SWIFT IV SOL-OAA-12-000081 IQC Solicitation.pdf

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

UNDER DPAS (15 CFR 700)

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

SEALED BID (IFB)

NEGOTIATED (RFP)

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

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

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

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

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

AREA CODE NUMBER EXT.

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

PART I - THE SCHEDULE PART II - CONTRACT CLAUSES

A SOLICITATION/CONTRACT FORM I CONTRACT CLAUSES

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

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

D PACKAGING AND MARKING PART IV - REPRESENTATIONS AND INSTRUCTIONS

E INSPECTION AND ACCEPTANCE

F DELIVERIES OR PERFORMANCE

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

H SPECIAL CONTRACT REQUIREMENTS M EVALUATION FACTORS FOR AWARD

K

REPRESENTATIONS, CERTIFICATIONS AND OTHER

STATEMENTS OF OFFERORS

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

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

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

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

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

(The offeror acknowledges receipt of amendments to the

SOLICITATION for offerors and related documents numbered and dated:

CODE FACILITY

16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER 15A. NAME AND

ADDRESS

OF OFFEROR

(Type or print)

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

AREA CODE NUMBER EXT.

15C. CHECK IF REMITTANCE ADDRESS IS DIFFERENT FROM

ABOVE - ENTER SUCH ADDRESS IN SCHEDULE

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

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION: 23. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM

(4 copies unless otherwise specified) 10 U.S.C. 2304(a) ( ) 41 U.S.C. 253(c) ( )

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

26. NAME OF CONTRACTING OFFICER (Type or print) 27. UNITED STATES OF AMERICA 28. AWARD DATE

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

(Signature of Contracting Officer)

(REV. 9-97)

10. FOR INFORMATION CALL:

11. TABLE OF CONTENTS

STANDARD FORM 33

SOLICITATION, OFFER AND AWARD

SOLICITATION

OFFER (Must be fully completed by offeror)

AWARD (To be completed by Government)

1 N/A 211

SOL-OAA-12-000081

X

REQ-OTI-12-00013

U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT

OFFICE OF ACQUISITION AND ASSISTANCE

M/OAA/DCHA/OTI, SA-44, ROOM 518-A

1300 PENNSYLVANIA, NW.

WASHINGTON, DC 20523

Section L.6 (d)

See Section L.6 (e) 2:00PM EST October 26, 2012

Sharon Wharton Smith 202-567-5347 swharton-smith@usaid.gov

See Attached Table of Contents

X 1

X 5-8

X 9-42

X 43-44

X 45

X 46-60

X 61-64

X 65-77

X 78-88

X 89

X 90-95

X 96-120

X 121-128

$.00

Cristina H. Sylvia

Contracting Officer

SOL-OAA-12-000081

Table of Contents Page

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

B.2 CONTRACT TYPE AND SERVICES

B.3 MINIMUM OBLIGATED AMOUNT

B.4 MAXIMUM CONTRACT CEILING

B.5 OBLIGATED AMOUNT, ESTIMATED COST, FIXED FEE

B.6 INDIRECT COST

B.7 ADVANCE UNDERSTANDING ON CEILING ON INDIRECT COST RATES AND FINAL

PERFORMANCE FOR INDIRECT COSTS

B.8 CEILINGS ON FIXED FEE

B.9 LABOR

B.10 TASK ORDER LIMITATIONS

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1 OBJECTIVE

C.2 BACKGROUND

C.3 SCOPE OF WORK

SECTION D - PACKAGING AND MARKING

D.1 AIDAR 752.7009 MARKING (JAN 1993)

D.2 BRANDING

D.3 BRANDING STRATEGY

SECTION E - INSPECTION AND ACCEPTANCE

E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

E.2 INSPECTION AND ACCEPTANCE

SECTION F - DELIVERIES OR PERFORMANCE

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

F.2 PERIOD OF PERFORMANCE (CPFF)

