RFI_-_SOL-520-14-000011.pdf

REQUEST FOR INFORMATION

Subject: Request for Information (RFI) No. SOL-520-14-000011

Activity Name: BUILDING SUSTAINABLE SYSTEMS

Date of issuance: August 4, 2014

Response due: Tuesday, September 30, 2014 at 5 pm, Guatemala time

To e-mail: guatemalaproposals@usaid.gov

This is a Request for Information. This is not a Request for Proposals (RFP) and is not to be construed as a commitment by the U.S. Government to issue any solicitation or ultimately award a contract on the basis of this RFI, or to pay for any information submitted as a result of this request. If a solicitation is released it will be synopsized in www.fbo.gov. It is the potential offeror's responsibility to monitor this site for the release of any solicitation or synopsis. It should be noted that responding to this RFI will not give any advantage to any firm or organization in the subsequent procurement. Responses will be held confidential. Proprietary information should not be sent.

This Request for Information (RFI) intends to obtain information about interests, capabilities, and market information related to the enclosed draft Statement of Work (attachment No. 1) entitled “Building Sustainable Systems” in order to inform the design of a future mechanism to provide these services to USAID/Guatemala. This RFI is open for comments from any interested U.S. and Non‐U.S. organizations.

Responses should be sent using the form included as the attachment No.2 to this RFI. The information USAID/Guatemala is seeking from the public for the RFI is below:

1. Statement of interest and capability in working on the areas included in the Draft Statement of Work.

2. Comments on Draft Statement of Work To assist in the efficiency of this process, please consider the following in preparing your input:

Please ensure comments are concise and specific to information included within the draft Statement of Work; and

Please ensure submitted comments make specific reference to page and section numbers.

This RFI will be open from the date of release through September 30, 2014 at 5:00 PM (Guatemala time). Please send all responses to this RFI via email to guatemalaproposals@usaid.gov

Questions regarding this announcement must be submitted in writing by e‐mail to guatemalaproposals@usaid.gov. Verbal questions will NOT be accepted.

RFI No. SOL‐520‐14‐000011 Attachment No. 1

DRAFT STATEMENT OF WORK

Building Sustainable Systems

C.1 OBJECTIVE

The purpose of this Statement of Work (SOW) is to strengthen local organizations to build appropriate operational systems, to strengthen their capabilities and to overcome weaknesses that might be obstacles in receiving donor funds or being sustainable; in so doing it is necessary to follow the “Promote sustainable development through high-impact partnerships and local solutions” section of the Agency’s agenda for institutional renewal, known as USAID Forward.

One of our main objectives is to strengthen local institutional capabilities in financial management systems, if needed, and support sustainability and competitiveness to receive future donor funds beyond USAID.

To facilitate partnering with local organizations, USAID/GUATEMALA may finance technical assistance to selected local organizations to strengthen them in the following areas:

A. Pre-award Surveys B. Developing, writing, and submitting proposals/applications for donor/Government of Guatemala (GOG) funding consideration, strategic planning, sustainability, income generation and fund raising C. Financial Management Systems D. Monitoring and Evaluation

C.2 BACKGROUND

The United States Agency for International Development (USAID) has embarked on an ambitious reform effort, USAID FORWARD, to change the way the Agency does business –with new partnerships, an emphasis on innovation, and a relentless focus on results. It gives USAID the opportunity to unleash its full potential to achieve high-impact development.

USAID FORWARD is a comprehensive package of reforms in several key areas, one of which is “Promote sustainable development through high-impact partnerships and local solutions”. USAID is changing its business processes –contracting with and providing grants to more and varied local partners, and creating true partnerships to create the conditions where aid is no longer necessary in the countries where the Agency works. To achieve this, USAID is streamlining its processes, increasing the use of small businesses, building metrics into its implementation agreements to achieve capacity building objectives, and using host country systems where it makes sense (http://www.usaid.gov/results-and-data/progress-data/usaid-forward).

USAID is committed to invest in sustainability, nurturing lasting institutions, systems, and capacities in host countries, as is Guatemala. USAID/Guatemala is working with more local organizations to improve their capacity, build new effective and long-term partnerships, and reduce the need for foreign aid over time. By building capacity, increased partnerships with the private sector, civil society, and foreign governments will produce long-term sustainable outcomes and spur investment and growth while improving transparency and accountability.

USAID/Guatemala’s efforts may also include host country organizations as deemed necessary.

USAID/Guatemala’s approved a five-year Country Development and Cooperation Strategy (CDCS) that includes the implementation of the following projects under the respective Development Objectives (DOs) and Intermediate Results (IRs):

Citizen Security Project: DO1: Greater Security and Justice for Citizens

Agriculture Project: DO2, IR1: Broad Based Economic Growth and Food Security Improved

Health and Nutrition Project: DO2, IR2: Access to and Use of Sustainable Quality Health Care and Nutrition Services Expanded

Education Project: DO2, IR3: Education Quality Access Improved

Environment Project: DO3: Improved Management of Natural Resources to Mitigate Impacts of Global Climate Change.

Offerors can find more information on the current USAID Guatemala strategy at:

http://www.usaid.gov/sites/default/files/documents/1862/GuatemalaCDCS.pdf

USAID/Guatemala also works on the following activities:

Regional HIV/AID Project

PL 480 Food Security Project

Throughout the strategy, USAID/Guatemala is looking at opportunities to work with and through local organizations.

