RFP_SOL-685-13-000005-JPC_Sahel-REGIS-AG.pdf

Request for Proposal (RFP) Issuance Date: March 15, 2013 Deadline for Receipt of Questions: April 1, 2013 , 17:00 Dakar Local Time Responses to Questions/RFP Amendment: April 8, 2013, 17:00 Dakar Local Time RFP Closing Date: April 29, 2013 RFP Closing Time: 08:00 Dakar Local Time

Subject: RFP No. SOL-685-13-000005 Resilience and Economic Growth in the Sahel - Accelerated Growth (REGIS-AG)

Dear Prospective Offerors:

The United States Government, represented by the U.S. Agency for International Development (USAID) Senegal Regional Mission (USAID/Senegal) is seeking proposals from qualified organizations interested in providing technical services for the project entitled “Resilience and Economic Growth in the Sahel - Accelerated Growth (REGIS-AG)” as described in the attached solicitation.

This procurement is conducted through full and open competition for which the procedures for “contracting by negotiation, trade-off process”, as described in Part 15 of the Federal Acquisition Regulations (FAR), shall apply. All types of organizations are eligible to compete under this RFP.

USAID/Senegal Regional Mission intends to award a cost-plus-fixed-fee (CPFF) completion type contract for a period of five (5) years from the date of award with an estimated costing ranging between $35,000,000 - $40,000,000.

Although an estimated range is provided, Offerors should propose costs that they believe are realistic and reasonable for the work described in their Proposal. The most effective approach for achieving the expected results is encouraged and award will be made to the offeror whose proposal offers the best value to the Government considering technical and cost factors (see Section M).

USAID encourages the participation to the maximum extent possible of small business concerns in this activity as a prime contractor or a subcontractor. In support of Implementation of Procurement Reform (IPR), USAID also encourages proposals that include partnerships or teams (prime and subs) with regional/local partners.

To facilitate a timely response, all questions and requests for clarification concerning this solicitation must be submitted electronically by the due date indicated above to jpcregisag@usaid.gov. If substantive questions are received which affect the response to the solicitation, or if changes are made to the closing date and time, as well as other aspects of the RFP, this solicitation will be amended. The amendments made will be issued and posted on the Federal Business Opportunities (FBO) website (http://www.fbo.gov). Offerors are strongly encouraged to check the FBO website periodically as acknowledgement of any such amendments is required to accompany the Offeror’s proposal.

When submitting questions and requests for clarification, please make reference to the specific RFP as follows: Subject: SOL-685-13-000005 REGIS-AG Project Reference: SOL Section ___, paragraph ___, page ___

It is the responsibility of the recipient of this solicitation to ensure that the RFP has been downloaded and received in its entirety, including subsequent solicitation amendments, if any. USAID/Senegal Regional Mission bears no responsibility for data errors resulting from download, transmission, or conversion processes. Furthermore, Offerors are advised to read the solicitation carefully. Block 12 of Standard Form 33 of this RFP requires that offers remain valid for 180 calendar days from the closing date.

Proposal Due Date:

Proposals are due on April 29, 2013 by 08:00 (Dakar local time). Late proposals will not be accepted.

Only electronic submission will be accepted for receipt of this solicitation. Faxes are also not acceptable.

All questions and request for clarification must be received by April 1, 2013 not later than 17:00 (Dakar local time) and must be sent to the following email address: jpcregisag@usaid.gov. Offerors must NOT submit questions to any other USAID staff, including the technical office.

Proposals shall be submitted as follows: (see Section L.3 of solicitation) An electronic copy of the technical proposal in Microsoft Word and cost proposal in Microsoft Excel with workable calculations shown in the spreadsheet and an electronic version of the narrative discussing the costs for each budget line, must be submitted to the following email address:

Email address: jpcregisag@usaid.gov.

The subject line for every email must be formatted as follows:

Resilience and Economic Growth in the Sahel (REGIS-AG) Activity RFP SOL- 685-13-000005 Offeror’s name TECHNICAL proposal EMAIL: 1 of XX

Resilience and Economic Growth in the Sahel (REGIS-AG) Activity RFP SOL- 685-13-000005 Offeror’s name COST proposal EMAIL: 1 of XX

Offerors are also instructed to pay careful attention to Section K – “Representations, Certifications and Other Statements of Offerors” of the RFP. Offerors must comply with FAR 52.204-7, Central Contractor Registration (CCR) website at https://www.sam.gov/portal/public/SAM/, and complete the annual representations and certifications electronically via the Online Representations and Certifications Application (ORCA) website (http://orca.bpn.gov).

Issuance of this solicitation does not in any way obligate the U.S. Government to award a contract nor does it commit to pay for any costs incurred by the offeror in the preparation and submission of a proposal. Award will be subject to funds availability following the proper completion of required USAID internal processes and other internal USAID approvals.