F.3 PERFORMANCE STANDARDS

F.4 REPORTS AND DELIVERABLES OR OUTPUTS

F.5 TASK ORDERS

F.6 FAIR OPPORTUNITY TO BE CONSIDERED

F.7 KEY PERSONNEL

F.8 CONTENTS OF TASK ORDERS

F.9 752.7005 SUBMISSION REQUIREMENTS FOR DEVELOPMENT

SECTION G - CONTRACT ADMINISTRATION DATA

G.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

G.2 CONTRACTING OFFICER

G.3 COGNIZANT TECHNICAL OFFICE (CTO)

G.4 CONTRACTOR‘S PRIMARY POINT OF CONTACT

G.5 PAYING OFFICE

G.6 ACCOUNTING AND APPROPRIATION DATA

G.7 CONTRACTOR'S PAYMENT ADDRESS

G.8 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID

SECTION H - SPECIAL CONTRACT REQUIREMENTS

H.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

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

H.3 AIDAR 752.7007 PERSONNEL COMPENSATION (July 2007)

H.4 ADDITIONAL REQUIREMENTS FOR PERSONNEL COMPENSATION

H.5 SECURITY CLEARANCE

H.6 DEFENSE BASE ACT (DBA) INSURANCE

H.7 AIDAR 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS

(FEB 2012)

H.8 AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC) SERVICES (JULY 2007)

H.9 AUTHORIZED GEOGRAPHIC CODE

H.10 LOGISTIC SUPPORT

H.11 LANGUAGE REQUIREMENTS

H.12 SUBCONTRACTING PLAN AND THE SF 294 - SUBCONTRACTING REPORT

FOR INDIVIDUAL CONTRACTS AND SF 295 - SUMMARY CONTRACTING REPORT

H.13 ORGANIZATIONAL CONFLICTS OF INTEREST: PRECLUSION FROM

IMPLEMENTATION CONTRACT (Design Services)

H.14 ORGANIZATIONAL CONFLICTS OF INTEREST: PRECLUSION FROM FURNISHING

CERTAIN SERVICES AND RESTRICTION ON USE OF INFORMATION (Indefinite

Quantity Contract) (Evaluation Services)

H.15 ORGANIZATIONAL CONFLICTS OF INTEREST (AUDIT)

H.16 EXECUTIVE ORDER ON TERRORISM FINANCING (FEB 2002)

H.17 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES (JAN

2002)

H.18 INTERNATIONAL TRAVEL APPROVAL

H.19 REPORTING OF FOREIGN TAXES

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

ASSISTANCE POLICY DIRECTIVE 04-17)

H.21 SUBCONTRACTING CONSENT

H.22 GRANTS UNDER CONTRACT

H.23 HOMELAND SECURITY PRESIDENTIAL DIRECTIVE-12 (HSPD-12) (SEPTEMBER

2006)

H.24 CODE OF CONDUCT FOR THE PROTECTION OF BENEFICIARIES OF ASSISTANCE

FROM SEXUAL EXPLOITATION AND ABUSE IN HUMANITARIAN RELIEF

OPERATIONS

H.25 PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS

H.26 752.7101 VOLUNTARY POPULATION PLANNING ACTIVITIES (JUNE 2008)….. 77

PART II - CONTRACT CLAUSES

SECTION I - CONTRACT CLAUSES

I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

I.2 52.204-7 CENTRAL CONTRACTOR REGISTRATION (FEB 2012)

I.3 52.209-9 UPDATES OF PUBLICLY AVAILABLE INFORMATION REGARDING

RESPONSIBILITY MATTERS (FEB 2012)

I.4 52.216-18 ORDERING (OCT 1995)

I.5 52.216-19 ORDER LIMITATIONS (OCT 1995)

I.6 52.216-22 INDEFINITE QUANTITY (OCT 1995)

I.7 PERIODIC PROGRESS REPORTS (OCT 2007)

I.8 IMPLEMENTATION OF SECTION 508 OF THE REHABILITATION ACT OF 1973,

(07/01/2007)

