SOL-_617-16-000002.pdf

USAID/Uganda RFP-617-09-009

NUDEIL

U.S. Agency for International Development US Mission Compound – South Wing 1577 Ggaba Road, Nsambya P.O. Box 7856 Kampala, Uganda

Tel: (256 - 414) 306-001 Fax: (256 - 414) 306-661 http://uganda.usaid.gov

International Address:

USAID/Uganda DOS/USAID, 2190 Kampala Place Washington DC 20521-2190 Tel: 202-216-6234

Issuance Date: March 22, 2016

Closing Date for submission of questions: April 08, 2016 Closing Time for submission of questions: 4:00 p.m. (EDT) Washington, D.C.

Closing Date for submission of proposals: May 09, 2016 Closing Time for submission of proposals: 4:00 p.m. (EDT) Washington, D.C.

Subject: Request for Proposal (RFP) Number: SOL-617-16-000002, USAID/Uganda Sanitation for Health Activity

Dear Sir/Madam:

USAID/Uganda is seeking proposals from qualified organizations interested in accelerating sustainable improvement in quality, access and supply of water and sanitation services, and improving hygiene behaviors in Uganda.

This procurement will be conducted under full and open competition under which any type of organization (U.S. and Non U.S. commercial for profit firms, educational institutions, and non-profit organizations) is eligible to compete. The procedures set forth in Federal Acquisition Regulation (FAR) Part 15 apply.

USAID anticipates awarding a five-year Cost-Plus-Fixed Fee (CPFF) Completion contract with a total estimated range of $30,000,000 to $33,000,000 for the implementation of this activity. The purpose of providing an estimated range for the contract is to help Offerors develop their proposals. Offerors will provide the lowest possible cost corresponding with their technical approach.

The RFP and any amendments to this solicitation will be issued and posted on the FBO website at https://www.fbo.gov. It is the Offeror’s responsibility to check the website periodically for official updates and amendments to the solicitation. It is the responsibility of the recipient of this solicitation document to ensure that it has been received from the internet in its entirety and USAID bears no responsibility for data errors resulting from transmission or conversion processes.

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.

Pursuant to Block 12 of Standard Form 33 of this RFP, USAID requires that offers remain valid through a period of 250 days.

Questions and proposals in response to this solicitation are due by electronic mail only to KampalaUSAIDSolicita@USAID.gov, attention of Liz Nabasirye, Acquisition & Assistant. No other forms of submission will be accepted.

OFFICE OF ACQUISITION AND ASSISTANCE

USAID /UGANDA

2190 KAMPALA PLACE

WASHINGTON DC 20521-2190

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

SEE COVER PAGE

6. REQUISITION/PURCHASE NUMBER

SEALED BID (IFB)

NEGOTIATED (RFP)

7. ISSUED BY CODE 617 8. ADDRESS OFFER TO

OFFICE OF ACQUISITION AND ASSISTANCE

USAID/UGANDA

PLOT 1577 GGABA ROAD

KAMPALA, UGANDA

Email: KampalaUSAIDSolicita@USAID.gov

(If other than Item 7)

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

9. Sealed offers in original and _Electronic only___ copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if hand carried, in the depository located in n/a until (see Cover Letter and section L.7 for date and time) (EST Washington DC) time

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

+256-414

NUMBER

306-001

EXT.

6634 KampalaUSAIDSolicita@USAID.gov

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

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

X A SOLICITATION/CONTRACT FORM X I CONTRACT CLAUSES

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

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

X D PACKAGING AND MARKING PART IV - REPRESENTATIONS AND INSTRUCTIONS

X E INSPECTION AND ACCEPTANCE

X F DELIVERIES OR PERFORMANCE

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

X H SPECIAL CONTRACT REQUIREMENTS X M EVALUATION FACTORS FOR AWARD

X K

REPRESENTATIONS, CERTIFICATIONS AND OTHER 69

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 __250______ 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 REF SECTION G.5 (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 BY

CODE

CODE

26. NAME OF CONTRACTING OFFICER (Type or print)

JENNIFER CROW-YANG

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:

Liz Nabasirye

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)

N/A

SOL-617-16-000002

X

See Attached Table of Contents

Request for Proposal No: SOL-617-16-000002

TABLE OF CONTENTS

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 BUDGET

B.5 INDIRECT COSTS

B.6 COST REIMBURSABLE

B.7 PAYMENT OF FIXED FEE

B.8 MULTI‐YEAR CONTRACT

SECTION C ‐ DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

SECTION D ‐ PACKAGING AND MARKING

D.1 AIDAR 752.7009 MARKING (JAN 1993)

D.2 BRANDING AND MARKING POLICY

D.3 BRANDING STRATEGY

SECTION E ‐ INSPECTION AND ACCEPTANCE

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

E.2 INSPECTION AND ACCEPTANCE

E.3 MONITORING AND EVALUATION

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 REPORTS AND DELIVERABLES OR OUTPUTS

F.5 DELIVERY SCHEDULE FOR REPORTS/DELIVERABLES

F.6 KEY PERSONNEL

F.7 TECHNICAL APPROVAL REQUIREMENTS

F.8 AIDAR 752.7005 SUBMISSION REQUIREMENTS FOR DEVELOPMENT EXPERIENCE DOCUMENTS

(SEPTEMBER 2013)