Sincerely, Beatrice M. Condé Regional Contracting Officer USAID/Senegal

Attachment: REGIS-AG RFP SOL-685-13-000005

REGIS-AG SOL-685-13-000005

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Table of Contents

PART I – THE SCHEDULE

SECTION B ‐ SERVICES AND PRICE/COSTS

B.1. PURPOSE

B.2. CONTRACT TYPE

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

B.4. CONTRACT BUDGET AND TOTAL PRICE

B.5. INDIRECT COSTS

B.6. CEILING ON INDIRECT COST RATES

B.7. COST REIMBURSABLE

B.8. CANCELLATION PROCEDURES

B.9. FIXED FEE - FAR 52.216-8 (JUN 2011)

SECTION C ‐ STATEMENT OF OBJECTIVES

C.1. INTRODUCTION

C.2. BACKGROUND

C.3. SCOPE

C.4. OBJECTIVES

C.5. REQUIREMENTS AND EXPECTED RESULTS

C.6. PLACE OF PERFORMANCE

C.7. COORDINATION WITH HOST COUNTRY COUNTERPARTS AND OTHER

IMPLEMENTERS

SECTION D – PACKAGING AND MARKING

D.1. AIDAR 752.7009 MARKING

D.2. BRANDING STRATEGY AND MARKING PLAN

SECTION E – INSPECTION AND ACCEPTANCE

E.1. NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REF

E.2. INSPECTION AND ACCEPTANCE

E.3. CONTRACTOR PERFORMANCE EVALUATION

SECTION F– DELIVERIES OR PERFORMANCE

F.1. NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REF

F.2. PERIOD OF PERFORMANCE

F.3. PLACE OF PERFORMANCE

F.4. KEY PERSONNEL

F.5. PERFORMANCE STANDARDS

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F.6. REPORTS AND DELIVERABLES OR OUTPUTS

F.7. ENVIRONMENTAL COMPLIANCE

F.8. AIDAR 752.242-70 PERIODIC PROGRESS REPORTS

F.9. PROJECT EVALUATION

F.10. LANGUAGE OF REPORTS AND OTHER OUTPUTS

F.11. AIDAR 752.7005, SUBMISSION REQUIREMENTS FOR DEVELOPMENT

EXPERIENCE DOCUMENTS

SECTION G - CONTRACT ADMINISTRATION DATA

G.1. CONTRACTING OFFICER’S AUTHORITY

G.2. CONTRACTING OFFICER’S REPRESENTATIVE

G.3. TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID

G.4. AIDAR 752.7003 DOCUMENTATION FOR PAYMENT

G.5. PAYING OFFICE

G.6. ACCOUNTING AND APPROPRIATION DATA

SECTION H - SPECIAL CONTRACT REQUIREMENTS

H.1. NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REF

H.2. AUTHORIZED GEOGRAPHIC CODE

H.3. 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS

H.4. NON-EXPENDABLE PROPERTY PURCHASES AND INFORMATION

TECHNOLOGY RESOURCES

H.5. VALUE ADDED TAX (VAT) AND CUSTOMS DUTIES

H.6. REPORTING OF FOREIGN TAXES

H.7. LOGISTICAL SUPPORT

H.8. 752.211-70 LANGUAGE AND MEASUREMENT

H.9. GOVERNMENT FURNISHED FACILITIES OR PROPERTY

H.10. AIDAR 752.7007 PERSONNEL COMPENSATION

H.11. ADDITIONAL REQUIREMENTS FOR PERSONNEL COMPENSATION

H.12. EMPLOYMENT OF THIRD COUNTRY NATIONALS AND COOPERATING

COUNTRY NATIONALS

H.13. INSURANCE AND SERVICES

H.14. AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC) Services

H.15. AIDAR 752.7004 EMERGENCY LOCATOR INFORMATION

H.16. EXECUTIVE ORDER ON TERRORISM FINANCING

H.17. USAID DISABILITY POLICY - ACQUISITION

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H.18. AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND

NOTIFICATION REQUIREMENTS

H.19. FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL

CONFERENCES

H.20. CONFIDENTIALITY AND OWNERSHIP OF INTELLECTUAL PROPERTY 57

H.21. DISCLOSURE OF INFORMATION

H.22. CONTRACTOR’S USE OF PROJECT VEHICLES AND LIABILITY

INSURANCE REQUIREMENTS FOR PRIVATELY OWNED VEHICLES

H.23. BUSINESS CLASS TRAVEL

H.24. NEWS RELEASE

H.25. CONSENT TO SUBCONTRACT

H.26. TITLE TO PROPERTY

H.27. PRESS RELATIONS

H.28. ELECTRONIC SUBCONTRACTING REPORTING SYSTEM (eSRS) SF 294 –

SUBCONTRACTING REPORT FOR INDIVIDUAL CONTRACTS AND SF 295 –

SUMMARY CONTRACTING REPORT

H.29. UTILIZATION OF SMALL BUSINESS CONCERNS

H.30. 52.232-99 PROVIDING ACCELERATED PAYMENT TO SMALL BUSINESS

SUBCONTRACTORS (DEVIATION) (AUG 2012)

H.31. 752.7101 VOLUNTARY POPULATION PLANNING (JUNE 2008)

H.32. 52.217-2 CANCELLATION UNDER MULTI-YR CONTRACTS (OCT 1997).. 61

PART II - CONTRACT CLAUSES

SECTION I - CONTRACT CLAUSES

I.1. NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REF

I.2. FAR 52.252-2 CLAUSES INCORPORATED BY REFERENCE

I.3. FAR 52.204-1 APPROVAL OF CONTRACT

I.4. FAR 52.216-24 LIMITATION OF GOVERNMENT LIABILITY

I.5. FAR 52.216-25 CONTRACT DEFINITIZATION

I.6 FAR 52.222.50 COMBATING TRAFFICKING IN PERSONS

I.7. FAR 52.252-4 ALTERATIONS IN CONTRACT

I.8. AIDAR 752.209-71 ORGANIZATIONAL CONFLICTS OF INTEREST

DISCOVERED AFTER AWARD

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS

SECTION J - ATTACHMENTS

ATTACHMENT J.1 - REGIS RESULTS FRAMEWORK

ATTACHMENT J.2 - REGIS ROLES AND RESPONSIBILITIES

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ATTACHMENT J.3 – THEORY OF CHANGE