The Citizen Security Project under DO1 will work extensively with Civil Service Organizations, with a focus on Capacity Building and Sustainability. To build an integrated approach, DO2, IR1 includes working with and building the capacity and sustainability of local organizations. And, although the main focus of DO2, IR2 and IR3 is working with the Ministries of Health and Education, they may also partner with local organizations in specific areas.

USAID/Guatemala requires the services of, and is contemplating the possibility of signing Blanket Purchase Agreements (BPA) with, Guatemalan firms to address the areas outlined above.

The Mission has set a goal of working with eight new local organizations by 2015, or an average of two new local organizations per year, but it may increase the number to more than 20.

C.3 DEFINITION OF DIFFERENT TYPES OF SERVICES

The following are the different types of services that will be provided by the firms under the BPA:

C.3.1 PRE-AWARD SURVEYS

For assignments of this nature, the contractor shall render an opinion on whether the potential recipient has adequate capacity in the six areas identified above: developing, writing, and presenting proposals; strategic planning; income generation; fund raising; financial management systems; monitoring and evaluation; and the capability to receive, account for and manage U. S. Government funds in accordance with U. S. Government regulations.

The contractor shall provide recommendations for improvement, including a work plan and timetable for all the activities that the client organization needs to conduct in order to improve its systems and obtain the certification that its financial management system is adequate and capable to manage U. S. Government funds. The contractor shall indicate whether the client organization has in-house capabilities to implement the recommended actions or whether the organization needs outside technical assistance to implement them.

The contractor’s opinion must be adequately documented and supported. USAID reserves the right to review the working papers to ensure that the assessment was properly performed (See USAID’s Automated Directive System (ADS) 303.3.1 at hhttp://www.usaid.gov/ads/policy/300/303mab ; http://transition.usaid.gov/policy/ads/300/350.pdf.

Detailed statement of work for pre-award surveys is provided as Annex 1.

C.3.2 TECHNICAL ASSISTANCE FOR THE PREPARATION AND SUBMISSION OF PROPOSALS, STRATEGIC

PLANNING, FINANCIAL SUSTAINABILITY, INCOME GENERATION, AND FUND RAISING

For assignments of this nature, the contractor shall evaluate the competencies of the organization’s staff in these areas, and provide to the organization the necessary technical assistance to strengthen the organizational structure, policies, procedures, and practices and the necessary training to designated organization staff, with the purpose of increasing the organization’s sustainability potential. See “GUIDE TO USAID'S ASSISTANCE APPLICATION PROCESS AND TO SUBMITTING UNSOLICITED ASSISTANCE APPLICATIONS” in ADS 303.3.5.5 at http://transition.usaid.gov/policy/ads/300/30354s1.pdf and strengthen the organization’s capacity in strategic planning and sustainability at http://www.usaid.gov/results-and-data/progress-data/usaid-forward).

Detailed statement of work for this technical assistance is provided as Annex 2.

C.3.3. STRENGTHENING [CLIENT ORGANIZATION]’S FINANCIAL MANAGEMENT SYSTEM

For assignments under this nature, the contractor shall perform an assessment of the organization, in light of ADS 303, 22 CFR 226, OMB Circulars A-110, A-122, A-21, and Mandatory Standard Provisions for Non-U. S. Non-Profit Organizations; determine all the areas that need strengthening; and provide technical assistance to strengthen the organizational structure, policies, procedures, practices, and staff training to ensure the organization’s compliance with U. S. Government regulations.

Detailed statement of work for strengthening financial management systems is provided as Annex 3.

C.3.4 STRENGTHENING [CLIENT ORGANIZATION]’S MONITORING AND EVALUATION CAPACITY

“[T]he discipline of development demands a strong practice and use of evaluation as a crucial tool to inform our global development efforts and to enable us to make hard choices based on the best available evidence."

- USAID Administrator Rajiv Shah

With the release of the Evaluation Policy in January 2011, USAID made an ambitious commitment to quality program evaluation - the systematic collection and analysis of information and evidence about program performance and impact. USAID uses evaluation findings to inform decisions, improve program effectiveness, be accountable to stakeholders, and support organizational learning.

Strengthening evaluation and transparency are part of the USAID Forward reform agenda.

USAID is strengthening its core capacity to achieve more meaningful development results while increasing its efficiency. This effort includes creating new monitoring and evaluation systems.

USAID/Guatemala submits an Annual Performance and Plan Report encompassing the results achieved. In order to gather all the necessary information, USAID follows a structured reporting system from activities through Projects, to Development Objectives by country, for results that are reported to Washington and to the public. In order to ensure the quality of the data that is included in the reporting system, each Development Objective in USAID/Guatemala will invest in strengthening selected local organization’s performance monitoring capacity.

The objective of this component is to strengthen partner organizations’ performance-monitoring capacity.

Detailed statement of work for strengthening monitoring and evaluation capacity is provided as Annex 4.

C.4 Preclusion In accordance with FAR Subpart 9.5 and Contract Information Bulletin (CIB) 99-17, firms providing pre-award services under this instrument may be precluded from providing auditing and/or other consulting services to the same [client organization]. However, if in the best interest of strengthening the client organization, the same firm that made the evaluation may be asked to provide the technical assistance. This will be at the discretion of the Contracting Officer.

