SubNat_RFP.pdf

13. DISCOUNT FOR PROMPT PAYMENT

(See Section I, Clause No. 52.232.8)

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

14. ACKNOWLEDGEMENT OF AMENDMENTS

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

AMENDMENT NO. DATE AMENDMENT NO. DATE

15A. NAME

AND

ADDRESS

OF

OFFEROR

CODE FACILITY 16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER

(Type or print)

15B. TELEPHONE NUMBER 15C. CHECK IF REMITTANCE ADDRESS

IS DIFFERENT FROM ABOVE - ENTER

SUCH ADDRESS IN SCHEDULE.

17. SIGNATURE 18. OFFER DATE

AREA CODE NUMBER EXT.

SOLICITATION, OFFER AND AWARD

1. THIS CONTRACT IS A RATED

ORDER UNDER DPAS (15 CFR 700)

RATING PAGE OF PAGES

1 107

2. CONTRACT NUMBER 3. SOLICITATION NUMBER

SOL-688-15-000025

4. TYPE OF SOLICITATION

SEALED BID (IFB)

X NEGOTIATED (RFP)

5. DATE ISSUED

07/20/2015

6. REQUISITION/PURCHASE NUMBER

REQ-688-15-000034

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

Bamakoaao@usaid.gov

U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT

ACQUISITION AND ASSISTANCE OFFICE

BAMAKO – MALI

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

SOLICITATION

9.

PROPOSALS ARE DUE ELECTRONICALLY TO THE

ADDRESS INDICATED IN BLOCK 8 ABOVE

Until cob Bamako local time 08/21/2015

(Date)

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

10. FOR

INFORMATION

CALL:

A. NAME

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

bamakoaao@usaid.gov AREA CODE NUMBER EXT.

11. TABLE OF CONTENTS

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

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

X A SOLICITATION/CONTRACT FORM 3 X I CONTRACT CLAUSES 52-55

X B SUPPLIES OR SERVICES AND PRICES/COSTS 9-11 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

X C DESCRIPTION/SPECS./WORK STATEMENT 12-26 X J LIST OF ATTACHMENTS 56

X D BRANDING AND MARKING 27-28 PART IV - REPRESENTATIONS AND INSTRUCTIONS

X E INSPECTION AND ACCEPTANCE 29 x K

REPRESENTATIONS, CERTIFICATIONS AND

OTHER STATEMENTS OF OFFERORS

57-63

X F DELIVERIES OR PERFORMANCE 30-37

X G CONTRACT ADMINISTRATION DATA 38-40 X L INSTRS., CONDS., AND NOTICES TO OFFERORS 64-76

X H SPECIAL CONTRACT REQUIREMENTS 41-51 X M EVALUATION FACTORS FOR AWARD 77-80

OFFER (Must be fully completed by offeror)

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 _____120 calendar days (120 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.

AWARD (To be completed by government)

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

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

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

23. SUBMIT INVOICES TO ADDRESS SHOWN

IN

(4 copies unless otherwise specified)

ITEM

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

CO

26. NAME OF CONTRACTING OFFICER (Type or print)

27. UNITED STATES OF AMERICA

(Signature of Contracting Officer)

28. AWARD DATE

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

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (Rev. 9-97) Prescribed by GSA - FAR (48 CFR) 53.214(c) mailto:Bamakoaao@usaid.gov mailto:bamakoaao@usaid.gov

RFP No: SOL-688-15-000025_Mali Sub-National Governance Project

ACRONYMS AND DEFINITIONS

The following terms and acronyms are used in this RFP with meanings as reflected below:

Term/Acronyms Meaning

LIST OF ACRONYMS

ADS Automated Directives Systems AEG Accelerated Economic Growth AOR/COR Agreement/Contracting Officer Representative APES Association of Student Parent Association ARM Autorité de Regulation des Marchés Publics / Public Procurement Regulation Authority DGMP Direction Generale des Marchés Publics/General Direction of Public Procurement BVG Bureau du Verificateur Général/ Office of the Auditor General CADD Cellule d’Appui à la Décentralisation et à la Deconcentration/ Unit of decentralization and

De-concentration CARFIP Cellule D’Appui à la Reforme des Finances Publiques/ Public Finance Reform Support Cell CFCT Centre de Formation des Collectivités Territoriales/ Territorial Collectivities Training Center CDCS Country Development Cooperative Agreement CROCSAD Comités Regionaux d'Orientation,de Coordination, et de Suivi des Actions de Développement/

Local Orientation and Coordination Committee for Development Actions Monitoring CGSP Contrôle Général des Services Publics/ Public Institutions General Control Office CMM Conflict Management and Mitigation CNOSC Conseil National des organisations de la Sociéte Civile/ National Council of Civil Society

Organization COP Chief of Party CSO Civil Society Organization CSCRP Cadre Stratégique de Croissance et de Reduction de la Pauvreté/ Framework for Growth and

Poverty Reduction Strategy DGMP Direction Générale des Marches Publics/General Directorate of Public Procurement CGS Comité de Gestion Scolaire/ School Management Committees DCHA Bureau for Democracy Conflict and Humanitarian Assistance DO Development Objective DRG Democracy Human Rights and Governance EMMP Environmental Monitoring and Mitigation Plan ENAP Ecole Nationale d’Administration Publique/ Public Administration National School FENASCOM Federation Nationale des Associations de Santé Communautaires/Federation of Community