ATTACHMENT J.4 – PROGRAM COMPONENTS

ATTACHMENT J.5 – REQUIRED AND ILLUSTRATIVE INDICATORS BY

OBJECTIVE AND RESULT

ATTACHMENT J.6 – SAHEL JOINT PLANNING CELL - OBJECTIVE 1

ATTACHMENT J.7 – SAHEL FOOD INSECURITY AND COMPLEX EMERGENCY 97

ATTACHMENT J.8 – PRO-POOR VALUE CHAIN ANALYSIS

ATTACHMENT J.9 – SAHEL JPC STRATEGY

ATTACHMENT J.10 – CONTRACTOR EMPLOYEE BIO-DATA SHEET

ATTACHMENT J.11 – LLL - DISCLOSURE OF LOBBYING ACTIVITIES

ATTACHMENT J.12 – SUMMARY SUBCONTRACT REPORT (SF 295)

ATTACHMENT J.13 – USAID SMALL BUSINESS SUBCONTRACTING PLAN

TEMPLATE

PART IV - REPRESENTATIONS AND INSTRUCTIONS

SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER

STATEMENTS OF OFFERORS

K.1. 52.204-3 TAXPAYER IDENTIFICATION

K.2. 52.204-6 DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER

K.3. 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS

K.4. 52.225-25 PROHIBITION ON CONTRACTING WITH ENTITIES ENGAGING

IN CERTAIN ACTIVITIES OR TRANSACTIONS RELATING TO IRAN—

REPRESENTATION AND CERTIFICATIONS

K.5. INSURANCE - IMMUNITY FROM TORT LIABILITY

K.6. AGREEMENT ON, OR EXCEPTIONS TO, TERMS AND CONDITIONS

K.7. AUTHORIZED NEGOTIATORS

K.8. SIGNATURE

SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L.1. NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY

REFERENCE

L.2. FAR 52.233-2 SERVICE OF PROTEST

L.3. GENERAL INSTRUCTIONS TO OFFERORS

L.4. RESPONSIVENESS TO RFP

L.5. OFFEROR’S RESPONSIBILITIES

L.6. INSTRUCTIONS FOR PREPARATION OF TECHNICAL PROPOSAL

L.7. INSTRUCTIONS FOR THE PREPARATION OF THE COST PROPOSAL

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L.8. INSTRUCTIONS FOR PREPARATION OF THE BRANDING

IMPLEMENTATION AND MARKING PLANS

L.9. GOVERNMENT OBLIGATION

SECTION M – EVALUATON FACTORS FOR AWARD

M.1. GENERAL INFORMATION

M.2. TECHNICAL EVALUATION CRITERIA

M.3. COST/BUSINESS EVALUATION

M.4. CONTRACTING WITH SMALL BUSINESS CONCERNS AND

DISADVANTAGED ENTERPRISES

M.5. DETERMINATION OF THE COMPETITIVE RANGE

M.6. SOURCE SELECTION

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PART I – THE SCHEDULE

SECTION B ‐ SERVICES AND PRICE/COSTS

B.1. PURPOSE

The purpose of this contract is to provide technical assistance and services as described in detail in Section C - Statement of Objectives for the implementation of USAID/Senegal Regional Mission’s “Resilience and Economic Growth in the Sahel - Accelerated Growth” (REGIS-AG) Project.

B.2. CONTRACT TYPE

This is a cost-plus-fixed-fee (CPFF) completion-type contract. For the consideration set forth below, the Contractor shall achieve the performance objectives and deliverables or outputs described in the Statement of Work located in Section C in accordance with the performance standards specified herein.

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

(a) For the five-year contract period, the estimated cost for the performance of the work required hereunder, exclusive of fixed fee, is $_ TBD _. The fixed fee, for the contract period is $_ TBD.

The total estimated cost plus fixed fee is $ TBD ________.

(b) Within the estimated cost plus fixed fee specified in paragraph (a) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the Contractor (and payment of fee) for performance of the contract period hereunder is $TBD. The Contractor must not exceed the aforesaid obligated amount unless authorized by the Contracting Officer pursuant to the clause of this contract entitled “Limitation of Funds” (FAR 52.232-22).

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

B.4. CONTRACT BUDGET AND TOTAL PRICE

(a) The contract budget found herein is based on the contractor’s original proposal and/or final proposal revision, which was accepted by USAID through award of this contract.

(b) Without the prior written approval of the Contracting Officer, the Contractor may not exceed the total estimated costs set forth in the budget hereunder or the total obligated amount, whichever is less.

(c) The following itemized budget sets forth the estimates for reimbursement of dollar costs for individual line items of cost, and the fixed fee.

LINE ITEMS

Item CLIN Year 1 Year 2 Year 3 Year 4 Year 5 TOTAL Direct Costs 1 Indirect Costs 2 Fixed Fee 3 Total Estimated Costs Plus Fixed Fee

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B.5. INDIRECT COSTS

The contract clause entitled “Allowable Cost and Payment (June 2011)”, FAR52.216-7, specifies that the indirect cost rates must be established for each of the Contractor’s accounting periods that apply to this contract. Pending establishment of revised provisional or final indirect cost rates, allowable indirect costs must be reimbursed on the basis of the following negotiated provisional or predetermined rates and the appropriate bases:

Description Rate Base Type Period 1/ 1/ 1/ 2/ 2/ 2/ 1/ Base of Application:

Type of Rate:

Period:

2/ Base of Application:

Type of Rate:

Period:

Note: The Contractor is allowed to recover applicable indirect costs (i.e., overhead, G&A, etc.) on other direct costs (ODCs), if it is part of the Contractor’s usual accounting procedures, consistent with FAR Part 31, and Negotiated Indirect Cost Rate Agreement (NICRA). Indirect costs shall not be allowed for local organizations. All costs for local organizations shall be budgeted and billed as direct costs.