SECTION G ‐ CONTRACT ADMINISTRATION DATA

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

G.2 ADMINISTRATIVE CONTRACTING OFFICE

G.3 CONTRACTING OFFICER’S REPRESENTATIVE (COR)

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

SECTION H ‐ SPECIAL CONTRACT REQUIREMENTS

H.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

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

H.3 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES (JAN 2002)

H.4 INSURANCE AND SERVICES

H.5 AIDAR 752.228‐70 MEDICAL EVACUATION (MEDEVAC) SERVICES (JUL 2007)

H.6 AUTHORIZED GEOGRAPHIC CODE

H.7 LOGISTIC SUPPORT

H.8 CONSENT TO SUBCONTRACT

H.9 AIDAR 752.236‐70 STANDARDS FOR ACCESSIBILITY FOR THE DISABLED IN USAID CONSTRUCTION

CONTRACTS (JULY 2007)

H.10 REPORTING OF FOREIGN TAXES (JULY 2007)

H.11 ADS 302.3.5.14 (A) USAID DISABILITY POLICY ‐ ACQUISITION (DEC 2004)

H.12 AIDAR 752.225‐70 SOURCE AND NATIONALITY REQUIREMENTS (FEB 2012)

H.13 AIDAR 752.245‐71 TITLE TO AND CARE OF PROPERTY (APR 1984)

H.14 AIDAR 752.7007 PERSONNEL COMPENSATION (JULY 2007)

H.15 INFORMATION TECHNOLOGY REQUIREMENT

H.16 MANAGEMENT OF INFORMATION TECHNOLOGY RESOURCES

H.17 VALUE ADDED TAX AND CUSTOMS DUTIES

H.18 AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND NOTIFICATION REQUIREMENTS (APR 2014)

H.19 NONEXPENDABLE PROPERTY AND INFORMATION TECHNOLOGY RESOURCES

H.20 LANGUAGE REQUIREMENTS

H.21 EMPLOYMENT COSTS OF THIRD COUNTRY NATIONALS AND COOPERATING COUNTRY NATIONALS

H.22 ENVIRONMENTAL COMPLIANCE AND MANAGEMENT

H.23 ADS 302.3.5.9 NONDISCRIMINATION (JUNE 2012)

H.24 DISCLOSURE OF INFORMATION

H.25 ELECTRONIC PAYMENTS SYSTEM

H.26 BUSINESS CLASS TRAVEL

H.27 USAID IMPLEMENTING PARTNER NOTICES (IPN) PORTAL FOR ACQUISITION (JULY 2014)

H.28 USAID‐FINANCED THIRD‐PARTY WEB SITES (AUGUST 2013)

H.29 CONFERENCE PLANNING AND REQUIRED APPROVALS (AUGUST 2013)

H.30 SUBMISSION OF DATASETS TO THE DEVELOPMENT DATA LIBRARY (DDL) (OCTOBER 2014)

H.31 AIDAR 752.231‐71 SALARY SUPPLEMENTS FOR HG EMPLOYEES (MARCH 2015)

H.32 ALLOWABLE USG FUNDING SUPPORT FOR GOU ENTITIES AND STAFF

SECTION I ‐ CONTRACT CLAUSES

I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

I.2 FAR 52.216‐24 LIMITATION OF GOVERNMENT LIABILITY (APR 1984)

I.3 FAR 52.203‐13 CONTRACTOR CODE OF BUSINESS ETHICS AND CONDUCT (OCT 2015)

I.4 AIDAR 752.242‐70 PERIODIC PROGRESS REPORTS (OCT 2007)

I.5 COMPLIANCE WITH SECTION 508 OF THE REHABILITATION ACT OF 1973, AS AMENDED

SECTION J ‐ LIST OF ATTACHMENTS INCLUDED AND REFERENCED BY LINK

PART IV ‐ REPRESENTATIONS AND INSTRUCTIONS

SECTION K ‐ REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS

K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE

K.2 FAR 52.204‐8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (JAN 2016)

K.3 INSURANCE ‐ IMMUNITY FROM TORT LIABILITY

K.4 FAR 52.204‐3 TAXPAYER IDENTIFICATION (OCT 1998)

K.5 FAR 52.209‐2 PROHIBITION ON CONTRACTING WITH INVERTED DOMESTIC CORPORATIONS—

REPRESENTATION. (NOV 2015)

K.6 FAR 52.209‐5 CERTIFICATION REGARDING RESPONSIBILITY MATTERS (OCT 2015)

K.7 FAR 52.209‐7 INFORMATION REGARDING RESPONSIBILITY MATTERS (JUL 2013)

K.8 FAR 52.230‐1 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (OCTOBER 2015) K.9 FAR 52.230‐7 PROPOSAL DISCLOSURE‐‐COST ACCOUNTING PRACTICE CHANGES (APR 2005)

K.10 COMPLIANCE WITH VETERANS EMPLOYMENT REPORTING REQUIREMENTS

K.11 REPRESENTATION BY CORPORATION REGARDING A DELINQUENT TAX LIABILITY OR A FELONY

CRIMINAL CONVICTION (DEVIATION OAA‐DEV‐14‐02C) (AUGUST 2014)