Health Associations FY Fiscal Year FNACT Fonds d’Appui aux Collectivités Territoriales/ Support Fund to the Territorial Collectivities GOM Government of Mali G2G Government to Government ICS Integrated Country Strategy ICT Information and Communication Technology IFES International Federation of Electoral Systems IFM International Monetary Funds IFMIS Integrated Financial Management System IPFM Improved Public Financial Management IR Intermediary Results IRI International Republican Institute ISPMS Indicators for the Strengthening of Public Management Systems INTOSAI International Organization of Supreme Audit Institutions MCH Maternal and Child Health M&E Monitoring and Evaluation MEF Ministry of Economy and Finance MOE Ministry of Education MOH Ministry of Heath MTAD Ministère de l’Administration Territoriale et de la Décentralisation/ Ministry of Territorial

Administration and Decentralization NDI National Democratic Institute NGO Non-Governmental Organization OAA Office of Acquisition and Assistance OBS Open Budget Survey OTI Office of Transition Initiative OP Operational Plan OYB Operating Year Budget PAD Project Appraisal Document PAT Programme D’assistance Technique/ Technical Assistance Program PACT Projet d’Appui aux Collectivités Territoriales/ Support to Territorial Collectivities Project PAGAM Plan d’Action Gouvernemental pour l’Amélioration et la Modernisation de la Gestion des

Finances Publiques/ Government Action Plan for the Improvement and Modernization of Public Finance

PAMORI Projet d’Appui à la mobilisation des recettes intérieures/ Project for the internal resource mobilization

PDG Peace, Democratic and Governance PDI Programme de Developpement Institutionnel/Institutional Development Program for Public

Services PDSEC Plan de Développement Social, Économique et Culturel/ Socio-economic and Cultural development plan PEA Political Economy Analysis PEFA Public Expenditure Management and Financial Accountability PFM Public Financial Management PGP2 Programme de Gouvernance Partagée (Phase 2)/ Shared Governance Program (2) PPP Public Private Partnership P&S Peace and Security PWD People with Disabilities SAI Supreme Audit Institutions SNG Sub-National Government SOW Scope of Work UPR Universal Periodic Review USAID US Agency for International Development USG United States Government WAEMU West African Economic and Monetary Union

Table of Content

PART I – THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

B.2 CONTRACT TYPE AND CONTRACT SERVICES

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

B.4 CONTRACT BUDGET AND CEILINGS

B.5 INDIRECT COSTS

B.6 CEILING ON INDIRECT COSTS

B.7 FEE SCHEDULE

B.8 REIMBURSABLE COSTS

SECTION C - DESCRIPTION/STATEMENT OF OBJECTIVES (SOO)

C.1 SUMMARY

C.2 BACKGROUND

C.3 LINK TO USAID MALI CDCS, FOREIGN ASSISTANCE FRAMEWORK AND APPLICATION OF AGENCY

POLICIES AND STRATEGIES

C.4 RESULTS, PERFORMANCE STANDARDS AND ACTIVITIES

C.5 GEOGRAPHIC AREA

C.6 KEY PERSONNEL REQUIREMENTS

C.7 GUIDING PRINCIPLES

C.8 OTHER CONSIDERATIONS

SECTION D: BRANDING AND MARKING

D.1 BRANDING POLICY

D.2 752.7009 MARKING (June 1993)

D.3 MARKING AND BRANDING STRATEGY

D.4 BRANDING IMPLEMENTATION AND MARKING PLAN

SECTION E: INSPECTION AND ACCEPTANCE

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

E.2 INSPECTION AND ACCEPTANCE

E.3 RESPONSIBLE OFFICIAL

E.4 PERFORMANCE STANDARDS AND PERFORMANCE ASSESSMENT REPORTS

SECTION F: DELIVERIES OR PERFORMANCE

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

F.2 PERIOD OF PERFORMANCE

F.3 PLACE OF PERFORMANCE

F.4 PERFORMANCE STANDARDS

F.5 DELIVERABLES – PLANS, REPORTS AND OTHER

F.6 ENVIRONMENTAL COMPLIANCE REPORTING

F.7 CONFIDENTIALITY AND OWNERSHIP OF INTELLECTUAL PROPERTY

F.8 KEY PERSONNEL

SECTION G - CONTRACT ADMINISTRATION DATA

G.1 CONTRACTING OFFICER’S AUTHORITY

G.2 CONTRACTING OFFICER’S REPRESENTATIVE (COR)

G.3 COR TECHNICAL DIRECTIONS

G.4 AIDAR 752.7003 DOCUMENTATION FOR PAYMENT (NOV 1998)

G.5 PAYMENT AND VOUCHERS

SECTION H - SPECIAL CONTRACT REQUIREMENTS

H.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

H.2 AUTHORIZED WORK DAY/WEEK

H.3 ADDITIONAL REQUIREMENTS FOR PERSONNEL COMPENSATION

H.4 TRAVEL

H.5 752.7004 EMERGENCY LOCATOR INFORMATION (JUL 1997)

H.6 AUTHORIZED GEOGRAPHIC CODE

H.7 TITLE TO PROPERTY

H.8 CONFIDENTIALITY AND OWNERSHIP OF INTELLECTUAL PROPERTY

H.9 AIDAR 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS (FEB 2012)