PART III – LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS

SECTION J - LIST OF ATTACHMENTS

PART IV – REPRESENTATIONS AND INSTRUCTIONS

SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF

OFFERORS

K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE 90

K.2 52.204-8 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (MAY 2012) .. 90

K.3 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (MAY

2012)

K.4 52.230-7 PROPOSAL DISCLOSURE--COST ACCOUNTING PRACTICE CHANGES

(APR 2005)

K.5 INSURANCE - IMMUNITY FROM TORT LIABILITY

K.6 SIGNATURE

SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS

L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE 96

L.2 52.215-1 INSTRUCTIONS TO OFFERORS—COMPETITIVE ACQUISITION (JAN

2004)

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

L.4 52.233-2 SERVICE OF PROTEST (SEP 2006)

L.5 GENERAL INSTRUCTIONS TO OFFERORS

L.6 DELIVERY INSTRUCTIONS

L.7 INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL PROPOSAL

L.8 INSTRUCTIONS FOR THE PREPARATION OF THE COST PROPOSAL

M.1 GENERAL INFORMATION

M.2 TECHNICAL EVALUATION CRITERIA

M.3 PRICE/BUSINESS EVALUATION

M.4 DETERMINATION OF COMPETITIVE RANGE

M.5 SOURCE SELECTION

M.6 CONTRACTING WITH SMALL BUSINESS CONCERNS

M.7 SMALL BUSINESS SET-ASIDE

SECTION B

PART I - THE SCHEDULE

SECTION B - SUPPLIES OR SERVICES AND PRICE/COSTS

B.1 PURPOSE

The purpose of this contract is to provide services that fall within the scope of the work specified in Section C for Support Which

Implements Fast Transition IV (SWIFT IV). USAID Task Order Contracting

Officers (TOCOs) will request the work through the issuance of task orders during the ordering period as specified in Section F of the contract.

B.2 CONTRACT TYPE AND SERVICES

This is an Indefinite Quantity Contract (IQC). The Government will issue task orders that are Cost-Plus-Fixed Fee (CPFF). The

Contractor must perform the services set forth in task orders at prices consistent with section B of this contract.

B.3 MINIMUM OBLIGATED AMOUNT

The basic contract includes an initial obligation of funds in the amount of $50,000 to cover the minimum order guarantee. USAID is required to order and the Contractor is required to furnish the minimum order amount of services.

Following this initial obligation, individual task orders will obligate funds to cover the work required under such task orders.

B.4 MAXIMUM CONTRACT CEILING

This is a multiple award Indefinite Quantity Contract with an overall ceiling price of $2.5 billion. The maximum aggregate dollar value of task orders awarded to all contractors cannot exceed the contract ceiling. This ceiling is not being subdivided among the number of awardees nor is it being multiplied by the number of awardees.

The number of awards under SWIFT IV is up to a total of fourteen

(14) contracts (up to twelve (12) unrestricted and at least two (2) small business set-asides) as a result of this solicitation. The Agency reserves the right to award more or less awards than the anticipated number of contracts stated above.

B.5 OBLIGATED AMOUNT, ESTIMATED COST, FIXED FEE

(a) The Total Estimated Cost Plus Fixed Fee for each task order must be negotiated in accordance with the terms of the IQC contract.

In no event may the indirect rates or fixed fee for a task order exceed the ceilings set forth in Section B.7 and B.8 of IQC contract. The

U.S. dollar costs must be limited to reasonable, allocable, and allowable costs determined in accordance with FAR 52.216-7, Allowable

Cost and Payment, and FAR 52.216-8, Fixed Fee, A-21 (for universities), and A-122 (non-profit).

(b) Fixed Fee Payment. For any task order issued under this contract, at the time of each payment of allowable costs to the

Contractor, the USAID paying office ordinarily pays the Contractor a percentage of fixed fee that directly corresponds to the percentage of allowable costs being paid. Two exceptions to paying fixed fee in this manner apply:

(1) If the TOCO determines that this method results in paying a disproportionately higher ratio of fixed fee than the percentage of work that the Contractor has completed, then the TOCO may suspend further payment of any fixed fee until the Contractor has made sufficient progress to justify further payment, up to the agreed percentage.