B.6. CEILING ON INDIRECT COST RATES

(a) For each of the contractor's accounting periods during the term of this contract, the parties agree as follows:

(1) The distribution base for establishment of final overhead rates is ___________________.

(2) The distribution base for establishment of final G&A rates is ______________________.

(The offeror having Government approved rates agreement is to complete, subject to negotiations of the ceiling rates)

(b) The contractor will make no change in its established method of classifying or allocating indirect costs without the prior written approval of the contracting officer.

(c) Reimbursement for indirect costs shall be at final negotiated rates, but not in excess of the following ceiling rates for each fiscal year:

Indirect Cost Type FY 13 FY 14 FY 15 FY 16 FY 17 FY18

1. _____________ _____ _____ _____ _____ _____ _____

2. _____________ _____ _____ _____ _____ _____ _____

3. _____________ _____ _____ _____ _____ _____ _____

(d) The government shall not be obligated to pay any additional amount on account of indirect costs above the ceiling rates established in the contract. This advance understanding shall not change any monetary ceiling, cost limitation, or obligation established in the contract.

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B.7. COST REIMBURSABLE

The US dollar costs allowable must be limited to reasonable, allocable and necessary costs determined in accordance with FAR 31 (Contract Cost Principles), A-21 (Cost Principles for Educational Institutions), A-122 (Cost Principles for Non-Profit Organizations), FAR 52.216-7 (Allowable Cost and Payment), FAR 52.216-8 (Fixed Fee), if applicable, and AIDAR 752.7003 (Documentation for Payment).

B.8. CANCELLATION PROCEDURES

In accordance with FAR 17.106-1(c) Cancelation procedures, all program years except the first are subject to cancellation. The cancellation ceiling shall be established below for years two, three, four and five of the contract.

Cancellation dates for years two, three, four and five are shall be the following:

Contract Year Two: _______ _TBD_______ Contract Year Three: ________TBD_______ Contract Year Four: ________TBD_______ Contract Year Five: ________ 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”. 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. Therefore, the cancellation ceiling for each cancellation date is [negotiated amount].

B.9. FIXED FEE - FAR 52.216-8 (JUN 2011)

Fixed Fee Payment. For performing this contract, USAID paying office must pay the Contractor a percentage of the fixed fee that directly corresponds to the percentage of allowable costs being paid as specified in the Schedule.

In the event of discontinuance of the work in accordance with the clause of the contract entitled “Termination (Cost Reimbursement)” (FAR 52.249-6), the fee must be re-determined by mutual agreement equitably to reflect the reduction in the work actually performed. The amount by which such fee is less than, or exceeds, payments previously made on account, the fee must be paid to, or repaid by the Contractor, as applicable.

[END OF SECTION B]

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SECTION C ‐ STATEMENT OF OBJECTIVES

RESILIENCE AND ECONOMIC GROWTH IN THE SAHEL

ACCELERATED GROWTH (REGIS-AG)

Acronym List

3N - The Government of Niger’s Nigeriens Nourish Nigerians AGIR - Alliance Globale pour l'Initiative Resilience (Global Alliance for Resilience Initiative) AO - Agreement Officer AOR - Agreement Officer Representative ATP/ EATP – Agribusiness and Trade Promotion/Expanded Agribusiness and Trade Promotion BCC - Behavior Change and Communication CHW/Vs - Community Health Workers/Volunteers CILSS - Permanent Interstate Committee for drought control in the Sahel CLA - Collaborate, Learn and Adapt CO - Contracting Officer COR - Contracting Officer Representative CORAF - West and Central African Council for Agricultural Research and Development CRS - Catholic Relief Services DANIDA - Danish International Development Agency DCA - Development Credit Authority DFID - United Kingdom Department for International Development DRR - Disaster risk reduction EA - Environmental Assessment ECHO - European Community Humanitarian Aid Office ECOWAS - The Economic Community Of West African States EMMP - Environmental Mitigation and Monitoring Plan ENA - Essential Nutrition Actions EU - European Union FAO - Food and Agriculture Organization of the United Nations FFP - Food for Peace FMNR - Farmer Managed Natural Regeneration GAFSP - Global Agriculture and Food Security Program GAM - Global Acute Malnutrition GAM - Global acute malnutrition GPS - Global Position System ICT - Information and Communication Technologies IFAD – International Fund for Agricultural Development IFDC - International Fertilizer Development Center ISFM - Integrated Soil Fertility Management LOE – Level of Effort M&E - Monitoring and Evaluation MCC - The Millennium Challenge Corporation MFI - Microfinance Institutions NGO - Non-Governmental Organization NRM - Natural Resource Management

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OFDA - The Office of U.S. Foreign Disaster Assistance PD - Program Description PDEV - Peace through Development Program PIO - Public International Organization PMP - Performance Monitoring and Evaluation PNSR - The Government of Burkina Faso National Program for Rural Sector PVO - Private Voluntary Organization REGIS - Resilience and Economic Growth in the Sahel REGIS-AG - Resilience and Economic Growth in the Sahel Accelerated Growth REGIS-ER - Resilience and Economic Growth in the Sahel Enhanced Resilience RFA - Request for Application RFP - Request for Proposal SACCO - Savings and Credit Cooperative Organizations SOM - Soil Organic Matter SOO - Statement of Objectives SOW - Statement of Work TSCTP - Trans-Sahara Counter-Terrorism Partnership UEMOA- L’Union économique et monétaire ouest-africaine (West African Economic and Monetary Union) UNFPA- United Nations Population Fund UNICEF - United Nations Children’s Fund USDA - The US Department of Agriculture USG – United States Government VOIP - Voice over IP WASH - Water, Sanitation and Hygiene WAWASH - Water Supply, Sanitation and Hygiene Program WEAI - Women’s Empowerment in Agriculture Index WFP - United Nations World Food Program