K.12 FAR 52.203‐98, PROHIBITION ON CONTRACTING WITH ENTITIES THAT REQUIRE CERTAIN INTERNAL

CONFIDENTIALITY AGREEMENTS ‐REPRESENTATION (APR 2015)

K.13 FAR 52.215‐6 PLACE OF PERFORMANCE (OCT 1997)

K.14 FAR 52.222‐56 CERTIFICATION REGARDING TRAFFICKING IN PERSONS COMPLIANCE PLAN (MAR 2015) K.15 FAR 52.203‐99 PROHIBITION ON CONTRACTING WITH ENTITIES THAT REQUIRE CERTAIN INTERNAL

CONFIDENTIALITY AGREEMENTS (APR 2015)

K.16 SIGNATURE

SECTION L ‐ INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE

L.2 FAR 52.215‐1 INSTRUCTIONS TO OFFERORS—COMPETITIVE ACQUISITION (JAN 2004)

L.3 FAR 52.216‐1 TYPE OF CONTRACT (APR 1984)

L.4 FAR 52.233‐2 SERVICE OF PROTEST (SEPT 2006)

L.5 FAR 52.252‐1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB 1998)

L.6 GENERAL INSTRUCTIONS TO OFFERORS

L.7 SUBMISSION/DELIVERY INSTRUCTIONS

L.8 INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL PROPOSAL

L.9 COST PROPOSAL INSTRUCTIONS

L.10 INSTRUCTIONS FOR THE PREPARATION OF BRANDING AND MARKING PLANS

SECTION M ‐ EVALUATION FACTORS FOR AWARD

M.1 GENERAL INFORMATION

M.2 EVALUATION CRITERIA

M.3 COST PROPOSAL EVALUATION

M.4 DETERMINATION OF THE COMPETITIVE RANGE AND CONTRACT AWARD

M.5 SOURCE SELECTION

M.6 CONTRACTING WITH SMALL BUSINESS CONCERNS AND DISADVANTAGED ENTERPRISES

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

The purpose of the USAID/Uganda Sanitation for Health Activity is to accelerate sustainable improvement in quality, access and supply of water and sanitation services, and improve hygiene behaviors in Uganda. This will be achieved by introducing a series of contemporary and integrated water, sanitation, and hygiene (WASH) interventions at the community and household levels as defined in Section C. Statement of Work.

B.2 CONTRACT TYPE

This is a Cost Plus Fixed Fee (CPFF) completion type contract. For the consideration set for the below, the Contractor will provide the deliverables or outputs described in Section C and F, in accordance with performance standards specified in Section E.

B.3 ESTIMATED COST, FIXED FEE AND OBLIGATED AMOUNT

(a) The estimated cost for the performance of the work required hereunder, exclusive of fixed fee, if any, is $TBD. The fixed fee, if any, is $TBD. The estimated cost plus fixed fee, if any, is $TBD.

(b) Within the estimated cost plus fixed fee (if any) specified in paragraph (a) 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 $TBD. The Contractor must not exceed the aforesaid obligated amount in accordance with the Limitation of Funds Clause, FAR 52.232.22.

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

B.4 BUDGET

CLIN Item Total 001 Direct Costs (not including grants, subcontracts, construction or indirect costs)

TBD

002 Grants* $4,000,000 003 Subcontracts* TBD 004 Construction Subcontracts* $3,750,000 005 Indirect Costs TBD Total Estimated Cost TBD 006 Fixed Fee TBD Total Estimated Cost Plus Fixed Fee TBD

* The amounts proposed are exclusively for subcontracts and grants and not include management or administrative expenses incurred by the Contractor.1

Note: The Mission reserves the right to cancel CLIN 004. In the event that CLIN 004 is cancelled, CLIN 001 will be amended as appropriate.

B.5 INDIRECT COSTS

Pending establishment of revised provisional or final indirect cost rates, allowable indirect costs will 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: TBD Type of Rate: TBD Period: TBD Source: TBD

B.6 COST REIMBURSABLE

The U.S. dollar costs allowable will be limited to reasonable, allocable and necessary costs determined in accordance with FAR 52.216-7, Allowable Cost and Payment (June 2013), FAR 52.216-8, Fixed Fee (June 2011), if applicable, and AIDAR 752.7003, Documentation for Payment.

B.7 PAYMENT OF FIXED FEE

Payment of fixed fee will in accordance with FAR 52.216-8.

B.8 MULTI-YEAR CONTRACT

All contract CLINs under this award are considered non-severable and constitutes a multi-year contract as defined in FAR 17.103. Therefore, this contract is subject to the requirements of FAR 17.106. In the event that the Government cancels requirements for services in subsequent program years under this contract, the following conditions will apply: [Amount and dates to be filled in at time of award]

Cancellation Dates:

Contract Year 2: DATE TBD, 2017 Amount: $___TBD___ Contract Year 3: DATE TBD, 2018 Amount: $___TBD___ Contract Year 4: DATE TBD, 2019 Amount: $___TBD___ Contract Year 5: DATE TBD, 2020 Amount: $___TBD___

Cancellation Ceiling:

This is a CPFF type contract where the Contractor is authorized to be reimbursed for all costs which are allowable in accordance with FAR 52.216-7, “Allowable Costs and Payment (June 2013).” Therefore, the Contractor will not incur any costs which would have been amortized over the life of the contract should the contract be cancelled in accordance with FAR 52.217-2, “Cancellation under Multiyear Contracts (October 1997).” Therefore, the cancellation ceiling for each cancellation date is [TBD].