B.6 INDIRECT COST

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

Description Rate Base Type Period

1/ 1/ 1/

2/ 2/ 2/

3/ 3/ 3/

1/Base of Application:

Type of Rate:

Period:

Source:

2/Base of Application:

3/Base of Application:

B.7 ADVANCE UNDERSTANDING ON CEILING ON INDIRECT COST

RATES AND FINAL PERFORMANCE FOR INDIRECT COSTS

(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 ______________________.

(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:

Indirect Cost FY XX FY XX FY XX FY XX

(Reference respective accounting periods specified in B.6. INDIRECT

COSTS.)

(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.

B.8 CEILINGS ON FIXED FEE

For each task order issued under this IQC, the TOCO and Contractor agree to negotiate a set dollar amount for fixed fee. In negotiating the fixed dollar amount for fee, the TOCO must consider the policies and factors for establishing fee in FAR 15.404-4 as well as any applicable USAID policy on establishing a fixed fee amount.

In no event, however, may the amount of fixed fee in any individual task order exceed the following:

____ percent(offeror proposes ceiling percentage) for the total estimated project costs (excluding components of the transition activities pool (TAP) as discussed in Section C.3(c), and fee) for the task order, ____ percent(offeror proposes ceiling percentage)of the amount for non-grants under contract components of the transition activities pool (TAP) awarded under the task order, excluding fee.

For the grants under contract activities awarded under a task order, a

Letter of Credit (LOC) will be sought for awardees. However, since issuance of an LOC cannot be accomplished prior to award, all offerors shall propose a ceiling percentage fee if issued an LOC and a separate ceiling fee percentage if not issued an LOC. Only the appropriate fee will be included in the contract upon award as follows:

_____ percent(offeror proposes ceiling percentage)of the amount for grants under contract awarded under the task order, excluding fee if issued a letter of credit.

_____ percent(offeror proposes ceiling percentage)of the amount for grants under contract awarded under the task order, excluding fee if

NOT issued a letter of credit.

B.9 LABOR

Compensation of personnel under this contract or any resulting subcontract must be in accordance with AIDAR 752.7007 Personnel

Compensation, the full text of which is in section H.3.

B.10 TASK ORDER LIMITATIONS

(a) Cost-Plus-Fixed-Fee (CPFF) Task Orders. When issuing CPFF task orders, the TOCO must state in the task order the total estimated cost plus fixed fee, which is the total amount of the task order and the maximum amount the Contractor may be paid without the advance written approval of the cognizant Contracting Officer. This maximum amount represents the negotiated mix of the prime contractor's and subcontractors' professional labor categories and salaries, an estimated number of workdays, other direct costs, and fixed fee.

(b) Minimum Order. When USAID requires services or reports and other deliverables covered by this contract in a Task Order in the amount of less than $100,000, the Contractor is not obligated to accept an order to furnish those services or reports and other deliverables under this contract. However, if the Contractor agrees to furnish services or reports and other deliverables required by USAID in an amount of less than $100,000 and is awarded a Task Order to do so, the

Contractor is required to provide said services and reports/deliverables in accordance with the Contract's terms and conditions.

(c) Maximum Order. When USAID requires services or reports and other deliverables covered by this contract in a Task Order amount of more than $50,000,000, the Contractor is not obligated to accept an order to furnish those services or reports and other deliverables under this contract. However, if the Contractor agrees to furnish services or reports and other deliverables required by USAID in excess of

$50,000,000 and awarded a Task Order to do so, the Contractor is required to provide said services and reports/deliverables in accordance with the Contracts terms and conditions.

(d) Notwithstanding the above, if issuance of a task order to, and acceptance of a task order by, the Contractor would: (1) result in the Contractor (or its personnel or its subcontractors or their personnel) having an organizational conflict of interest for which restrictions would be placed on the Contractor's (or its personnel‘s or its subcontractors‘ or their personnel‘s) future activities; or (2) violate the provisions of the Procurement Integrity legislation, i.e., Section 27 of the Office of Federal Procurement Policy Act (41 U.S.C.