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C.1. INTRODUCTION

The agro-pastoral and marginal agriculture zones in the Sahel suffer from high levels of poverty, historical (and current) marginalization, water scarcity, weak governance and gender inequality. Against this already challenging backdrop, a complex set of drivers and dynamics have resulted in a large and growing resilience deficit characterized by the inability of people, households, communities, countries and systems to mitigate, adapt to, and recover from shocks and stresses in a manner that reduces chronic vulnerability and facilitates inclusive growth.

Chief among these drivers and dynamics are population pressure, climate change and variability, and a growing reliance by households on markets to meet their food needs. The combination of these dynamics and drivers and the interaction between them has led to increased susceptibility to food price volatility, competition and conflict over resources, land degradation, uncertain production, declining land holdings, households exiting from farming and livestock keeping, declining and variable incomes, divestment of assets, and indebtedness. Population growth rates, upwardly volatile food prices and predicted increases in the frequency and intensity of climatic shocks suggest that, if left unaddressed, the depth and breadth of the already large resilience deficit in these zones will continue to grow at an accelerated pace.

It is within this context that there is now widespread recognition among national governments, regional institutions, the donor community, and humanitarian and development partners that more must be done to enhance the resilience of chronically vulnerable populations in these drought-prone regions. USAID defines resilience as the ability of people, households, communities, countries, and systems to mitigate, adapt to, and recover from shocks and stresses in a manner that reduces chronic vulnerability and facilitates inclusive growth.

C.1.1 Rationale for Investing in the Sahel

The rationale for investing in resilience in these targeted zones in the Sahel now is three-fold. First and foremost, continually responding to the symptoms of chronic vulnerability with humanitarian assistance every few years is ineffective and costly in human terms. Humanitarian assistance has saved lives in times of crisis.

When timely, it has also protected livelihoods. However, humanitarian assistance is not intended to address chronic vulnerability and, in isolation, has done little to stem the large and growing resilience deficit underlying recurrent drought emergencies in the Sahel.

In the absence of a sustained and coordinated effort to address the underlying causes of chronic vulnerability, acute malnutrition rates (10% to 15%) and child mortality (645,000 per year) remain persistently high even in non-crisis years. An increasing number of households are also being forced to sell productive assets or become indebted in the face of a shock or cumulative stresses, creating a downward spiral that leaves them more vulnerable to shocks and cumulative stresses and less able to take advantage of the next opportunity to climb out of poverty and up the economic ladder. As a result, the number of people in need of external humanitarian assistance during drought episodes continues to grow.

Second, humanitarian assistance is costly in financial terms. Collectively, donors spent over $1 billion in humanitarian assistance in the Sahel in 2012 with the USG alone having spent over $400 million. Conversely, a DFID funded study found that in Kenya, over a 20 year period, every $1 spent on disaster resilience resulted in $2.9 saved in the form of reduced humanitarian spending. This and the human cost noted above, demand a much more balanced portfolio; investing in resilience to reduce chronic vulnerability and the persistent humanitarian assistance needs associated with it and using humanitarian assistance to respond to acute emergency needs.

Third, chronic vulnerability constrains economic growth. This is most evident in terms of productive losses during drought episodes, but applies equally to unattained potential. In turn, constrained economic growth

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The USG is committed to leveraging both humanitarian and development resources to support these regional and national efforts. The USG is also committed to broader coordination with governments, regional bodies, the international donor community and other development and humanitarian partners.

C.1.2 Overall Contract Objective

The overarching goal of REGIS-AG is to increase the incomes of vulnerable households, including men and women, through the transformation of selected, high-potential value chains. Specifically, REGIS-AG will improve the overall performance and inclusiveness of three product value chains (cowpea, small ruminants, and poultry) and hence increase resilience in the agro-pastoral and marginal agriculture zones of Burkina Faso and Niger. The three value chains selected have high potential for commercially oriented activities and either are or have the potential to be critically important sources of income for both men and women in households across livelihood status groups. Translating improved value chain performance into incomes for vulnerable populations will be achieved through (1) identifying opportunities to improve targeted market systems, and ensuring the poor’s ability to access and compete in markets; (2) improving post-production market systems including storage, aggregation, processing, transport, marketing and related services that are poorly developed in many agricultural and livestock value chains and are an important potential source of employment and income; (3) increasing access to inputs and supporting services that will enable men and women in vulnerable households to make the investments needed to participate successfully in promising value chains; (4) increasing access to finance, innovation, and private sector investment which will broaden and deepen markets without distorting them; and (5) improving the enabling environment which will provide incentives and reduce risks for households to invest in new technologies and/or practices.