[END OF SECTION B]

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 INTRODUCTION

The USAID/Uganda Sanitation for Health Activity will introduce a series of contemporary and integrated water, sanitation, and hygiene (WASH) interventions at the community and household levels that will lead to three intermediate results:

1. Increased household access to sanitation and water services;

2. Key hygiene behaviors at home, school, and health facilities adopted and expanded;

3. Strengthened district water and sanitation governance for sustainable services.

The Contractor will focus on increasing sustainable access to improved sanitation, as defined under the World Health Organization (WHO)/United Nations Children’s Emergency Fund (UNICEF) Joint Monitoring Program for Water and Sanitation (JMP), with the objective of reducing the incidence of diarrhea and other disease related to poor sanitation while contributing to nutritional goals.

This contract has been designed to complement the existing USAID/Uganda portfolio to achieve Development Objective 3 (DO3) of the 2011-2015 USAID/Uganda Country Development and Cooperation Strategy (CDCS) (Attachment J.2) that aspires to: improve health and nutrition status in focus areas and population groups in Uganda. Within DO3 of the USAID/Uganda CDCS, the Contractor will support: increasing use of improved sanitation by fostering lasting WASH behaviors (IR 3.1.1), improving WASH governance (IR 3.1.2), improving provision of essential WASH services (IR 3.1.3) and increasing financial offerings for WASH (IR 3.1.4). This contract also supports the Mission’s contributions to the Feed the Future Initiative by improving nutrition, especially among women and children, and the Ending Preventable Maternal and Child Health (EPCMD) objectives related to maternal and child survival; the new Global USAID Water and Development Strategy 2013-2018 (The Water Strategy) Strategic Objective 1 (SO1) “Improve health outcomes through the provision of sustainable safe water, sanitation, and the Senator Paul Simon Water for the World Act (2014) which makes investments in WASH a specific policy objective of U.S. foreign assistance.

C.2 BACKGROUND

USAID is committed to investing in WASH activities that will achieve extensive and tangible impacts on Ugandans’ health, education, and nutritional conditions. Specifically, under USAID’s 2013 Water and Development Strategy, USAID is designing WASH programs more strategically in order to intersect with country needs, existing initiatives for advancing water provision, and USAID’s own comparative advantage. Considering such factors, USAID WASH programs will maximize positive benefits, while also supporting the sustainability of the improved services and changes achieved. This can be accomplished through more thoughtful alignment with complementary programming (both within USAID and externally); rooting approaches with host country partner governments’ development priorities and the needs and wishes of beneficiaries; and through rigorous investigation and tailoring of approaches, technologies, and sustainability analysis to the Ugandan context.

Implementation strategies will address the following:

Achieving sustainable, system-wide results. In the Ugandan context, this requires particular attention to developing private sector services, innovative financing arrangements, behavior change communications, capacity building and governance issues that will be critical to the success of this program.

A primary focus on increasing access to improved sanitation in coordination with the Ministry of Health (MoH), Ministry of Water and Environment (MWE), and other partners, particularly the Uganda Sanitation Fund (USF) project.

Deliberately take stock of, and collaborate with, other programs that have been able to gain success through market-based approaches including the creative use of mobilizing financing, introducing a wide range of appropriate technologies and purposefully advancing Ugandan capacity development.

Enhancing and help build local government capacity to fulfill advancing shared objectives in sanitation and health.

Working with existing structures, such as Village Health Teams and Village Health Committees where they exist, health workers, local council, town and religious leaders.

Supporting activities that have been developed through participatory decision making processes involving beneficiaries.

Leveraging when possible with other USAID activities, especially those connected with Feed the Future (FtF) to increase the potential for positive nutritional impacts2; and

Promoting learning, cooperation, and adaptation to improve the quality of work and share lessons learned. The Contractor will present a vision and strategy for program management that allows adaptation of program approaches based on program learning, experience, and inputs from both internal and external researchers and evaluators.

The Contractor should carefully appreciate Uganda’s current development environment, which has prompted the U.S. Government to conduct an in-depth policy review of its assistance program. It is evident that USAID/Uganda’s current and prospective implementation partners may need to become increasingly adaptive in meeting USAID’s assistance objectives. This may result in sharply limiting USAID implementing partners’ engagements with governmental authorities, fostering stronger private sector and civil society relationships, and otherwise seeking effective means of working with and through Ugandan citizens and private entities to achieve developmental objectives.

C.3 COUNTRY CONTEXT

Uganda has a population of more than 37 million people and, with an annual population growth rate of 3.2%3, is one of Africa’s fastest growing countries. As much as 51% of Ugandan’s are under 18 and the annual urban population growth rate is 5%. Although barely 17% of Ugandans live in cities at present, Uganda’s urban growth rate suggests a tripling of its urban population by 2025.4

With a per capita annual income of around US$600, Uganda is still one of the world’s poorest countries with almost a quarter of the population living on less than $1.25 a day5. The economic picture is even bleaker when considering that the World Bank’s Water and Sanitation Program estimates that poor sanitation costs Uganda the equivalent of $177 million a year. Total health expenditure as a percentage of GDP was 9.8% in 2013 with $21 million spent on healthcare due to poor sanitation and $147 lost due to premature death6.