C.5 Deliverables In addition to the technical assistance to be provided to the client organizations, contractors will be required to provide specific deliverables such as work plans, progress reports, final reports and presentations. Depending on the activity and complexity of the assistance, additional deliverables may be required.

Annex 1

Background The U. S. Agency for International Development , mission to Guatemala (USAID\Guatemala), is proposing to fund the [activity name], which would provide [amount in U.S. Dollars] in funds to [name of recipient] over [time period] for [describe in general terms the purposes of the activity] and [the principal line items and amounts budgeted, including cost sharing, leverage, and all related financial information of the project, as applicable].

Preclusion

In accordance with FAR Subpart 9.5 and Contract Information Bulletin (CIB) 99-17, firms providing consulting services under this instrument may be precluded from providing auditing and/or other consulting services to the same [client organization]. However, if it is in the best interest of strengthening the client organization, the same firm that made the evaluation may be asked to provide the technical assistance. This will be at the discretion of the Contracting Officer.

I. Title Pre-Award Survey of [client organization].

II. Objectives The objective of this pre-award survey is to determine if [client organization] has adequate capacity in the following areas to properly manage, and account for USAID funds and to carry out its mandate or purpose in an effective, efficient, economic, and transparent manner.

III. Information and Guidance Prior to the initiation of work, the Contractor shall become thoroughly familiar with the following:

A. The client organization’s legal framework; governance; organizational structure; administrative-financial, procurement, human resources, travel, property and inventory systems in place; management and internal-external controls; staffing levels-capabilities; reorganization plans if any; budget levels, and process for budget development, control and reporting, etc.

B. The client organization’s systems, manual, policies, guidelines, instructions, procedures, format, etc.

C. The competencies and training of the staff.

D. Internal and external audits, past and in process, by the client organization’s internal auditors, private audit firms, and donor organizations.

E. Any prior or existing agreements between the client organization and USAID/Guatemala as applicable.

F. The sub-agreements between the client organization and other implementing entities, as applicable.

G. USAID Automated Directive System (ADS) as applicable.

H. Applicable U.S. Government regulations (OMB Circular A-110, A-122, A-21, A133, 22CFR226, Mandatory

Standard Provisions for Non-U. S. Non-Profit Organizations, AAPD 04-16, etc.)

http://www.gpo.gov/fdsys/pkg/CFR-2011-title22-vol1/xml/CFR-2011-title22-vol1-part226.xml#seqnum226.25 , http://www.whitehouse.gov/omb/circulars_a110, http://www.whitehouse.gov/omb/circulars_a122_2004;

http://www.usaid.gov/work-usaid/aapds-cibs/aapd04-16.

I. Participant Training ADS 253 (see http://www.usaid.gov/ads/policy/200/253) J. ADS 522 – Performance of Temporary Duty Travel in the U.S. and Abroad (see http://www.usaid.gov/who-we-are/agency-policy/series-500 ).

K. USAID Forward Reform Agenda L. USAID’s Automated Directives System Chapter 203, Assessing and Learning.

M. USAID/Guatemala Country Development and Cooperation Strategy (which includes USAID/Guatemala’s

Results Framework) at http://www.usaid.gov/gsearch/CDCS N. USAID/Guatemala Performance Monitoring Plan O. Data Quality Standards: ADS 203.3.5 Monitoring Activities.

P. Program Evaluation at http://www.usaid.gov/results-and-data/information-resources/program-evaluations.

Q. Financial Audits of USAID Contractors, Recipients, and Host Government Entities at Error! Hyperlink reference not valid.ADS 591 www.usaid.gov/ads/policy/500/591 .

R. Grants to Foreign Governments at http://www.usaid.gov/ads/policy/300/350 S. Conflict of interest: see FAR Subpart 9.5 at http://gcoos.tamu.edu/meetingreports/2007_Mar/documents/FAR_9_5.pdf; and CIB 99-17 T. Client organization’s prior audit recommendations

IV. Pre-Award Survey Statement of Work The contractor shall render an opinion on whether the potential recipient has adequate capacity in the following areas: developing, writing, and presenting proposals; strategic planning; income generation; fund raising; financial management systems; monitoring and evaluation; and the capability to receive, account for and manage U. S.

Government funds in accordance with U. S. Government regulations.

The contractor shall provide recommendations for improvement, including a work plan and timetable for all the activities that the client organization needs to conduct in order to improve its systems to obtain an opinion that its financial management system is adequate and capable to manage U. S. Government funds; and the contractor shall indicate whether the client organization has in-house capabilities to implement the recommended actions or whether the organization needs outside technical assistance to implement them.

The contractor’s opinion must be adequately documented and supported. USAID reserves the right to review the working papers to ensure that the assessment was properly performed.

I. Assess the following areas:

A. Developing, writing, and submitting proposals B. Strategic planning C. Income generation D. Fund raising E. Financial Management System Strengthening F. Monitoring and Evaluation

II. Provide recommendations on actions needed to strengthen the systems of the client organization

IV.A Statement of Work

a. Determine whether [client organization] has sufficient financial management capacity to manage USAID funds in accordance with U. S. Government and USAID requirements.

b. Determine whether the accounting, procurement, human resources, and inventory, systems are adequate to protect the U. S. Government’s interests and comply with 22CFR226, OMB Circulars A-110, A122, A- 21, and A-133, Mandatory Standard Provisions for Non-U. S. Non-Profit Organizations, and the terms of the Agreement with USAID if applicable.

c. Evaluate, obtain a sufficient understanding of, and test the organization’s internal control system, including cost sharing and leveraging, as applicable.

d. Determine whether [client organization] has an adequate monitoring and evaluation system and whether it has de capacity to have it (see Data Quality Standards .

In performing this task, the Contractor shall assess and strengthen the following:

a. Organizational Structure and Legal framework: Present and/or proposed – if any- organizational structure and effectiveness for administering, monitoring, controlling, and reporting on the Institution’s operations.

b. Governance: Compliance with international benchmarks across five broad categories: Auditing, Board and management structure and process, corporate responsibility and compliance, financial transparency and information disclosure, ownership structure and exercise of control rights (see Wikipedia, Corporate Governance).

c. Personnel Management: Personnel management policies and procedures, including the recruitment, contracting, performance evaluation and termination of staff. In addition, delegations of authority, decision-making responsibilities, staffing patterns (number, qualification, and turnover of personnel), adequacy of position descriptions, salary scales, benefit packages, training, etc.

d. Procurement: Procurement/contracting policies, procedures, regulations and controls. This segment of the work should include, but not be limited to, ensuring that the systems in place are: a) properly designed, documented, and prevent the application of improper business practices and conflicts of interest; b) ensure adequate safeguarding of procurement information and competitive procurement practices; etc.

e. Accounting Systems: Accounting and internal-external control systems, policies and procedures. Financial records should clearly identify: a) the source and application of all funds; b) provide effective reporting, control, and accountability for all resources; and c) disclose accurate, current, and complete financial information. In addition, the contractor should strengthen and report upon the overall control environment for equipment and inventory, and the adequacy of procedures for channeling funds to other implementing entities/organizations.

f. Budgeting: Program, project and administrative budget development, control, execution, monitoring and reporting processes for its budget process.

g. Planning: Long and short term planning. Process for developing, monitoring and reporting on annual work plans.

h. Assets and Liabilities: Control over all assets and liabilities of the organization including proper inventory procedures.

i. Cash Management: Cash receipt and disbursement functions (from and to central offices and decentralized units/entities).

j. Supervision over Decentralized Units/Entities (if applicable): Supervision, control and reporting over the operations of decentralized units/organizations as appropriate.

k. Grants/Loans: Control and proper reporting over all resources provided under local/international grants and loans. Compliance with national and international donor/lending institutions requirements (established in legislative and/or separate Grant/Loan agreements).

l. Information Technology: Evaluate the adequacy of integrated systems of internal/external accounting and administrative controls and strengthen the effectiveness and degree of implementation of such systems.

m. Audit Function: Internal and external audit/evaluation management and resolution functions. Systems to track actions to address adequately and in a timely manner audit/evaluation findings and recommendations.

Adequacy of actions taken to correct recent (last two years) audit/evaluation recommendations and status of any open/unresolved actions. See ADS 591 Financial Audits of USAID Contractors, Recipients, and Host

Government Entities; Government Auditing Standards at http://www.gao.gov/new.items/d07731g.pdf ;

Guidelines for Financial Audits Contracted by Foreign Recipients at http://www.usaid.gov/ads/policy/500/591maa; ADS 595 – Audit Management Program at http://www.usaid.gov/ads/policy/500/595.

n. Travel: Policies and procedures (see ADS 522 – Performance of Temporary Duty Travel in the U.S. and Abroad at http://www.usaid.gov/ads/policy/500/522.

o. Participant Training: Policies and procedures (see Participant Training for Capacity Development at http://www.usaid.gov/ads/policy/200/253) .

p. Procedural Documentation: Procedural documentation (in the form of manuals, etc.) in support of the structures (organizational), and for the implementation of each of the above activities within the organization.

q. Organizational Effectiveness: a) streamline, consolidate, de-bureaucratize existing policies, procedures and operations without sacrifice to internal-external controls, and b) improve the effectiveness of communications (horizontal and vertical) within the organization.

r. Compliance with Applicable Laws, Regulations and Agreement Terms: Applicable Government of Guatemala laws and regulations, U. S. Government and USAID requirements, and agreement terms.

s. Government of Guatemala Tax Requirements: Tax requirements contained in:

1. Ley del Impuesto sobre la Renta (Income Tax)

2. Ley del Impuesto al Valor Agregado (Value Added Tax)

3. Ley de Productos Financieros (Financial Products Law)

4. Ley de Papel Sellado y Timbres Fiscales (Legal Paper and Stamp Tax)

5. Código Tributario (Tax Code)

The contractor shall use the above information only as a guide for the activities performed under this instrument.

The steps provided are not considered all-inclusive or restrictive in nature and do not constitute relief from exercising due professional care and judgment.

Any limitation in the statement of work shall be communicated as soon as possible to the Contracting Officer Representative (COR).