C.2. BACKGROUND

REGIS-AG is not a stand-alone intervention. It is one of four new and ongoing projects that are operating in the targeted zones of Burkina Faso and Niger. They include:

Food for Peace (FFP) Projects (http://senegal.usaid.gov/en/node/17) (on going) The Enhanced Resilience Cooperative Agreement (REGIS-ER) (new) The Accelerated Growth (Value Chain) Contract (REGIS-AG) (new) A Learning Agenda procurement (new)

The overarching goal of USAID’s Sahel Resilience programs – through REGIS-AG, REGIS-ER, the Learning Agenda, and Food for Peace (FFP) development investments is to increase the resilience of chronically vulnerable people, households, communities and systems in targeted agro-pastoral and marginal agriculture livelihood zones in Niger and Burkina Faso. (See Section J – Attachment 3 for REGIS Theory of Change).

REGIS-AG will work in tandem with REGIS-ER and FFP development programs to achieve its objectives.

Concretely, it will foster vibrant cowpeas, small ruminants, and poultry value chains that generate opportunities for those all along the value chain, including small-scale farmers and livestock keepers at the base of the chain, middlemen, traders, transporters, processors, and buyers further down the chain. It will also foster growth, while expanding the depth and breadth of benefits from improved value chain competitiveness.

Inclusion will be enhanced by improving market access, the availability and affordability of inputs and services needed to benefit from market participation, and the incentives created by the enabling environment for investing even for those with scarce resources. In the Sahel JPC Strategy Results Framework, the value chain project is a sub, sub-IR contributing to Sub-IR 2.2: High Potential Value Chains Strengthened (see

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Figure 1 below). See Section J - Attachment 1 for the complete Sahel JPC Strategy Results Framework and Section J - Attachment 6 for a description of Objective 1.

Figure 1

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In discussing more how these instruments are inter-related, REGIS-ER and FFP development programs will play the primary role in facilitating production activities that relate to the intensification of livestock and high potential crops, including the contract’s focus value chains - cowpeas, small ruminants and poultry. They will also have primary responsibility for facilitating improved horizontal linkages and building the capacity of local producer organization and associations to participate as active stakeholders in viable value chains and improving access to water and enhancing and expanding climate-smart agricultural practices. Finally, REGIS-ER will have primary responsibility for facilitating improved market access and vertical linkages for value chains not addressed by REGIS-AG and will use its focus value chains as a model.

REGIS-AG, on the other hand, will focus on three high potential value chain; cowpeas, small ruminants, and poultry. Its primary role will be improving these value chains for delivery of agricultural inputs and related services for crops and livestock more generally. It will also provide value chain analyses and develop a process to bring together and cultivate linkages between representatives of all levels of the focus value chains. The contractor will need to do a thorough analysis with regard to facilitating linkages within and development of these value chains. It will serve as a model (and partner) for REGIS-ER for non-targeted value chains. See Section J – Attachment 2 for a complete description of how these programs will complement one another.

Finally the Learning Agenda procurement will serve as an instrument to promote effective collaborative performance management between all the projects; for developing, testing and catalyzing widespread adoption of new models; for building capacity of regional institutions in the targeted regions; and for carry out baseline and external evaluation for the efforts.

To help insure the degree of integration required between REGIS-AG and the other projects for the success of the overarching program, collaboration with the recipients of the REGIS-ER project and the Learning Agenda is anticipated. For specific information on collaboration requirements see Section C.5 – Requirements and Expected Results below.

C.3. SCOPE

The overarching goal of REGIS-AG is to increase the incomes of vulnerable households, including men and women, through the transformation of selected, high-potential value chains. Increasing the capacity of value chain actors to respond to current and future opportunities and threats will lead to improved resilience.

C.4. OBJECTIVES

To achieve the aforementioned targets the contractor will complete the following five objectives (see Section J - Attachment 4 for a more thorough description of the Components):

Identify opportunities through value chain and end-market analysis Strengthen vertical and horizontal value chain linkages and relationships in selected value chains Strengthen input supply and other supporting services and improve smallholder and agro-pastoralist access to these interconnected markets Increase innovation and private-sector investment Improve the enabling environment for local and regional private sector investment

The inter-related targets are the following: Income from sheep, goats, poultry and cowpeas increased by 50% among target households, which will, in turn, contribute to reducing the depth of poverty (among the poor) by 20%. There is also a target of reaching 270,000 direct beneficiaries.

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BOX 1. FACILITATION

Facilitation aims to improve the functioning of a system (or systems) and to catalyze systemic change without taking a direct role in the system.

Its objective is to ensure sustainability by putting local actors front and center as drivers of change processes with a focus on understanding both the opportunities and constraints that explain why the system functions the way it does. Finally, facilitation aims to achieve greater scale by targeting interventions at catalytic leverage points within systems.

For a briefing paper on “understanding facilitation:

http://microlinks.kdid.org/sites/microlinks/files/res ource/files/Facilitation_Brief.pdf

C.4.1 Component 1: Identify Opportunities through Value Chain and End-Market Analysis

The contractor shall undertake a detailed value chain analyses in the target value chains (cowpea, small ruminants, poultry, and agricultural and livestock production inputs and related services). Analysis of opportunities begins with understanding the end markets capable of catalyzing upgrading.1 These opportunities will demand an improved product (e.g.

quality) or operations (e.g. efficiency), will often include value addition and will offer returns that incentivize investment in upgrading. Opportunities to upgrade through a series of small riskable steps are particularly important to chronically vulnerable populations. It is important to recognize that these end market and value chain analyses do not start from scratch, but need to fill gaps not covered by existing value chain studies (e.g. : those of FFP projects, the West African Agribusiness and Trade Promotion (ATP/EATP)2 projects, the Nigeria MARKETS3 project, and host country “filière” assessments)). It also is important for the value chain analyses and mapping to incorporate gender in assessing the roles and responsibilities of men and women, their access to and control over productive resources (land, labor, and capital), value chain relationships, supporting markets, and the enabling environment. This will help to reveal gender biases in resources and opportunities that may reduce incentives for women to upgrade.