2 A particularly vicious cycle exists between diarrhea and under nutrition: children with diarrhea eat less and are less able to absorb the nutrients from their food; and malnourished children are more susceptible to diarrhea when exposed to fecal material from their environment.

3 Uganda Bureau of Statistics 2002 – Housing and Population Census 4 World Bank. 2013. Improving service delivery in Uganda's secondary cities. Cities alliance in action. Washington DC; World Bank. http://documents.worldbank.org/curated/en/2013/01/18203683/improving-service-delivery-ugandas-secondary-cities 5 http://data.worldbank.org/indicator/SI.POV.DDAY 6 http://data.worldbank.org/indicator/SH.XPD.TOTL.ZS

Although Uganda has made improvements in access to safe water over the last few years, access to an improved water source especially in rural areas still remains low at 65%. The Government of Uganda’s golden indicator for access to rural sanitation is “the percentage of people with access to improved sanitation.” According to recent district reports, access to sanitation is at 77%. However, most of these facilities do not meet the standards of the WHO/UNICEF Joint Monitoring Program (JMP), which estimates that only 35% have access to improved sanitation (defined as not shared, cleanable, sealable, and durable), with approximately 10% practicing open defecation.7 Uganda had been unable to meet its MDG target of halving the number of people without access to improved sanitation (see Attachments J.4, J.5, J.6 and J.7). Low access has been attributed to a number of issues including poorly developed rural sanitation markets, lack of affordable improved products and services, and poor demand.

Water and sanitation facilities in Uganda’s schools are inadequate, seriously underfunded and poorly maintained, leading to many detrimental impacts on the ability of children to participate fully in education that will help lift them out of poverty. The Government of Uganda’s golden indicator on school sanitation is the “pupil to stance ratio.” In Uganda, sanitation coverage at schools has actually decreased over the recent years, as demonstrated by the decrease in the pupil to latrine stance (cubicle) ratio from 57:1 in 2004/05 to 67:1 in 2011/128. Schools suffer from poor WASH-related curricula and activities, partly due to the lack of water and sanitation services, and many have no dedicated, trained capacity to ensure the maintenance of the latrines, a critical component to sustainability. Additionally, access to hand washing facilities in schools is very low, with only 38% of schools reporting to have hand washing facilities.9 More broadly, access to and using hand washing facilities (outside of schools) stands at 33%. This percentage has not noticeably improved in recent years.

Similarly, in health facilities the lack of water, sanitation and hygiene remains a serious problem. In particular, lack of proper hand washing in health facilities is a major contributor to infections post-treatment, evidenced by the high number of neonatal deaths in Uganda. While some health facilities are still struggling with basic lack of access to water and sanitation, many are not; but unfortunately, in practice there is extremely limited hand washing or adequate WASH behaviors despite hand washing with soap being one of the most cost-effective, life-saving interventions. A study in Nepal showed hand washing by birth attendants and mothers helped reduce neonatal mortality by 41 percent.10

Beyond low household level access, the Uganda sanitation sector suffers from many interrelated issues that lead to poor quality services and poor outcomes. The 2015 Water and Environment Sector Performance Report highlighted many challenges in the WASH sector, including lack of resources, low level of attainment of Open Defecation Free (ODF) communities, poorly developed sanitation markets, and insufficient political will. Although sanitation is a high priority for most urban areas, few municipalities have done any comprehensive sanitation planning. Outside of Kampala, most districts do not have access to regular, safe or affordable pit emptying services or disposal/treatment sites for fecal waste. This means that when latrines become full, because there is no way to empty them, they are often abandoned and new facilities are constructed. Without dedicated institutions or planning and implementing platforms, urban sanitation is rapidly becoming a serious public health concern, especially regarding solid waste and fecal sludge management.

7 Uganda Ministry of Water and Environment Sector Performance Review, 2015 8 Uganda Ministry of Water and Environment Sector Performance Review, 2015. The Government’s 2014/15 target was 40:1.

9 Uganda Ministry of Water and Environment Sector Performance Review, 2015.

10 Rhee, V. et al (2009). Impact of Maternal and Birth Attendant Hand-washing on Neonatal Mortality in Southern Nepal.

C.4 DEVELOPMENT OBJECTIVE

The development objective of USAID/Uganda’s Sanitation for Health Activity is to increase the number of people with access to improved and sustainable WASH services, ultimately leading to improved health and nutrition status in focus areas and population groups in Uganda. This will be accomplished by stimulating demand for improved sanitation and hygiene through a comprehensive behavior change strategy, increasing access to financial products and private sector led supply of sanitation products and services, and strengthening the enabling environment to promote water and sanitation for all.

C.5 STATEMENT OF WORK

The contract will accelerate sustainable improvement in water and sanitation access and improve hygiene behaviors in select districts. To accomplish this, the Contractor will conduct activities which achieve the following:

1. Increase household access to sanitation and water services;

2. Expand adoption of key hygiene behaviors at home, school, and health facilities;

3. Strengthen district water and sanitation governance for sustainable services.

The activities the Contractor conducts to achieve these outputs and the indicators for tracking their achievement are described below.