IV.B Results At the end of the assistance the Contractor will:

a. Provide and opinion on whether the systems of [client organization] comply with U. S. Government regulations and are adequate or not to manage U. S. Government funds, and indicate and list which of the systems are not adequate.

b. Issue a report containing a title page, table of contents, a transmittal letter and a summary which includes:

i. A background section with a general description of the Pre-Award Survey, the period covered, the

Pre-Award Survey objectives, and a clear identification of all entities mentioned in the report;

ii. The objectives and scope of the agreed-upon engagement procedures, a clear explanation of the procedures performed and the scope limitations, if any;

iii. A brief summary of the contractor’s conclusions on the accounting system, proposed project costs (if applicable) the client organization’s financial management capacity, internal controls, procedures to ensure compliance with the agreement terms (if applicable) and with applicable laws and regulations, and the status of prior audit recommendations; and

iv. A brief summary of the client organization’s management comments regarding their views on the contractor’s findings and conclusions.

c. Contain the contractor’s findings and conclusions on the areas listed in this statement of work, and recommendations for improvement of the client organization’s systems; indicating whether the organization has in-house capacity to implement the recommendations or whether they need technical assistance.

d. Follow the reporting requirements stated in Section V below under Deliverables.

The contractor shall use the above information only as a guide for the activities performed under this instrument.

The steps provided are not considered all-inclusive or restrictive in nature and do not constitute relief from exercising due professional care and judgment.

Any limitation in the statement of work shall be communicated as soon as possible to the Contracting Officer

Annex 2

The U. S. Agency for International Development , mission to Guatemala (USAID\Guatemala), is proposing to fund the [activity name], which would provide [amount in U.S. Dollars] in funds to [name of recipient] over [time period] for [describe in general terms the purposes of the activity] and [the principal line items and amounts budgeted, including cost sharing, leverage, and all related financial information of the project, as applicable].

I. Title Technical Assistance for the Preparation and Submission of Applications, Strategic Planning, and Sustainability of [client organization].

II. Objectives Assess the adequacy of the organization in the above listed areas; determine the improvements deemed necessary to strengthen the capabilities of the organization to carry out its mandate or purpose in an effective, efficient, economic, and transparent manner; and provide technical assistance to strengthen the organizational structure, policies, procedures and practices that will increase the organization’s sustainability, competitiveness, governance, monitoring and reporting capacity.

Strengthen the following areas:

A. Developing, writing, and submitting proposals/applications B. Strategic planning C. Financial Sustainability, including Income generation and fund raising

III. Information and Guidance Prior to the initiation of work, the Contractor shall become thoroughly familiar with the following:

A. The client organization’s legal framework; governance; organizational structure; administrative-financial, procurement, human resources, travel, property and inventory systems in place; management and internal-external controls; staffing levels-capabilities; reorganization plans if any; budget levels, and process for budget development, control and reporting, etc.

B. The client organization’s systems, manual, policies, guidelines, instructions, procedures, format, etc.

C. The competencies and training of the staff.

D. Internal and external audits, past and in process, by the client organization’s internal auditors, private audit firms, and donor organizations.

E. Any prior or existing agreements between the client organization and USAID/Guatemala as applicable.

F. The sub-agreements between the client organization and other implementing entities, as applicable.

G. USAID Automated Directive System (ADS) as applicable.

H. Applicable U.S. Government regulations (OMB Circular A-110, A-122, A-21, A133, 22CFR226, Mandatory

Standard Provisions for Non-U. S. Non-Profit Organizations, AAPD 04-16, etc.)

http://www.gpo.gov/fdsys/pkg/CFR-2011-title22-vol1/xml/CFR-2011-title22-vol1-part226.xml#seqnum226.25 , http://www.whitehouse.gov/omb/circulars_a110, http://www.whitehouse.gov/omb/circulars_a122_2004;

http://www.usaid.gov/work-usaid/aapds-cibs/aapd04-16.

I. Participant Training ADS 253 (see http://www.usaid.gov/ads/policy/200/253)

J. ADS 522 – Performance of Temporary Duty Travel in the U.S. and Abroad (see http://www.usaid.gov/who-we-are/agency-policy/series-500 ).

K. USAID Forward Reform Agenda L. USAID’s Automated Directives System Chapter 203, Assessing and Learning.

M. USAID/Guatemala Country Development and Cooperation Strategy (which includes USAID/Guatemala’s

Results Framework) at http://www.usaid.gov/gsearch/CDCS N. USAID/Guatemala Performance Monitoring Plan O. Data Quality Standards: ADS 203.3.5 Monitoring Activities.

P. Program Evaluation at http://www.usaid.gov/results-and-data/information-resources/program-evaluations.

Q. Financial Audits of USAID Contractors, Recipients, and Host Government Entities at Error! Hyperlink reference not valid.ADS 591 www.usaid.gov/ads/policy/500/591 .

R. Grants to Foreign Governments at http://www.usaid.gov/ads/policy/300/350 S. Conflict of interest: see FAR Subpart 9.5 at http://gcoos.tamu.edu/meetingreports/2007_Mar/documents/FAR_9_5.pdf; and CIB 99-17 T. Client organization’s prior audit recommendations

IV. Statement of Work

For assignments of this nature, the contractor shall evaluate the competencies of the organization’s staff in these areas, and provide to the organization the necessary technical assistance to strengthen the organizational structure, policies, procedures, and practices and the necessary training to designated organization staff, with the purpose of increasing the organization’s sustainability potential. See “GUIDE TO USAID'S ASSISTANCE APPLICATION PROCESS AND TO SUBMITTING UNSOLICITED ASSISTANCE APPLICATIONS” and strengthen the organization’s capacity in strategic planning and sustainability at http://www.usaid.gov/usaidforward.