Value Chain Analysis

As mentioned above, considerable analysis has already been conducted which focused on target value chains.4 The contractor will build on these existing studies, while using the value chain framework5 to identify gaps and ensure a holistic analysis. The synthesis of existing and new analytics that include information on gender dynamics and disparities should begin with asking why the value chain function as it currently does. Moreover, the goal of analytics is to understand and help stakeholders understand, opportunities, potential drivers of change, and obstacles in the system to improved competitiveness, productivity, and broad-based benefits. Project analytics must clarify end-market opportunities through an analysis of market segmentation, competitiveness by segment, demand characteristics, and the potential for growth and inclusiveness6. They will also identify intangible and tangible constraints to these end-market opportunities through value chain analysis. Using a facilitation approach (see Box 1 above), this analysis shall be undertaken with and through stakeholders to the greatest extent possible.

1 See http://microlinks.kdid.org/good-practice-center/value-chain-wiki/tools-end-market-analysis 2 http://www.agribizafrica.org/ 3 http://www.nigeriamarkets.org/ 4 Some sources include “filière” studies done by host country institutions, value chain analyses done by FFP programs, work on trade within the sub-region done by the ATP/E-ATP project, and work done by MARKETS and other programs on value chains in Nigeria.

5 http://www.unido.org/fileadmin/user_media/Services/Agro-Industries/Pro-poor_value_chain_development_2011.pdf 6 http://www.fao.org/fileadmin/templates/esa/LISFAME/Documents/Ecuador/value_chain_methodology_EN.pdf

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C.4.2 Component 2: Strengthen Vertical and Horizontal Value Chain Linkages and Relationships in Selected Value Chains

The strengthening of vertical and horizontal linkages among value chain actors in the selected value chains will improve market access and aggregation functions as well as to address failures in cooperation and/or cases of destructive competition. Firms linked vertically through buying and selling relationships, represent conduits for the transfer of learning, information and technical, financial and business services along the chain. Leverage points in selected value chains and whether they have an appropriate amount of competition, cooperation or trust will need to be identified. Once this is understood, the contractor will work to improve relationships, where appropriate, to drive upgrading.

C.4.3 Component 3: Strengthen Input Supply and Other Supporting Services and Improve Smallholder and Agro-pastoralist Access to these Interconnected Markets

Input and service markets are interconnected, and inefficiencies in one market may be caused by another.

Access to quality inputs and supporting services (e.g. business development services, agronomic services, Information and Communication Technologies (ICT), and/or financial services are important to enable agro-pastoral smallholders, traders, processors, and/or buyers to upgrade. The effective and timely delivery of inputs and services is essential to promoting upgrading for men and women all along the value chain, from smallholders to exporters. Gender may be an important factor in access to and delivery of inputs and services given barriers to women’s mobility and limited participation in off farm commercial activities. The contract will strengthen input supply and other supporting services and improve access to these interconnected markets where such interventions can have the greatest leverage for driving growth in selected agriculture markets. Value chain competitiveness is often driven by increases in productivity, and under appropriate conditions, use of agricultural and livestock production inputs are a key source of increased productivity.

C.4.4 Component 4: Increasing Access to Finance, Innovation & Private Sector Investment

Although the role of governments in providing goods and services to rural populations waned significantly during the 1980s-90s, the private sector has not stepped up to take over that role. While in some cases, the enabling environment is seen as the major constraint (see C.4.5. Component 5), the private sector in Burkina Faso and Niger remains weak and has limited capacity to invest. Entrepreneurs and bankers consider the risks to outweigh the rewards of investing in the agricultural sector. This component is intended to work with both entrepreneurs and financial institutions to help overcome some of these constraints. Access to financial tools that can serve as a means to share risk with the value chain stakeholders and offer an incentive to financial institutions to provide resources to the relatively risky agricultural sector will be integral to this process.

The contractor, coordinating closely with banks that have active USAID/Development Credit Authority (DCA) loan guarantee programs can possibly manage a number of sub-contracts to unleash innovation and private-sector investment. Sub-contracts could be designed to co-invest with private-sector actors in activities that will catalyze change (upgrading) in the target value chains. The contractor will also actively seek out promising new private sector partners and provide assistance with business plan development and other business development services so that they may access commercial credit and strengthen their organizational capacities. They shall also look to partner with private firms, government agencies, research institutes, SACCOs, NGOs or other local organizations and other donors that are well placed to address key value chain and systemic constraints. The contractor may need to work closely

Page | 20 with existing and new DCA guarantees to buy down risks for value chain actors to innovate and/or invest, and on broadening and deepening markets without distorting them, and on creating resilient markets and value chains that benefit the most vulnerable populations in the targeted zones. Finally, the Contractor will design an approach to sub-contracting and engagement with the private sector that is cost effective. These shall be designed to be responsive to the needs of scaling up investments in technology and REGIS-AG’s value chain development activities without creating dependency.

C.4.5 Component 5: Improve the enabling environment for local and regional private sector investment

The contractor shall improve the enabling environment for investing, especially for local investors aiming to take advantage of local and/or regional market opportunities. The contractor could achieve this result by strengthening the advocacy capacity of associations representing private sector actors throughout the target value chains. In addition, by coordinating and linking with activities under REGIS-ER, interventions aimed at promoting the private sector shall help ensure increased investment in value chains important to the livelihoods and resilience of vulnerable populations.