Output 1: Increase household access to sanitation and water services

Essential to enabling improved WASH behaviors is well functioning sanitation and water supply services.

However, with government of Uganda’s limited resources and engagement in the provision of these services, engagement of the private sector remains the most promising approach to realize significant improvement of services at scale. With the high prevalence of on-site sanitation and communal sanitation solutions, there is a need for more attention to testing and developing promising approaches for the collection, transport, disposal, and treatment/reuse of waste in districts. In water supply, despite positive trends in increasing Uganda’s water supply coverage, there remain significant questions to regarding the safety, quality, and sustained nature of this access.

Required activities include:

1.1 Increase access to and improve sanitation products and services

The Contractor will implement a range of best practices to develop and scale-up market-based sanitation products and services in Uganda. Market-based sanitation efforts will compliment and link up with the demand creation approach (activity 2.1) as appropriate. During the contract’s 90-day inception/start-up period, the Contractor will engage key stakeholders in government, civil society and private sector to develop a plan, focused on formulating necessary research and testing, in order to develop a national sanitation marketing strategy by year two that applies commercial principles, as well as evidence-based and user-centered design principles to Uganda’s sanitation service delivery at a national scale.11

11 Please note that in 2007, USAID funded a review by the Hygiene Improvement Project (Academy for Education Development) of Opportunities for Sanitation Marketing in Uganda. This review can be found at:

http://www.hip.fhi360.org/file/18853/Opportunities%20for%20Sanitation%20Marketing%20in%20Uganda%20- %20HIP-2007.pdf

The Contractor will support the sector to develop a comprehensive understanding of the current market conditions and segments, its trends and drivers, and consumer knowledge, attitudes and practice; and the opportunities and barriers to scale up of services through evidence based research. As a part of the sanitation and marketing strategy, the Contractor must complete a formative household and facility based (schools and health centers) survey to understand key barriers and opportunities. With a thorough understanding of the market, the Contractor will provide technical assistance to existing and emerging enterprises, and support the development of new innovative ones, utilizing customer centered focus in targeted districts. The Contractor will target specific user populations for assistance and support.

The Contractor must support and mentor enterprises to utilize creative combinations of the improved products and services with financial services to launch and scale-up offerings, aiming to reach the poor and underserved. Thus, the Contractor must facilitate a range of financial instruments or credit services to facilitate access to these products and services. Activities will be timed to ensure complementary supply of hardware and credit services are available as demand is created. Further enabling measures will be developed with regional, district and local governments to ensure a strong incentive for improvements, especially among the poorest such as laws banning open defecation, enforcement of bi-law regulations on the books, financial incentives and reduced barriers for enterprises that enter the market, or public private partnerships opportunities.

1.2 Develop new management models for improved water supply and sanitation services

The Contractor will improve water and sanitation in targeted districts through engagement of the private sector in provision of services. In particular, the Contractor will mobilize private sector financing, through small loan guarantees or developing and proposing other creative mechanisms, into operations and maintenance and in some cases even meeting capital costs and of water and sanitation services. Especially for rural areas, economies of scale may require strategies such as clustering of services, public private partnerships, or other creative commercially oriented strategies to consolidate demand and ensure services such as latrine pit emptying and disposal, solid waste collection, and operations and maintenance of piped or hand pumped water supplies are well operated and maintained. The Contractor’s approach must build upon key sector learning, vision, and initiatives such as National Water and Sewerage Corporation (NWSC’s) expansion, IRC’s Sustainable Services at Scale (SSS) experience and activities of the Water and Sanitation Development Facility (WSDF) to avoid overlap, adaptation, and collaboration of initiatives where appropriate.

Ensuring the functionality of water supplies and sanitation services will also require greater participation of the community, local government and the service provider (entrepreneur). Communities must be consulted and encouraged to become the primary decision makers in the levels of service, such as technology and management selection, based on their ability to effectively plan, manage and sustain operations. Community participation will introduce and support all community members. The goal is for local government entities and beneficiaries to become increasingly active and responsible in decision-making related to water and sanitation service delivery. The role of households to pay for the quality of services is an important element of financial sustainability and activities to educate and motivate prompt payment should be a part of the management models. Within the Annual Work Plan, the Contractor will propose gender-sensitive solutions and investigate their contribution to this program’s success.

Cultivating Ugandan entrepreneurial capacity will also be key to sustaining the services they provide.

Whether as individuals or organized into Associations like the Water Mechanics Association (WMA), water and sanitation entrepreneurs will require tailored technical assistance for business management and technical operations and maintenance.

The required results for this output include:

750,000 people gain access to an improved sanitation facility12, 40% in the lowest two poverty quintiles

Ensure or establish at least 1 enterprise or linked enterprises offering a latrine product in all targeted districts

Established strategy for market-based sanitation improvement 20 knowledge products related to models of water and sanitation service delivery created with contract efforts All urban areas in supported districts have access to safely managed excreta services At least 10,000 people gain access to improved drinking water source, 40% in the lowest two poverty quintiles (i.e. new access)13 At least 100,000 people with improved service quality from existing improved drinking water sources (i.e. existing access)14 By the end of the contract complete at least one national and one event in each of the 7 regions to promote learning and scaling of market-based approaches to sanitation

Output 2: Expand adoption of key hygiene behaviors at home, school, and health facilities

The greatest health outcomes from investments in WASH are achieved when individuals correctly and consistently practice improved hygiene behaviors. As such, the Contractor will drive an effort to expand behavioral and social change in WASH in Uganda through a systematic and evidenced-based social and behavior change program. The Contractor will collaborate closely with other donors and implementing partners to support the GoU’s Improved Sanitation and Hygiene (ISH) strategy including ending open defecation in Uganda and scaling up improved sanitation coverage by implementing a coordinated at-scale sanitation and hygiene behavior change campaign.

The Contractor must coordinate and collaborate with other USAID activities as appropriate, especially nutrition, governance, communication, and community health efforts.

2.1 Implement demand-led community led total sanitation (CLTS) at-scale

CLTS is central to the GoU sanitation approach and will therefore be the building block of the Contractor’s sanitation and hygiene improvement in targeted districts. The Contractor will build upon the success and experience of the GoU ISH Strategy and efforts of partners, such as the Uganda Sanitation Fund (USF). The Contractor will conduct a literature review and compile a list of recommendations of all evidence-based WASH interventions that have proven successful in Uganda, or similar contexts. The MOH and USF have acknowledged some limitations of their model and believe opportunities exist for improvement.

12 Standard F indicator. Improved sanitation facilities ensure hygienic separation of human excreta from human contact, defined as not shared, cleanable, sealable and durable. Such facilities include: Flush or pour/flush latrines to piped sewer, septic system, or pit latrine; ventilated improved pit latrine; pit latrine with slab; or composting toilet. This indicator can be consolidated with other USAID country programs to track progress toward meeting the Water and Development Strategy’s SO1 targets of reaching 6 million people with first time and improved access to sustainable sanitation.

13 Standard F indicator. This indicator (and the indicator below it) will be consolidated with other USAID country programs to track progress toward meeting the Water and Development Strategy’s SO1 targets of reaching 10 million people with first time and improved access to sustainable water supply.

14 Standard F Indicator. Improved drinking water supply functionality refers to ease of access, reliability (e.g. increases in operational hours at a defined quality and quantity), and affordability (e.g. such that the average price consumers pay for water is no higher than two times the average water tariff for piped water into the dwelling in their country).

Within the first Annual Work Plan, the Contractor will describe implementation of an at-scale sanitation and hygiene campaign based on CLTS. Key to the Contractor’s approach will be adoption of a demand-led methodology that responds to communities’ requests and initiative and professionalization of CLTS implementation to increase the quality of facilitation. This will be linked to activity 1.1, through consolidating demand to negotiate improved prices and/or to demonstrate unmet demand to potential entrepreneurs to encourage their entry into the sanitation market.

The Contractor will also include efforts to strengthen the enabling system for ending open defecation through the design of appropriate capacity building to the Environmental Health Division (EHD) in MoH, districts and local governments, NGOs and private sector actors as appropriate. The Contractor will also support a regular monitoring and learning agenda to support improvements in the GoU ISH Strategy with the MoH, Sanitation Working Group, and Program Coordination Mechanism (PCM).

2.2 Increase adoption of key hygiene behaviors at home

A key to realizing health improvements from improved water supply and sanitation access includes adoption of the safe disposal of feces, safe food preparation, safe water storage, and hand washing with soap after defecation. The Contractor will develop a strategy based on their literature review above and formative research that focuses on barriers and motivators for these key hygiene behaviors. The Contractor will then, in collaboration with other USG partners, implement or strengthen coordinated district-wide behavior change campaigns that targets these key hygiene behaviors.

2.3 Improve school WASH behaviors and management

A school with adequate WASH is one in which the whole school community carries out key practices of using improved sanitation facilities, hand washing with soap at critical times, and drinking safe water. A number of policies have been developed in Uganda to support school WASH, however sanitation coverage at schools has actually decreased over the recent years and handwashing coverage remains low.

Despite the poor pupil to facility ratio in Uganda many WASH facilities already exist in schools, however they are often not properly managed, operated or maintained. The Contractor will provide technical assistance to districts and individual schools to engage with teachers, school directors, parents and student leaders to become WASH Friendly by promotion of sustainable WASH activities in schools that include:

a. Dedicated and paid WASH attendant or coalition at each school for regular operation and maintenance of facilities;

b. Adequate menstrual hygiene management (MHM) facilities for girls;

c. Strong School Health Clubs (SHC) appropriately linked with support from community organizations;

d. Good pupil understanding of WASH practices in and out of the classroom;

e. Access to Fecal Sludge Management (FSM) services;

f. Evidence-based, behaviorally designed WASH education materials for students and families;

g. Institutionalized WASH behaviors (e.g. setting of bathroom breaks for each class, group hand washing before lunch, etc.).

These activities must be based on solid behavioral evidence and integrated with other WASH activities or trainings in the community, such as but not limited to CLTS and FSM market-based services.

Appreciating where USAID already has investments in education, the Contractor will lend support to an enabling environment by supporting activities such as implementing policies or agreements that involve key Ministries, drafting and vetting WASH facility standards and supporting agreed-upon criteria for WASH-friendly schools. The Contractor will also strongly focus on activities that promote MHM, including creation of safe, clean, and private spaces for girls to change and wash; and MHM education as part of a school curriculum, club, or program, as well as pad access or pad production.