IV. A. Statement of Work

a. Strengthen the organization’s capacity in strategic planning and the preparation and submission of strategic plans to donors, including training designated staff and the development and implementation of processes to plan strategically, and the necessary manual with policies, guidelines, procedures, formats, etc. on strategic planning;

b. Assist the organization in identifying sources of income through income-generating and/or fund-raising activities, and/or other activities providing sustainability to the organization, and training the organization staff to continue identifying opportunities for income-generation, fund-raising, and/or other sustainability-promoting activities;

c. Train designated staff and develop a manual on the preparation and submission of (a) proposal(s)/application(s) to potential donors; (b) work plans and timetables for the implementation of the organization activities; (c) budgets; (d) progress reports; (e) quarterly reports; (f) annual reports; (g) final reports; (h) executive reports; (i) reports to the media; (j) reports on successful stories; (k) debriefings; (l) accrual reports; (m) Gender equity plan; (n) inclusion of vulnerable populations; (o) annual reporting of foreign taxes; (p) other as applicable and/or as required by the [client organization] and/or USAID.

IV.B. Results

At the end of the assistance [the organization] will have:

a) A strategic plan containing, at a minimum but not limited to: a) Strengths, Weaknesses, Threats, and Opportunities; Vision; Mission Statement; Corporate Values; Business Objectives; Key Strategies; Major Goals; Strategic Action Programs;

b) At least one income-generation activity implemented or identified;

c) A work plan and time table for the implementation of the Organization’s activities for the year and/or for the following year;

d) The Organization’s budget for the current year and the next year;

e) The designated staff of [client organization] will know and/or have practiced the policies, guidelines, instructions, procedures, formats, reports, etc. applicable to all the areas objective of this contract;

f) Designated staff will have proper training on the knowledge and tools to identify additional/future income generation, fund-raising, financial sustainability activities;

g) At least one proposal/application to be submitted to donors prepared.

The contractor shall use the above information only as a guide for the activities performed under this instrument. The steps provided are not considered all-inclusive or restrictive in nature and do not constitute relief from exercising due professional care and judgment.

Any limitation in the statement of work shall be communicated as soon as possible to the Contracting Officer

Annex 3

The U. S. Agency for International Development, mission to Guatemala (USAID\Guatemala), is proposing to fund the [activity name], which would provide [amount in U.S. Dollars] in funds to [name of recipient] over [time period] for [describe in general terms the purposes of the activity] and [the principal line items and amounts budgeted, including cost sharing, leverage, and all related financial information of the project, as applicable].

I. Title Strengthening [client organization]’s institutional capacity to more effectively carry out its purpose.

II. Objectives Assess the adequacy of the organization to carry out its purpose; determine the improvements deemed necessary to strengthen the capabilities of the organization to carry out its mandate or purpose in an effective, efficient, economic, and transparent manner; and provide technical assistance to strengthen the organizational structure, policies, procedures and practices that will increase the organization’s sustainability, competitiveness, governance, monitoring and reporting capacity, to proper account for and manage its own and donor funds.

III. Information and Guidance Prior to the initiation of work, the Contractor shall become thoroughly familiar with the following:

IV. Statement of Work

For assignments under this component, the contractor shall perform an assessment of the organization, in light of ADS 303, 22 CFR 226, OMB Circulars A-110, A-122, A-21, and Mandatory Standard Provisions for Non-U. S.

Non-Profit Organizations. Determine all the areas that need strengthening and provide technical assistance to strengthen the organizational structure, policies, procedures, practices, and staff training to ensure the organization’s compliance with U. S. Government regulations.

The objective of this component is to strengthen [client organization], which should include, but not be limited to the following:

Strengthen the effectiveness of the organizational structure, and administrative and financial management control (internal and external) of the organization and certify its compliance with the United States Office of Management and Budget (OMB) Circular A-110/22 CFR 226, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations; with OMB Circular A-122, Cost Principles; and with the Mandatory Provisions for Non-U. S. Non-Profit Organizations (See USAID’s Automated Directive System (ADS) 303.3.1 (See http://www.whitehouse.gov/omb).

The Contractor will train the staff during the duration of the Call Order and will supervise staff in understanding of and compliance with U.S. Government and USAID requirements, ensuring hands-on experience.