H.10 REQUESTS FOR CONSENT TO SUBCONTRACT

H.11 APPROVALS FOR NONEXPENDABLE PROPERTY PURCHASES

H.12 PRESS RELATIONS

H.13 LANGUAGE REQUIREMENTS

H.14 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES (JUN 2012)

H.15 FAR 52.232-99 PROVIDING ACCELERATED PAYMENT TO SMALL BUSINESS SUBCONTRACTORS

(DEVIATION) (AUG 2012)

H.16 REPORTING OF FOREIGN TAXES (JUL 2007)

H.17 NONDISCRIMINATION (JUN 2012)

H.18 USAID DISABILITY POLICY - ACQUISITION (DEC 2004)

H.19 USAID-FINANCED THIRD-PARTY WEB SITES (AUG 2013)

H.20 USAID IMPLEMENTING PARTNER NOTICES (IPN) PORTAL FOR ACQUISITION (JUL 2014)

H.21 SUBMISSION OF DATASETS TO THE DEVELOPMENT DATA LIBRARY (DDL) (OCT 2014)

H.22 DISCLOSURE OF INFORMATION

H.23 CONTRACTOR’S STAFF SUPPORT, AND ADMINISTRATIVE AND LOGISTICS ARRANGEMENTS

H.24 EXECUTIVE ORDER ON TERRORISM FINANCING

H.25 LOGISTIC SUPPORT GOVERNMENT FURNISHED FACILITIES OR PROPERTY

H.26 GENDER CONSIDERATION

H.27 CONTRACTOR’S USE OF PROJECT VEHICLES AND LIABILITY INSURANCE REQUIREMENTS

H.28 MOBILE BANKING

H.29 ELECTRONIC PAYMENTS SYSTEM

PART II - CONTRACT CLAUSES

SECTION I - CONTRACT CLAUSES

I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE 52.252-2 CLAUSES

I.2 AIDAR 752.211-70 LANGUAGE AND MEASUREMENT (JUN 1992)

I.3 AIDAR 752.242-70 PERIODIC PROGRESS REPORTS (OCT 2007)

I.4 AIDAR 752.7001 BIOGRAPHICAL DATA (JUL 1997)

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

SECTION J -LIST OF DOCUMENTS EXHIBITS AND OTHER ATTACHMENTS

PART IV – REPRESENTATIONS AND INSTRUCTIONS

SECTION K – REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS OR

RESPONDENTS

K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE

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

K.3 REPRESENTATION BY CORPORATION REGARDING A DELINQUENT TAX LIABILITY OR A FELONY

CRIMINAL CONVICTION (Deviation OAA-DEV-14-02c) (August 2014)

K.4 FAR 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (DEC 2014)

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

K.6 FAR 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FEB 1999)

K.7 FAR 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984)

K.8 INSURANCE ‐ IMMUNITY FROM TORT LIABILITY

K.9 AGREEMENT ON, OR EXCEPTIONS TO, TERMS AND CONDITIONS

K.10 AUTHORIZED NEGOTIATORS

K.11 SIGNATURE

SECTION L – INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS OR RESPONDENTS

L.1 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB 1998)

L.2 GENERAL INSTRUCTIONS

L.3 SUBMISSION/DELIVERY INSTRUCTIONS

L.4 FORMAT AND PRESENTATION

L.5 INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL PROPOSAL

L.6 INSTRUCTIONS FOR THE PREPARATION OF THE COST/BUSINESS PROPOSAL

L.7 INSTRUCTIONS FOR THE PREPARATION OF BRANDING IMPLEMENTATION AND MARKING PLANS. 76

L.8 52.233-2 SERVICE OF PROTEST (SEP 2006)

SECTION M – EVALUATION FACTORS FOR AWARD

M.1 GENERAL INFORMATION

M.2 EVALUATION SYSTEM

M.3 TECHNICAL PROPOSAL EVALUATION CRITERIA

M.4 COST EVALUATION

- ATTACHMENTS -

ATTACHMENT 1: GENDER ASSESSMENT

ATTACHMENT 2: MAP OF USAID MALI PROJECTS AND ACTIVITIES

ATTACHMENT 3: USAID MALI RESULTS FRAMEWORK

ATTACHMENT 4: BUDGET FORMAT TEMPLATE

ATTACHMENT 5: ILLUSTRATIVE LOCAL COMPENSATION PLAN

ATTACHMENT 6 - SMALL BUSINESS SUBCONTRACTING PLAN TEMPLATE

ATTACHMENT 7 - SF LLL – DISCLOSURE OF LOBBYING ACTIVITIES

ATTACHMENT 8 - SF – 294 SUBCONTRACTING REPORT FOR INDIVIDUAL CONTRACTS

ATTACHMENT 9 - MALIAN DECENTRALIZATION AUTHORITIES

PART I – THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

The purpose of this contract is to acquire services for the implemention of the Mali Sub-National Governance Project which aims at increasing effective, responsive and accountable service delivery in target regions, especially health and education services.

B.2 CONTRACT TYPE AND CONTRACT SERVICES

This is a cost-plus-fixed-fee (CPFF) completion-type contract.

Note to Offerors: For the consideration set forth below, the Offeror will develop a statement of work proposing an innovative development approach responding to the requirements of the Statement of Objectives (SOO) described in Section C of the solicitation and in accordance with the performance standards specified herein.