2.4 Integrate promotion of essential WASH actions in health facilities

Hygiene in health facilities is also critically important as the number of facility based infections continues to be high, especially related to neonatal infant mortality caused by infections during birth. The Contractor will support health facility hygiene audits and action planning in each of the supported districts. Models linking WASH services in health facilities to management models and local government capacity building under activities 1.2 and 3.1 should be considered. Emphasis will be placed on facilities that USAID may already be working in through its Regional Health Integration to Enhance Services (RHITES) projects.

1,000,000 people living in Open Defecation Free (ODF) environments as a result of USG assistance15

100,000 households with soap and water at a hand washing station commonly used by family members in USG assisted programs16

Targeted districts supported to implement a WASH social and behavior change campaigns, integrated with nutrition and health services as appropriate

National standards/criteria for WASH-friendly schools supported 250 schools facilitated to become WASH Friendly17 125 USAID-supported health facilities conduct hygiene audits and action planning

Output 3: Strengthen District Water and Sanitation Governance

Underpinning most challenges facing the Ugandan WASH sector are significant weaknesses in governance. Adequate institutional arrangements and capacity needs to be in place for the sustained delivery of high quality WASH services. The Contractor will work to facilitate local ownership and engagement at all stages of activity planning and implementation, allocation of resources and ongoing management responsibility for service delivery. Through an explicit focus on governance and institutional strengthening, the Contractor will work with district, sub-district, community/local, regional and national government entities to develop the necessary supportive structures and capabilities to enable service providers to flourish, and provide necessary support in order to effectively plan, oversee and sustain WASH programming.

3.1 Strengthening local governance and management

15 Standard F indicator 16 Standard F indicator 17 WASH Friendly is not a harmonized indicator in Uganda, but consider the key WASH aspects of a school to support health and education such as regular operation and maintenance; adequate menstrual hygiene management (MHM) facilities; good pupil understanding of WASH practices in and out of the classroom; and access to Fecal Sludge Management (FSM) services.

In the context of decentralization many challenges facing the Ugandan WASH sector will only be improved through strengthened governance, particularly local governance. The Contractor will work to facilitate local ownership and engagement at all stages of planning and implementation, allocation of resources, and ongoing management responsibility for service delivery through participation in the annual district planning process (i.e. the Contractor's district implementation activities must be reflected in the district government planning). The Contractor will also support the establishment and strengthening of community/local, district and regional institutions to develop the necessary capabilities to enable sustainable WASH outcomes in home, school and health facility settings. To build upon existing health information monitoring systems (HIMS) and/or national/district/ministerial monitoring systems, the Contractor will support strengthening mechanisms for a WASH quality monitoring platform with district/local government, the District Water and Sanitation Department (DWSD) and the district health department that systematically feeds back into routine planning activities and helps document results. The Contractor will also support district and community level ODF monitoring and certification processes that can realistically function at-scale.

3.2 Support selected WASH sector policy reforms

Despite the GoU’s extensive promotion of sanitation improvement through primarily demand creation, impact is only being seen in strongly supported districts with USF sanitation grants (now 30 districts mostly in the east and west). The remaining districts have little funding or pressure to achieve improvements in sanitation, with only an estimated 5.5 million UGX per quarter. In the institutional framework, sanitation roles and responsibilities are not clearly aligned with financing and there is not a clear approach to national improvement. With definitions for sanitation coverage varied across international and government institutions there is limited momentum to solve this challenge politically.

There are concerns whether the uptake of sanitation is occurring only at the lowest levels of the sanitation ladder, and that there is relatively little adoption of MDG-defined ‘improved’ sanitation facilities. The Contractor will work with the GoU and other stakeholders to improve government CLTS approach and ISH strategy to achieve immediate adoption of improved sanitation facilities and hand washing facilities rather than accepting the less safe and hygienic alternatives. Such interventions will enhance health outcomes, and also complement work done on commercialization of sanitation products and services supported under Output 1. Similar reform efforts must be undertaken to support enabling environment changes that better sustain water supply infrastructure and services.

All urban areas in supported districts have developed or updated a sanitation action plan.

An effective sanitation monitoring and ODF certification platform developed and supported in target districts 10,000 communities (villages) certified Open Defecation Free (ODF) as a result of USG assistance18 Targeted districts receive WASH institutional strength index of 75% or greater19 1 policy, agreement, plan, or regulation improved in each target district promoting access to improved water supply and sanitation

The Contractor will closely monitor and report on the key indicators in effort to continuously improve cost effectiveness and sustainability of implementation: 1) The rate of communities (villages) triggered

18 Standard F indicator 19 The Institutional Strength Index is a proposed measure of an institutional unit’s (such as district government) functionality to plan, oversee, and sustain WASH programming.

that are certified ODF and 2) the rate of communities (villages) that continue to be ODF one year after certification.

C.6 EVALUATION

The Agency requires data and information to improve performance and effectiveness as well as to inform planning and management decisions. This project will have a robust and progressive Activity Monitoring and Evaluation Plan (AMEP) that tracks implementation of activities and progress in key activities.