In performing this task, the Contractor shall assess and strengthen the following:

a. Organizational Structure and Legal framework: Present and/or proposed – if any- organizational structure and effectiveness for administering, monitoring, controlling, and reporting on the Institution’s operations.

b. Governance: Compliance with international benchmarks across five broad categories: Auditing, Board and management structure and process, corporate responsibility and compliance, financial transparency and information disclosure, ownership structure and exercise of control rights (see Wikipedia, Corporate Governance).

c. Personnel Management: Personnel management policies and procedures, including the recruitment, contracting, performance evaluation and termination of staff. In addition, delegations of authority, decision-making responsibilities, staffing patterns (number, qualification, and turnover of personnel), adequacy of position descriptions, salary scales, benefit packages, training, etc.

d. Procurement: Procurement/contracting policies, procedures, regulations and controls. This segment of the work should include, but not be limited to, ensuring that the systems in place are: a) properly designed, documented, and prevent the application of improper business practices and conflicts of interest; b) ensure adequate safeguarding of procurement information and competitive procurement practices; etc.

e. Accounting Systems: Accounting and internal-external control systems, policies and procedures. Financial records should clearly identify: a) the source and application of all funds; b) provide effective reporting, control, and accountability for all resources; and c) disclose accurate, current, and complete financial information. In addition, the contractor should strengthen and report upon the overall control environment for equipment and inventory, and the adequacy of procedures for channeling funds to other implementing entities/organizations.

f. Budgeting: Program, project and administrative budget development, control, execution, monitoring and reporting processes for its budget process.

g. Planning: Long and short term planning. Process for developing, monitoring and reporting on annual work plans.

h. Assets and Liabilities: Control over all assets and liabilities of the organization including proper inventory procedures.

i. Cash Management: Cash receipt and disbursement functions (from and to central offices and decentralized units/entities).

j. Supervision over Decentralized Units/Entities (if applicable): Supervision, control and reporting over the operations of decentralized units/organizations as appropriate.

k. Grants/Loans: Control and proper reporting over all resources provided under local/international grants and loans. Compliance with national and international donor/lending institutions requirements (established in legislative and/or separate Grant/Loan agreements).

l. Information Technology: Evaluate the adequacy of integrated systems of internal/external accounting and administrative controls and strengthen the effectiveness and degree of implementation of such systems.

m. Audit Function: Internal and external audit/evaluation management and resolution functions. Systems to track actions to address adequately and in a timely manner audit/evaluation findings and recommendations.

Adequacy of actions taken to correct recent (last two years) audit/evaluation recommendations and status of any open/unresolved actions. See ADS 591 Financial Audits of USAID Contractors, Recipients, and Host Government Entities; Government Auditing Standards at http://www.gao.gov/new.items/d07731g.pdf ;

Guidelines for Financial Audits Contracted by Foreign Recipients at http://www.usaid.gov/ads/policy/500/591maa; ADS 595 – Audit Management Program at http://www.usaid.gov/ads/policy/500/595.

n. Travel: Policies and procedures (see ADS 522 – Performance of Temporary Duty Travel in the U.S. and Abroad at http://www.usaid.gov/ads/policy/500/522.

o. Participant Training: Policies and procedures (see Participant Training for Capacity Development at http://www.usaid.gov/ads/policy/200/253) .

p. Procedural Documentation: Procedural documentation (in the form of manuals, etc.) in support of the structures (organizational), and for the implementation of each of the above activities within the organization.

q. Organizational Effectiveness: a) streamline, consolidate, de-bureaucratize existing policies, procedures and operations without sacrifice to internal-external controls, and b) improve the effectiveness of communications (horizontal and vertical) within the organization.

r. Compliance with Applicable Laws, Regulations and Agreement Terms: Applicable Government of Guatemala laws and regulations, U. S. Government and USAID requirements, and agreement terms.

s. Government of Guatemala Tax Requirements: Tax requirements contained in:

1. Ley del Impuesto sobre la Renta (Income Tax)

2. Ley del Impuesto al Valor Agregado (Value Added Tax)

3. Ley de Productos Financieros (Financial Products Law)

4. Ley de Papel Sellado y Timbres Fiscales (Legal Paper and Stamp Tax)

5. Código Tributario (Tax Code)

The contractor shall use the above information only as a guide for the activities performed under this instrument.

The steps provided are not considered all-inclusive or restrictive in nature and do not constitute relief from exercising due professional care and judgment.

Any limitation in the statement of work shall be communicated as soon as possible to the Contracting Officer

V. Results At the end of the assistance:

The [client organization] will have an updated more efficient financial system that accounts for all transactions, property, inventory, personnel transactions, travel, participant training, cost sharing/leverage and which provides proper financial reporting that complies with OMB Circulars A-110 and A-122.

The [client organization] will have manuals with policies, guidelines, instructions, procedures, formats, etc.

adequately documenting the financial system.

The [client organization’s] staff will be familiar with the [client organization’s] manuals and with USAID requirements; the staff is trained to comply with manuals and requirements, and applies them as applicable.

The Contractor certifies that the systems of [client organization] comply with U. S. Government regulations and are adequate to manage U. S. Government funds.

For all training activities financed under this instrument , the contractor must comply with Automated Directives System (ADS) Chapter 253 and other USAID/Guatemala specific policies and procedures (i.e., Mission Order

253) governing the effective, efficient planning, design, and implementation of such training programs. The Contractor will also be responsible for entering training information into the TraiNet database on a quarterly basis. Each quarterly report will include a confirmation that this requirement has been met. In addition, the client organization will have in place the necessary manuals, policies, guidelines, instructions, procedures, formats, and training to comply with this requirement as applicable.

Annex 4

The U. S. Agency for International Development , mission to Guatemala (USAID\Guatemala), is proposing to fund the [activity name], which would provide [amount in U.S. Dollars] in funds to [name of recipient] over [time period] for [describe in general terms the purposes of the activity] and [the principal line items and amounts budgeted, including cost sharing, leverage, and all related financial information of the project, as applicable].