423), as amended by Section 814 of Pub. L. 101-189 the Contractor, after written notification to the cognizant Contracting Officer, is not obligated to furnish those services or reports and other deliverables under this contract, and USAID may acquire the supplies or services from another source.

END OF SECTION B

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF

WORK

C.1 OBJECTIVE

The objective of this Indefinite Quantity Contract (IQC) is to provide the Office of Transition Initiatives (OTI) with the means to support

U.S. foreign policy objectives by helping local partners advance peace and democracy in priority countries in transition. OTI‘s program team, comprised of OTI and contractor personnel, will work on the ground to provide fast, flexible, short-term assistance targeted at key political transition and stabilization needs.

This IQC is divided into two sub-IQCs that will share the overall IQC ceiling. The sub-IQCs are geographically focused as follows:

1) Sub-IQC A - supporting transition programs in Africa and Latin America and the Caribbean, and

2) Sub-IQC B - supporting transition programs in Asia, the Middle East, and Europe and Eurasia

Sub-IQC A Sub-IQC B

Africa

Angola, Benin, Botswana, Burkina

Faso, Burundi, Cameroon, Cape

Verde, Central African Republic, Chad, Comoros, Democratic Republic of the Congo (DRC), Republic of the

Congo, Cote d'Ivoire, Djibouti, Equatorial Guinea, Eritrea, Ethiopia, Gabon, The Gambia, Ghana, Guinea, Guinea-Bissau, Kenya, Lesotho, Liberia, Madagascar, Malawi, Mali, Mauritania, Mauritius, Mozambique, Namibia, Niger, Nigeria, Rwanda, Sao Tome and Principe, Senegal,Seychelles, Sierra Leone, Somalia, South

Africa, South Sudan, Sudan, Swaziland, Tanzania, Togo, Uganda, Zambia, Zimbabwe

Latin America and the Caribbean

Antigua and Barbuda, Argentina, Aruba, The Bahamas, Barbados, Belize, Bermuda, Bolivia, Brazil, Canada, Cayman Islands, Chile, Colombia, Costa Rica, Cuba, Curacao, Dominica, Dominican

Republic, Ecuador, El Salvador, Grenada, Guatemala, Guyana, Haiti, Honduras, Jamaica, Mexico, Nicaragua, Panama, Paraguay, Peru, St. Kitts and Nevis, St. Lucia, St.

Vincent and the Grenadines, Suriname, Trinidad and Tobago, Uruguay, Venezuela

Asia

Afghanistan, Australia, Bangladesh, Bhutan, Brunei, Burma, Cambodia, China, Fiji, India, Indonesia, Japan, Kazakhstan, Kiribati, North

Korea, South Korea, Kyrgyzstan, Laos, Malaysia, Maldives, Marshall

Islands, Micronesia, Mongolia, Nauru, Nepal, New Zealand, Pakistan, Palau, Papua New Guinea, Philippines, Samoa, Singapore, Solomon Islands, Sri Lanka, Taiwan, Tajikistan, Thailand, Timor-Leste, Tonga, Turkmenistan, Tuvalu, Uzbekistan, Vanuatu, Vietnam

Europe and Eurasia

Albania, Armenia, Azerbaijan, Belarus, Bosnia-Herzegovina, Bulgaria, Croatia, Cyprus, Czech

Republic, Estonia, Georgia, Hungary, Ireland/Northern Ireland

(UK), Kosovo, Latvia, Lithuania, Republic of Macedonia, Moldova, Montenegro, Poland, Romania, Russia, Serbia, Slovakia, Slovenia, Turkey, Ukraine

Middle East

Algeria, Bahrain, Egypt, Iran, Iraq, Israel, Jordan, Kuwait, Lebanon, Libya, Morocco, Oman, Palestinian Territories, Qatar, