Program will also seek to build M&E local capacity.

7 In April 2011, the EU increased the amount for this project from 33.8 million to 40.3 million Euros.

8 See http://www.usaid.gov/evaluation for access to a copy of USAID Evaluation Policy January 2011 and M&E guidelines.

Regarding Feed the Future initiative, M&E is a key focus in line with the USAID reforms to improve the impacts measurement. A wealth of information can be found at:

http://www.feedthefuture.gov/monitoringevaluation.html. Feed the Future has a standard Results Framework (RF) for Monitoring and Evaluation. The general RF outlines the goal of sustainably reducing poverty and hunger, the key objectives of inclusive agricultural sector growth and improved nutritional status, and includes standardized performance indicators to track progress toward desired results. There is a FTF Handbook of Indicators on the FTF website. The establishment of baselines and targets with standard indicators, impact evaluations, local human and institutional capacity building, and knowledge sharing are priorities. USAID/Guatemala has adapted results and indicators below the FTF RF key objectives to create a country-specific RF to assist in designing programs in support of the Guatemala FTF multi-year strategy. The FTF Results Framework and Multi-year strategy are main components on which the M&E Program will conduct much of its activities9. The USAID Bureau for Food Security (BFS) is setting up a global online M&E database for centralized data remote entry and management of country-level FTF performance indicator measures. Through the M&E Program, USAID Guatemala expects to use the BFS database for its FTF Initiative tracking and reporting along with other USAID and implementing partner M&E data management components (e.g., Poverty Assessment Tool as explained in the next paragraphs), as appropriate, to form one integrated tracking and reporting system for FTF related Mission programs and projects.

Assessing FTF Initiative performance in Guatemala is a challenge since the aim is to measure the combined efforts of USAID and other USG agencies’ programs. The Mission also seeks to draw as extensively as possible on official GOG statistical resources as well as build GOG capacity for sustainable on-going monitoring and reporting of food security and poverty conditions in the country. SESAN has an M&E Unit and the Guatemalan Ministries of Agriculture, Health, Economy, and National Statistical Institute periodically collect official statistics through an agriculture census (ENA), maternal and infant health surveys (ENSMI), household expenditure surveys (ENCOVI) and the new population 2012 census that can form the basis for on-going monitoring system efforts.

USAID has invested in several instruments for measuring the impact of its programs. One of these is the “Poverty Assessment Tool”10 developed by the IRIS Center, University of Maryland to assess poverty levels of beneficiaries in USAID-sponsored programs, in particular micro-enterprise development programs. Guatemala was selected as a country to implement field tests analyzing national datasets to identify the best indicators of poverty in order to develop a PAT. This data yielded sets of indicators for poverty assessment that were field-tested by microenterprise practitioners, and the PAT has been successfully applied for the last 4 years by the microenterprise programs under PL480 Title II food security assistance. Such tool holds promise for tracking the impact of Feed the Future, which has a major goal of reducing poverty for improving access to food by increasing beneficiary incomes and purchasing power.

Working with the University of Maryland IRIS Center, FTF will develop a new or updated Poverty Assessment Tool (PAT) for each FTF country. Each PAT is country specific because

9 See Guatemalan Feed the Future Multi-Year Strategy (MYS), including Result Framework at:

http://www.usaid.gov/gt/docs/feed_future_mys.pdf 10 For more information see: www.povertytools.org the model variables that end up being significant in one are not likely to be the same in every country. In the case of Guatemala there is an advantage that the tool is already developed and it will only need some updates, if any. Also, some of the USAID/Guatemala partners have the capacity to collect, monitor, analyze and report the information. PAT has been extensively documented in Spanish and English through guidelines and methodology developed for the country.

USAID/Guatemala’s implementing partners have developed a range of approaches to tracking indicators they are required to measure and use to report the performance and impact of their interventions. These approaches range across the Mission’s sector programs, including health, education, as well as economic growth, offering many features that could prove useful to the EG Office in developing a system for tracking its programs and projects.

USAID/Guatemala also is developing a program to implement the USAID Global Climate Change initiative. EGAT has developed a series of standard Climate Change indicators11 including standard definitions. 12 The M&E Program will also support the Economic Growth Office in identifying and selecting appropriate indicators for monitoring this initiative and developing the best methodologies for evaluating the performance and impact of the GCC Initiative implementation. Combined the FTF and GCC/LEDS Initiatives comprise a major part of the USAID/Guatemala 2012-2016 Country Development Cooperation Strategy (CDCS), within the economic growth and social development objective.

C.3 OVERVIEW OF M&E SERVICE PROGRAM COVERAGE

The contractor shall coordinate the performance monitoring of EGO13 programs and evaluate their performance and impact at the beneficiary and community level in all regions of Guatemala – but with special focus on the five Western Highlands departments of Quetzaltenango, Huehuetenango, San Marcos, Totonicapan and Quiche - where FTF projects and activities are implemented and in targeted regions of GCC programs, such as the Maya Biosphere Reserve in the Departments of Peten and Baja and Alta Verapaz. Also, the M&E contractor shall track poverty (income levels) malnutrition and other key indicators at the sub-national (e.g. PLANOCC) and national levels to be able to conduct impact evaluations of the implementation of those initiatives.