I. Title Strengthening Monitoring and Evaluation Capacity of [client organization].

II. Objectives Assess the adequacy of the organization’s monitoring and evaluation capacity; determine the improvements deemed necessary to strengthen the capabilities of the organization to carry out its mandate or purpose in an effective, efficient, economic, and transparent manner; and provide technical assistance to strengthen the organizational structure, policies, procedures and practices that will increase the organization’s sustainability, competitiveness, governance, monitoring and reporting capacity, to proper account for and manage U. S.

Government funds.

III. Information and Guidance Prior to the initiation of work, the Contractor shall become thoroughly familiar with the following, as applicable:

A. The client organization’s legal framework; governance; organizational structure; administrative-financial, procurement, human resources, travel, property and inventory systems in place; management and internal-external controls; staffing levels-capabilities; reorganization plans if any; budget levels, and process for budget development, control and reporting, etc.

B. The client organization’s systems, manual, policies, guidelines, instructions, procedures, format, etc.

C. The competencies and training of the staff.

D. Internal and external audits, past and in process, by the client organization’s internal auditors, private audit firms, and donor organizations.

E. Any prior or existing agreements between the client organization and USAID/Guatemala as applicable.

F. The sub-agreements between the client organization and other implementing entities, as applicable.

G. USAID Automated Directive System (ADS) as applicable.

H. Applicable U.S. Government regulations (OMB Circular A-110, A-122, A-21, A133, 22CFR226, Mandatory

Standard Provisions for Non-U. S. Non-Profit Organizations, AAPD 04-16, etc.)

http://www.gpo.gov/fdsys/pkg/CFR-2011-title22-vol1/xml/CFR-2011-title22-vol1-part226.xml#seqnum226.25 , http://www.whitehouse.gov/omb/circulars_a110, http://www.whitehouse.gov/omb/circulars_a122_2004;

http://www.usaid.gov/work-usaid/aapds-cibs/aapd04-16.

I. Participant Training ADS 253 (see http://www.usaid.gov/ads/policy/200/253) J. ADS 522 – Performance of Temporary Duty Travel in the U.S. and Abroad (see http://www.usaid.gov/who-we-are/agency-policy/series-500 ).

K. USAID Forward Reform Agenda

L. USAID’s Automated Directives System Chapter 203, Assessing and Learning.

M. USAID/Guatemala Country Development and Cooperation Strategy (which includes USAID/Guatemala’s

Results Framework) at http://www.usaid.gov/gsearch/CDCS N. USAID/Guatemala Performance Monitoring Plan O. Data Quality Standards: ADS 203.3.5 Monitoring Activities.

P. Program Evaluation at http://www.usaid.gov/results-and-data/information-resources/program-evaluations.

Q. Financial Audits of USAID Contractors, Recipients, and Host Government Entities at Error! Hyperlink reference not valid.ADS 591 www.usaid.gov/ads/policy/500/591 .

R. Grants to Foreign Governments at http://www.usaid.gov/ads/policy/300/350 S. Conflict of interest: see FAR Subpart 9.5 at http://gcoos.tamu.edu/meetingreports/2007_Mar/documents/FAR_9_5.pdf; and CIB 99-17 T. Client organization’s prior audit recommendations

IV. Statement of Work

“[T]he discipline of development demands a strong practice and use of evaluation as a crucial tool to inform our global development efforts and to enable us to make hard choices based on the best available evidence."

- USAID Administrator Rajiv Shah

With the release of the Evaluation Policy in January 2011, USAID made an ambitious commitment to quality program evaluation - the systematic collection and analysis of information and evidence about program performance and impact. USAID uses evaluation findings to inform decisions, improve program effectiveness, be accountable to stakeholders, and support organizational learning.

Strengthening evaluation and transparency are part of the USAID Forward reform agenda.

USAID is strengthening its core capacity to achieve more meaningful development results while increasing its efficiency. This effort includes creating new monitoring and evaluation systems.

USAID/Guatemala submits an Annual Performance and Plan Report encompassing the results achieved. In order to gather all the necessary information, USAID follows a structured reporting system from activities through Projects, to Development Objectives by country, for results that are reported to Washington and to the public. In order to ensure the quality of the data that is included in the reporting system, each Development Objective in USAID/Guatemala will invest in strengthening selected local organization’s performance monitoring capacity.

The objective of this component is to strengthen [client organization]’s performance-monitoring capacity.

Strengthen Monitoring and Evaluation Capacity, policies, procedures, methodologies to comply with USAID Data Quality Standards.

Strengthen the client organization’s capacity in monitoring and evaluation and the preparation and submission of monitoring and evaluation plans, and reports, including training designated staff and the development and implementation of a manual with policies, guidelines, procedures, formats, etc. ;

a. Develop a manual on the preparation and submission of:

i. The monitoring and evaluation plan

ii. Work plans and timetables for the implementation of the monitoring and evaluation plan;

iii. Progress reports;

iv. Quarterly reports;

v. Annual reports;

vi. Final reports;

vii. Executive reports;

viii. Reports to the media;

ix. Reports on success stories;

x. Debriefings;

xi. Gender equity plan;

xii. Other as applicable and/or as required by the [client organization].

b. Train designated staff in all of the…