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

(a)

(a.1) The estimated cost for the performance of the work required during the Base Period (Years 1-3) hereunder, exclusive of fixed fee, if any, is $__________. The fixed fee, if any, is $________. The estimated cost plus fixed fee is $_______.

(a.2) The estimated cost for the performance of the work required during Option Period (Years 4-5) hereunder, exclusive of fixed fee is $________. The fixed fee, if any, is $_________. The Estimated cost plus fixed fee is $_________.

(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 of the contract period hereunder is TBD. The Contractor shall 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). See Section I of this contract.

Funds obligated hereunder for the base period are anticipated to be sufficient through TBD.

B.4 CONTRACT BUDGET AND CEILINGS

(a) The contract budget found in Section B.5, Budget, 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 cost set forth in the budget hereunder or the 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 (if any).

Base Period Option Period

Line Item Year 1 Year 2 Year 3 Total Year 4 Year 5 Total Total Labor (Salaries & Fringe

Consultants Sub-contracts Travel, Transportation & Per

Equipment and Supplies Activities Support Costs Other Direct Costs

Total Estimated Direct Costs Indirect Costs Total Estimated Cost Fixed Fee Total Est. Cost Plus Fixed

B.5 INDIRECT COSTS

Pending establishment of revised provisional or final indirect cost rates, allowable indirect costs shall be reimbursed on the basis of the following negotiated provisional or predetermined rates and the appropriate bases for the prime contractor and its major subcontractors (“major subcontractors” are those subcontractors expected to perform at least 20% or more of the technical effort):

Prime:

Description Rate Base Type Period

TBD 1 % 1/ 1/ 1/

TBD 2 % 2/ 2/ 2/

1/ Base of Application:

Type of Rate: TBD

Period: TBD

2/ Base of Application:

Period: TBD

Subcontractor(s):

Description Rate Base Type Period

TBD 1 % 1/ 1/ 1/

TBD 2 % 2/ 2/ 2/

1/ Base of Application:

Period: TBD

2/ Base of Application:

Period: TBD

B.6 CEILING ON INDIRECT COSTS

Reimbursement for allowable indirect costs shall be at final negotiated rates but not in excess of the following ceiling rates:

Contractor TBD 1 Rate %

TBD 1 Ceiling Rate %

TBD 2

Rate %

TBD 2 Ceiling Rate %

PRIME

MAJOR

SUBCONTRACTOR(S)

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

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

B.7 FEE SCHEDULE

Pursuant to FAR 16.306 (d), Cost-plus-fixed-fee contracts - completion and term forms, the fixed fee payable under this contract is tied to the completion of the deliverables identified in Section F.5.3, and in accordance with approved Fee Schedule below.

Fixed Fee Distribution Table (illustrative – to be finalized at time of award)

Base Period Option Period Total Component 1 Deliverable 1.1.1 Deliverable 1.1.2 Component 2 Deliverable 1.1.1 Deliverable 1.2.1 Component 3 Deliverable 1.1.1 Deliverable 1.1.2

TOTAL

B.8 REIMBURSABLE COSTS

This is a Cost Reimbursable contract type. The U.S. dollar costs allowable shall be limited to reasonable, allocable and necessary costs determined in accordance with FAR 52.216-7, Allowable Cost and Payment, FAR 52.216-8, Fixed Fee, if applicable, and AIDAR 752.7003, Documentation for Payment.

[END OF SECTION B]

SECTION C - DESCRIPTION/STATEMENT OF OBJECTIVES (SOO)

C.1 SUMMARY

Purpose

The purpose of the Mali Sub-National Governance Project is to increase effective, responsive and accountable service delivery, especially health and education services, between the national/central and regional governments.1 The project will focus on public financial management as a catalyzing theme and will consist of four components: 1) strengthen national and regional public financial management (PFM) and administrative systems; 2) improve coordination and communication processes between the regional and national/central government levels and civil society; 3) improve oversight of regional PFM institutions for improved services delivery; and 4) connect and improve coordination between the regions and the communes, the regions and the circles, and the circles and the communes.

The project will take advantage of renewed efforts to decentralize government in Mali through regionalization, that is, the process of giving more resources and authority directly to the regional governments. The project is expected to be implemented, at a minimum, in the following seven regions by the end of year 1: Koulikoro, Kayes, Sikasso, Segou, Mopti, Gao, and Timbuktu as well as the District of Bamako. As the security situation permits, the contractor will be expected to mobilize into Kidal so that the project will be implemented in all 8 regions of Mali and the District of Bamako.

Scope

The Contractor must design and implement a mix of activities, and provide technical assistance and other resources necessary to successfully achieve the agreed-upon results, including cost and quality control.

The goal of this project is to advance Mali’s decentralization process by creating and institutionalizing effective financial and asset management procedures, containing corruption, and improving overall operational efficiency in the management of Mali’s financial resources between Bamako and the regions, thus ensuring that public funds intended for decentralized services are delivered effectively and transparently.

C.2 BACKGROUND

The fragile nature of Mali’s post-coup democracy is pointed out as the representatives of Mali’s government and the northern armed groups meet in Algiers to initiate a new round of peace talks. Severely hampered by ineffective governance, a faltering economy and a decline in public confidence in Mali’s future, Mali’s Government still faces numerous challenges in order to achieve sustainable success. The political crisis of 2012 have challenged past assumptions about the country’s internal cohesion, political stability, economic development and security capabilitity.