The contractor could also work with value chain stakeholder organizations to strengthen their ability to advocate before decision makers and make persuasive fact-based arguments to support policies favorable to their members. In particular, it may facilitate strengthening value chain stakeholder organizations in advocacy activities, as well as the development of ‘white papers’ that provide fact-based rationales to support the arguments presented to decision makers. In all such efforts, equity among ethnic and economic groups and gender groups will guide the design of support activities.

C.5. REQUIREMENTS AND EXPECTED RESULTS

C.5.1 Contract Requirements

To achieve its objectives and goal, REGIS-AG should be catalytic and systematic in how it intervenes.

To this end and in accordance with U.S. Government development commitments, including the Paris Declaration on Aid Effectiveness, the USAID Forward agenda, and USAID policies, REGIS-AG should integrate the following cross-cutting issues and adhere to the following guiding principles.

Cross-Cutting Issues Gender – Women are key actors in the targeted value chains – on farm production, processing, and storage of cowpeas, raising and finishing small ruminants, and producing poultry -- but their access to inputs, services and markets and receipt of money from sales is largely mediated through men.

Identifying gender dynamics and relations in these value chains, as they affect the participation and benefits to men and women, will be key to understanding incentives for upgrading and identifying strategic points of intervention that engage both men and women. The project must pay special attention to the empowerment of women in decisions about cowpea, small ruminant, and poultry production and marketing, access to and use of productive resources (land, water, capital and other inputs), and control over income and time use. Women’s leadership in communities will be built upon and strengthened to foster inclusive growth and strong resource management. Systematic monitoring, evaluation, and learning components will generate sex disaggregated data at the household and market levels and incorporate impact evaluations around critical questions related to gender equality and women’s empowerment in agro-pastoral social and economic systems. The contractor should specifically indicate how gender issues will be addressed in the technical approach, management, and monitoring, evaluation, and learning. This should include proposing relevant objectives and indicators related to women’s empowerment and gender equality.

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Water - In agro-pastoral and marginal agriculture livelihood zones of Niger and Burkina Faso there is no hard line between “domestic” and “productive” water sources. People use whatever combination of surface and ground water that are available to meet all of their needs. The contractor should articulate an integrated, community-based approach to the development and governance of multiple use water systems and services that cuts across all three core components of the proposed program.

Climate Change - Chronically vulnerable populations in the livelihood zones targeted depend heavily on natural-resources for their livelihoods. Increasing temperatures and more erratic rainfall patterns associated with climate change are already exacerbating natural resource management challenges. These trends are expected to continue or worsen and maintaining a strong natural resource base and promoting sustainable NRM and agricultural practices in the face of climate variability and change is critical for building and maintaining the resilience of these populations. The use of climate smart agriculture will further provide a foundation upon which to enhance resilience. The contractor should integrate climate change adaptation - including the effective use of climate smart agriculture and climate information – including how to best plan for and manage these changes- as a cross cutting theme and aim. They should also discuss creative, innovative, and holistic approaches to develop and build the capacity of stakeholders to prepare for and manage long-term climate change trends.

Information and Communication Technologies (ICT)-ICT includes Internet access, presence and web-based applications; voice, text and applications on mobile phone networks; radios, stand-alone videos and digital photos; global position system (GPS) location information and combinations of all of these. Given the cross-border character of some of the value chains and hence the inherent geographic distances the value chain will likely span within the region, ICT is an especially important tool to employ, where practical. As part of evaluating potential uses for ICT in selected value chains, the contractor should consider ICT access and affordability as well as fast changing technological and business model innovations.

Guiding Principles Facilitation – As mentioned in Box 1 above, facilitation aims to improve the functioning of a system (or systems) and to catalyze systemic change without taking a direct role in the system. Its objective is to ensure sustainability by putting local actors front and center as drivers of change processes with a focus on understanding both the opportunities and constraints that explain why the system functions the way it does. Finally, facilitation aims to achieve greater scale by targeting interventions at catalytic leverage points within systems7.

A Systems Approach - USAID defines resilience as the ability of people, households, communities, countries and systems to mitigate, adapt to, and recover from shocks and stresses in a manner that promotes inclusive growth. In line with this, REGIS-AG should adopt a systems approach that recognizes and leverages the interdependence of actors and relationships within and between social, economic, natural resource and other livelihood systems (broadly conceived). This approach should be informed by lessons learned from value chain facilitation, but extended and applied across other systems and all program components.

Focus on the most vulnerable, but engage entire communities (and systems) – The theory of change presented earlier is predicated on the principle that broad-based, inclusive economic opportunities and growth are necessary to improve the resilience of all, targeting the most vulnerable. This principle recognizes that the prospects of the most vulnerable are intimately tied to the prospects of the better off

7 For a briefing paper on “understanding facilitation”:

http://microlinks.kdid.org/sites/microlinks/files/resource/files/Facilitation_Brief.pdf

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Box 2. Collaborate, Learn and Adapt (CLA)

CLA facilitates a process for strategic collaboration among partners, systematically generates and captures learning, facilitates the exchange of knowledge, and promotes a learning culture. CLA posits that development efforts yield positive changes more quickly if they are collaborative, test new approaches in a continuous search for improvement and adapt based on what works and what does not work.

http://kdid.org/sites/kdid/files/resource/files/Learning% 20Thru%20Program%20Cycle%20Intro%20Materials.

pdf

(and vice versa) - be it in relation to economic opportunities or the ability to rely on social networks in times of need.

Build on what’s already working - As described earlier, there are a number of resilient adaptations and innovations already underway that informed the selection of agro-pastoralist and marginal agriculture livelihood zones as target geographies, including FMNR and water harvesting.