Although the focus will be on Feed the Future and Global Climate Change programs in the EGO/USAID, it is important to note that the Feed the Future Initiative is a USG whole-of-government initiative that integrates program resources across USAID offices and USG agencies. All USG agencies have agreed to the geographic focus of the five departments of the Western Highlands around which the FTF programs will be oriented in order to achieve a targeted, scaled-up impact on chronic malnutrition and poverty. The FTF is also integrated into country-led efforts involving the Government of Guatemala (GOG), other donors, private sector, and civil society. Measuring, tracking, and monitoring country-level progress toward

11 For instance, required GCC indicators include: ”number of people with increased capacity to adapt to impacts of climate variability and change as a result of USG assistance” and “quantity of greenhouse gas emissions measured in metric tons of CO2 equivalent, reduced or sequestered as a result of USG assistance.”

12 See: http://www.usaid.gov/our_work/environment/climate/docs/GCC_Handbook_of_GCC_definitions.pdf 13 With flexibility to provide M&E services to other USAID/Guatemala offices, as requested.

Feed the Future under the GOG Sub-National Western Highlands Food Security Plan, PLANOCC14 will be key.

To carry out M&E objectives, the contractor shall operate in and support activities of three-related areas:

1. M&E of USAID/Guatemala Economic Growth Office (EGO) programs, particularly those related with Feed the Future and Global Climate Change initiatives. The contractor will report to EGO, which is the office that will manage M&E services for its program portfolio, such as Rural Value Chains that addresses food security access and utilization, Policy Regulatory Support, Economic Observatory, Development Credit Authority (DCA) agreements, Environment project and other EGO projects. Current agriculture and environmental value chain partners include ANACAFE for coffee, AGEXPORT and Mercy Corps/Walmart Alliance for horticulture, Counterpart International for sustainable tourism and handicrafts, and Rainforest Alliance for sustainable forestry. The Feed the Future Initiative is managed out of the EGO and focuses in five departments of the Western Highlands. The U.S. Government is also launching a Low Emissions Development Strategy (LEDS) as part of the Global Climate Change (GCC) Initiative, that includes Guatemala as one of the countries receiving USG support for implementing a LEDS. The M&E Program will support USAID/Guatemala Mission and implementing partners M&E activities under both these initiatives starting with the FTF Initiative for which there is a current multi-year strategy in place and then the GCC/LEDS initiative. Note: Feed the Future standard indicators summary chart and handbook can be found at the following web page: http://www.feedthefuture.gov/monitoringevaluation.html

2. Measuring “Whole-of-government” progress: Other USAID offices & USG agencies

a. Other USAID/Guatemala Offices: The Economic Growth office manages most, but not all, USAID/Guatemala mission contracts and grants that support the Feed the Future initiative in Guatemala. Other USAID FTF-related programs are managed by the different technical offices, including:

The Office of Health and Education (HEO) supports FTF Initiative directly to achieve one of the main goals of reducing malnutrition rates and Global Health Initiative (GHI) through activities that increase the availability of health services, promote nutritional and hygiene practices, monitor weight gain and promote growth in children under two years of age through such activities as maternal nutrition during pregnancy/lactation, behavior change, micronutrient fortification; and improved hygiene habits. Related projects include FANTA, the Health Care Improvement Project, and C-Change.

14 PLANOCC geographic focus covers the six Western Highlands Departments (the five FTF Departments – Quetzaltenango, Huehuetenango, San M arcos, Quiche and Totonicapán– plus Sololá).

The Office of Democracy and Governance (DGO) supports the implementation of FTF through technical assistance to improve local governance. The DGO manages a municipal development and decentralization project aimed at both promoting local economic development and strengthening community service delivery including potable water and sanitation; this program will contribute to poverty reduction and improved health and nutrition in some of the municipalities identified in the FTF geographic focus in the Western Highlands.

The PL 480 Title II Food Security Program is implemented in areas with the highest rates of chronic malnutrition (baseline data shows a 68.5 percent of chronic malnutrition in children < 5 years in targeted areas). The Program addresses food utilization, access, and availability in vulnerable communities through activities that integrate health and nutrition, agriculture and sustainable environmental practices, animal husbandry, micro enterprise and improved local governance. A family ration of commodities is distributed to program participants as incentive to participate in the productive components. The current implementing partners of the programs include: Catholic Relief Services, Save the Children, SHARE/Guatemala and Mercy Corps. These partners work in six departments (Chimaltenango, Huehuetenango, San Marcos, Quiche, Alta and Baja Verapaz), of which 3 are in the FTF geographic focus in Western Highlands (Huehuetenango, San Marcos and Quiche). The current six-year cycle of the PL 480 Title II regular program concludes in June 2012. A new round of Multi Year Assistance Programs (MYAPs) will be awarded in June 2012. This new cycle will focus on the selected Western Highland Departments in order to integrate activities with FtF and GHI.

b. Other USG Agencies in Guatemala. USAID/Guatemala is sustaining a ‘whole of government’ approach to implementing the FTF Initiative to assure the maximum and most cost-effective impact of USG resources. The Political and Economic (POL/ECON) office of the U.S. Embassy is involved in the diplomatic strategy while other USG agencies will be working in the same five Western Highlands Departments where FTF is focusing, for example:

The U.S. Department of Agriculture (USDA) has a Food for Progress program that supports research, agriculture technology transfer, and market linkages for communities in the Highlands and South Coast, in partnership with the Universidad del Valle; the McGovern-Dole International Food for Education and Child Nutrition Program carried out by Project Concern International and SHARE Guatemala that targets school feeding programs to reduce desertion, and the USDA Animal and Plant Health and Inspection Service (APHIS) which supports Ministry of Agriculture on surveillance of animal and plant…