The country once appeared to be a star performer in West Africa with a multi-party democracy and regular, peaceful transitions of power. However, below the surface, many government institutions and major civil society actors were dysfunctional, not living up to their mandate, and in some cases corrupt. These challenges contributed to conditions that led to a rebellion in the North followed by a military coup in 2012 and a loss of the 2/3 of the country to extremists. In spite of free and fair presidential and legislative elections in 2013, Mali remains an extremely poor, fragile state that remains one of the four poorest countries in the world with low indicators in human development and governance:

• Mali scored 49.5 points out of 100 in the Mo Ibrahim Governance Foundation index of African Good Governance indicators, ranking 28 out of 52 countries, in 2014.

• Mali ranked 127 out of 177 in the Transparency International Corruption Perception index in 2013.

1 In Mali, the Sub-National Government includes governing bodies in the 8 regions (Kayes, Koulikoro, Sikasso, Segou, Mopti, Timbuktu, Gao, Kidal) and the District of Bamako at the highest level, in 52 circles under these 8 regions, and in 703 communes under these circles, including in six communes under the District of Bamako. There are no circles under the District of Bamako. In this RFP, “region” includes the District of Bamako. Please see Mali’s Decentralization Authorities Documents, Attachment 9, for the authority and power of each of these bodies.

• Mali ranked 176 out of 187 according to the human development index with a 50% population living under extreme poverty (United Nations Human Development Index 2014).

• Women hold only 10% of seats (14) in Parliament and very few hold high level government positions.

Despite these indicators, the peaceful elections in 2013 produced renewed hope and commitment to reforming the government in order to attain a lasting peace. Effective decentralization remains key to effective implementation of the Algiers Peace Accord, and USAID is committed to supporting the GOM to jumpstart the decentralization and regionalization process through this Project, particularly in regards to fiscal decentralization.

The link between PFM and Decentralization

Public Financial Management reforms are central to attaining the expected benefits of decentralization in Mali because of their critical role in enhancing managerial efficiency, transparency, and subnational government accountability to both higher levels of government and local constituents. USAID expects that the new regional level of government (created through the “regionalization” process”) can be critical actors in the effective implementation of Mali’s PFM reforms. While USAID has been a pioneer in advancing Mali’s decentralization agenda since it started, the PFM-decentralization relationship has not been a focus of prior activities. The two reforms have often been implemented through independent initiatives and managed by different donors with contrasting perspectives and objectives. A disconnect between those responsible for PFM reform and those responsible for decentralization policy has resulted, sending mixed signals to key actors and generating inconsistencies in government systems and operations.

Effective decentralization involves a broad array of roles and reforms beyond fiscal, administrative, political, and regulatory, among others. The national government has been hesitant to transfer functions and resources to local governments until they have in place all necessary systems, procedures, and capacity to manage them effectively. At this critical juncture in Mali’s history, however, the country can no longer wait for the “perfect” PFM system to be developed before advancing local government reforms.

On paper, the Government of Mali (GOM) appears to have financial management practices that are relatively advanced for a country with a very low human development index score (176) in 2014. However, many rules, regulations, and procedures related to Public Financial Management (PFM) are not followed or enforced. For example, a 2014 International Monetary Fund (IMF) audit of the expenditure chain in Mali found that, despite many official controls on paper, the expenditure chain was said to be “vulnerable.”. The IMF audit references numerous GOM audits that haven’t been followed up with needed legal proceedings, and procurement delays of many months that crowd out effective program delivery. Reinforcing this, recent internal USAID assessments of the GOM have noted “deficiencies in the application of internal controls” with “duplication and inefficient” financial and accountability institutions alongside poor public financial management application despite “capable administrative structures and regulations.” In essence, Mali has very good rules, systems, and regulations regarding PFM, but these rules and regulations are not always followed or enforced.

Furthermore, USAID’s past decentralization support program, the Programme de Gouvernance Partagee 2 (PGP2), noted that the current PFM system is “not conducive to significant improvements in commune management” and that “commune-level actors do not have input into the central planning or budgeting process for central funds, creating inefficiencies and inaccuracies in the amount of funds transferred.” These observations leave concerns that decentralization efforts will not be successful without proportional investments to improve PFM.

While a number of institutions responsible for PFM lack adequate human resources and institutional capacity, including the Control General of Public Services (CGSP), the Court des Comptes, and the Inspectior General of Control at the Ministry of Finance, USAID believes that building the capacity of key institutions involved in PFM at the national and regional level can improve the current situation.

Implementing decentralization

Historically, Mali is a decentralized society, where, like many African countries, a strong, formalized central government managed more informal local governments. Competing interests of subsidiary and what Malians call the “tutelle” system or supervision from above still create tensions in the decentralization process. USAID made previous efforts to support decentralization. In the PGP2 project, USAID built local government capacity to deliver services and extend knowledge of local development efforts. This project exposed the unfinished business of fiscal decentralization, the potential for local revenue generation, and recognized the importance of planning and coordination to make decentralization effective. In the short-lived EQUIP2 project, USAID envisioned system-level investments to help advance decentralization in the Education sector, recognizing it was inputs at different levels of governments, such as in the area of planning, that would help advance decentralization.

Mali’s decentralization efforts created 703 communes, the lowest and most basic level of local government.

Fifty- two (52) circles constitute the next level, and 8 regional governments and the District of Bamako. Many consider political decentralization to be somewhat complete, but many agree that fiscal and administrative decentralization still lags behind. Much attention was paid to supporting the commune level during the first 20 years of decentralization, however, progress was mixed. The GOM’s new “regionalization” plan makes the region a key link between the communes and the national level of government [See Attachment 9, Mali’s Decentralization Authorities].

Two particular challenges in implementing decentralization reform in Mali are 1) the lack of human and financial resources and 2) challenges related to corruption. Local revenue generation, though promising, is not adequate to drive development and the central government remains reluctant to transfer financial resources to the communes. The central government continues to be the main funding source of the collectivities but they are reluctant to transfer financial resources to the communes until the communes can demonstrate a higher level of capacity and systems to combat and control corruption. This paradox only hinders the Decentralization process.

Against this backdrop, citizens, particularly women, are not at the center of reform decisions and their voice in demanding accountability is weak. Efforts to support civil society and community-based organizations in this role have begun, but the government needs to better inform and educate the public on the progress of the reforms. The basic framework and laws related to decentralization are good, but some aspects need to be reworked and key directives related to financial and administration decentralization to harmonize public services with governing practices are missing. There is a clear inability of sub-national units2 to effectively forge partnerships with civil society and the private sector to provide quality public services.

Service delivery

Health Mali’s poor health status and women’ts lack of decision-making power contribute to high fertility rates, and maternal and infant mortality and morbidity. Girls and women, in particularly, have been extremely disadvantaged by poor health care [see Gender Assessment in Attachment 1]. Mali’s poor health indicators are due to low access to and use of high impact health services and poor health behavior. The external evaluation of the Ministry of Health’s (MOH) last ten year strategy revealed the following notable findings that have relevance to this project: 1) critical health interventions do not reach the population, especially people who live far from community health centers; 2) key national and local health systems are not able to provide all the commodities, equipment, or human resources needed to support health service at the local level; 3) the health management information system does not provide accurate and timely data for informed decision making; 4) there is poor accountability and transparency in the heath supply chain management of essential medicines resulting in drug stock outs in health centers; 5) there are inadequate human resources and a scarcity of motivated health professionals particularly in rural areas; 6) the systems for quality assurance are weak at all levels as well as mechanism for accountability through citizens’ oversight. 7) the MOH has not progressed with its decentralization agenda, with notable weaknesses in transferring financial and human resources to the sub national level; 8) the GOM budget for health is 15% below the 2010 Abuja recommendation; 9) there is weak communication between health associations, local governments and deconcentrated service authorities3; and 10) community health management committees do not monitor the provision of quality health services nor do they advocate for improved services.

2“Sub-national units” include the regions, circles, and communes.

3“Deconcentrated service authorities” are the regional representatives of different Ministries at the regional level.

Education Among all the sectors in Mali, education is the one that has made a great attempt to advance its decentralization goals by allocating more financial and human resources to the local level. Girls and women, in particularly, have been extremely disadvantaged and marginalized when it comes to education [see Gender Assessment in Attachment 1]. However, these resources have not been sufficient to fulfill their required mandates. There is a lack of communication and collaboration in planning and budgeting between the MOE planning department and the commune resulting in a misalignment between the commune’s priorities and the MOE’s priorities. There is lack of collaboration between mayors, the deconcentrated services4 of education and stakeholers at the communal level. Community groups do not have the skills to exercise their watchdog functions to ensure quality education and efficient management of resources, and they are not properly managed themselves. Mali has made significant gains in improving school enrollment. The 2009-2011 early grade reading assessment conducted in Mali revealed that a vast majority of children could not read either in a local language or in French (USAID/Mali CDCS). In addition, there is lack of transparency in the distribution chain of school textbooks and equipment.

Opportunities

In spite of these daunting challenges there is opportunity emerging with the government of Mali’s commitments to improve public finance management. Reforms started under the Institutional Development Program and Mali’s planned integration to the WAEMU accounting system, which will upgrade Mali’s financial management system, are promising signs. Various initiatives are being carried by the government with the support of donors to improve PFM including improving revenue generation and taxation, improving the budgetary process to meet international norms, improving financial governance-accountability and transparency, and advancing fiscal decentralization. Many of these activities are included in an action plan called PAGAM – Plan d’Action Gouvernemental pour l’Amelioration et la Modernalisation de la Gestion des Finances Publiques. PAGAM and other donor efforts have started improving PFM at the national level, but much work needs to be done in building PFM capacity at the sub national level, better linking Bamako and the regions in terms of planning and financial matters, and introducing stronger PFM accountability at all levels.

On the decentralization front, there have been several forums to discuss the challenges and the prospects for reform including the 10 year evaluation of the decentralization implementation, the Brussels forum on development in Mali and the “Etats Generaux on decentralization” held in October 2013 to bring about recommendations that could pave a path in resolving the current crisis and rebellion in Mali. Renewed effort around decentralization focuses on regionalization that will promote local development and regional councils.

In this context, the government has committed to transfer 30% of its national budget to the regions over the next four years. Hence, the capacity to manage these resources in a transparent and equitable manner is a priority.

C.2.1. Other USAID- funded Democracy and Governance Activities in Mali

USAID/Mali’s Peace, Democracy, and Governance (PDG) office plans to launch a series of new programs over the course of 2015. In addition to this sub national governance project, future areas of intervention include justice, civil society, and conflict mitigation. All new programs will have an over-arching theme of public accountability. In the meantime, the following is a list of active USAID-funded Democracy, Rights, and Governance (DRG) Programming in Mali:

Strengthening Human Rights Advocacy in Mali Implemented by Freedom House, this project helps the Government of Mali to respond effectively to human rights violations committed during Mali’s coup d’état and political crisis by increasing civil society’s human rights advocacy role and visibility in the protection of human rights. Specific objectives are to: a) Strengthen the capacity of Malian civil society organizations (CSOs) to monitor the government’s implementation of the 2013 Universal Periodic Review (UPR) recommendations, particularly those related to the recent crisis; b) Advocate for the rights of victims of human rights violations, particularly those from underrepresented groups; and c) Assist Malian CSOs to conduct trial monitoring of prosecutions against high-level perpetrators of human rights violations.

4 Id.

The Consortium of Elections and Political Party Strengthening Program (CEPPS) consists of the National Democratic Institute (NDI), the International Republican Institute (IRI) and International Foundation for Electoral Systems (IFES). It works with government entities, political parties, and civil society groups to ensure that the upcoming sub-national elections are credible, transparent, and inclusive. The program trains officials from the three electoral management bodies to develop and implement electoral reforms that will make the elections more transparent, easier to manage, and inclusive. The program will also work with newly elected officials at the sub national level to help them assume their new roles. Civil society watchdog organizations are supported to monitor the election reform process and the elections themselves to ensure that the process is transparent. The program also provides opportunities for disadvantaged populations to participate in elections.

Future Civil Society Program: Of particular relevance to this activity is USAID’s future civil society program which will work directly with civil society organizations to foster their “watchdog” role. This civil society program will fund civil society organizations directly and it is expected that efforts in component 2 of this program to help GOM institutions become more open and transparent to the public will coordinate closely with USAID’s future civil society efforts.

The Mali Justice Program works with the formal and informal justice sector to advance justice reforms and increase access to justice. This will include improving the institutional capacities of key justice sector institutions, especially the National Direction of Justice Administration (DNAJ) and the courts, and increasing availability of information on legal services, citizen rights, and justice-related reforms so that citizens better understand their rights under the Malian legal system. The Program will also provide targeted legal and advocacy services along key trade routes to reduce the level of corruption.

Mali Transition Initiative: This Office of Transition Initiatives (OTI) funded program implemented by AECOM helps support the transition to democracy and long-term development. In line with the U.S. Government’s foreign policy objectives in Mali, USAID/OTI’s overall goal is to assist in the implementation of Mali’s “Roadmap for Political Transition” which includes support to national reconciliation and the reintegration and stabilization of northern Mali. With the restoration of democracy in Mali in August 2013, OTI re-targeted its objectives to foster conditions for peaceful coexistence through reconciliation and empowering representative democracy by increasing citizen confidence in and information about the democratic process and governance and promoting reconciliation and social cohesion aimed at addressing drivers of conflict. This program will continue through mid 2016.

Future Conflict Mitigation Program: will strengthen targeted Northern communities’ resilience to conflict and radicalization by working with Malian government actors and local communities to address priority development and reconciliation needs and to combat extremism. USAID/Mali’s. This small grants program seeks to reduce the isolation of target communities and increase the legitimacy of both local and central Malian government institutions through meaningful civic engagement and to strengthen the resilience of at-risk groups against violent extremism. The components of this new USAID activity include: 1) Improving citizen perceptions of Malian government actors in targeted areas; and 2) strengthening communities’ social and economic resilience to negative external influences C.2.2 Other Donor Funded Decentralization and Public Financial Management Activities in Mali

The World Bank has three current programs related to decentralization and PFM:

• A $100 million dollar program related to the rehabilitation of some government infrastructure (mainly in the North) lasting from 2014-2018

• A $70 million dollar program to strengthen the institutional performance of Segou, Kayes, Sikasso, and Timbucktu lasting from 2011-2017

• The Governance and Budget Programme pour L’assistance Technical (PAT) that aims to strengthen PFM capacity in 100 communes in the Kayes, Koulikoro, and Sikasso regions.

Canada has two current programs related to decentralization and PFM:

• A 6 million dollar program that supports the Bureau du Verifacateur Generale (2008-2015)

• The PAMORI II program strengthens internal resource mobilization and capacity of the GOM tax department (2009-2017)

The European Union provides 52 million euros in support of the National Institutional Policy Framework on Decentralization (2009-2016) and supports the action plan for improving PFM in Mali through budget support.

The International Monetary Fund (IMF) provides technical assistance to the Treasury to assist in its integration efforts to the West African Economic and Monetary Union (WAEMU) reforms.

The German Embassy manages a 21 million euro program to improve service delivery, economic development, and public participation with a focus on Segou and Mopti.

France places technical assistants in the tax directory and the customs department.

C.3 LINK TO USAID MALI CDCS, FOREIGN ASSISTANCE FRAMEWORK AND APPLICATION OF

AGENCY POLICIES AND STRATEGIES

This project will work under USAID/Mali’s CDCS Development Objective #1 (Democratic Governance):

increase public trust in governance. The development hypothesis of this DO states that if responsive and accountable service delivery is increased and the rule of law is respected in Mali, then public trust in government will be improved. This project will contribute to the Intermediate Result 1.1: Responsive and accountable local service delivery increased. Under IR 1.1, this project will contribute to the following two sub IRs:

-IR1.1.2 Effectiveness of GOM oversight institutions improved -IR 1.1.3 National and local service delivery systems strengthened.

Under the Foreign Assistance Framework, this project will work directly under the Governing Justly and Democratically Program Area 2.2 Good Governance and the following program elements:

2.2.2: Public Sector Executive Function 2.2.2.4: Oversight of the Executive Branch 2.2.3: Local Government and Decentralization Sub element 2.2.2.3 Delivery of local goods and services Sub-element 2.2.3.4 fiscal decentralization

The project will also utilize funding from Program Element 3.2.1(Basic Education) and 3.1.6 (Maternal and Child Health) and work directly under the following elements and sub elements:

3.2.1 Basic Education

3.2.1.7 Education systems

3.1.6 Maternal and Child Health (MCH)

3.1.6.9 Health Governance and Finance (MCH)

C.4 RESULTS, PERFORMANCE STANDARDS AND ACTIVITIES

COMPONENT 1: Strengthen National and Sub National Public Financial Management Systems

While this component aims to strengthen the overall PFM system, USAID will place particular emphasis on the Health and Education systems.

The component will provide technical assistance to strengthen overall budget development and public financial management systems. This will be especially relevant at a time of renewed interest in decentralization reform and a recent pledge by the GOM to funnel 30% of the state budget to the sub national level over the coming four years and to increase the health budget by 15%. Jumpstarting fiscal decentralization will require better public financial management systems at both the national and sub-national levels to implement and account for more robust financial transfers and new revenue generation mechanisms.

Expected changes in the fiscal transfer system should lead to increased fiscal decentralization, thus vesting greater planning and budget authority in locally elected decision-makers who can better respond to the needs of their citizens. Given this new policy and legislative context, the project will emphasize technical assistance for local officials that covers the entire budget cycle, from planning to service delivery implementation to reporting. Since regionalization is a new part of the decentralization process, this component will also help to establish the foundations of regional structures through targeted capacity development, focusing on institutionalizing systems and administrative processes and strengthening the enabling environment.

Through this project, USAID will support the GOM’s regionalization efforts. Unlike previous decentralization programs, the focus of this project shall be at the regional level (and not directly at the communal level).

However, USAID expects that this project will indirectly strengthen the communal level and the contractor is expected to come up with an approach that directly connects the national to the regional level and at the same time improves coordination between the regions and communes, the regions and circles, and the circles and communes.

Transfer of responsibilities to all levels of the sub national government (regional, circle,and commune) has been based on law, not proven capacity, thus the speed at which decentralization reforms have taken place has been slow. Additionally, laws applicable to public financial management and decentralization are developed and implemented at only the national level, and many local government entities remain unaware of these laws. A significant amount of capacity development should thus be targeted at the sub-national level, both in terms of public financial management skills and understanding of national financial laws and regulations applying to the funds they receive. The national government is reluctant to share more resources before SNG institutions show improved understanding and skills of how to manage the resources they are given, but inadequate direction is given for current resources, so this paradox is preventing progress.

The Contractor will act as a conduit between the national and sub national levels, working to educate, communicate, and give better instructions to the local level. A system of increasing responsibility to the sub national government should be developed and supported. Greater responsibility to the sub national governments must include greater discretion over the use of funds and greater responsibility to execute those funds.

Some support may be needed for the national government to harmonize policy by completing or enhancing existing laws and decrees or creating new ones necessary for public financial management to work as originally intended. The Offeror should be prepared to offer such technical assistance in coordination with other donor partners. The Offeror should also encourage SNG involvement in the completion of these decrees.

Offerors should understand some of the problems associated with the nascent Integrated Financial Management Information System (IFMIS) in the target ministries and across the sub national government and propose solutions and be prepared to offer technical support to advance implementation of the IFMIS.

Illustrative Activities/Inputs:

• Assist the Ministry of Health (MoH), Ministry of Education (MoE) and the Ministry of Finance with executing budgets in a timely manner to enable implementation of sector plans and reducing any anomalies in the expenditure process.

• Help improve reliability and consistency of financial information between the Ministry of Finance and the line ministries (particularly education and health) as well as between the national and sub national government.

• Support more coordinated planning of investment budgets between the national and sub national levels in health and education.

• Assist the GOM to transfer financial and human resources skills to the regional level.

• Assist the GOM to attract, retain, and develop the skills of qualified women who are currently underrepresented in most of the civil service.

• Support GOM plans to de-concentrate and address anomalies in procurement practices, especially in the health and education sectors.

• Support to the Treasury to complete the computerization of its central operation department, implement its integrated financial management information system (IFMIS) in the regions, and in sub national units.

• Support improved revenue generation methods at the sub national level that includes more use of those revenues especially toward health and education needs.

• Show how women are taken into account for each of the activities undertaken.

• Explore Public Private Partnerships to advance and improve the IFMIS.

• Selective testing of PFM systems, providing a basis to more fully understand and confirm the nature and functionality of GOM practices, processes, and controls.

• Provide institutional-level examinations to identify, evaluate, and propose measures to mitigate transactional-level fiduciary risks of selected GOM’s institutional PFM systems at the country, sector, or sub-national government level.

Expected Outcomes:

• Increased capacity of national and…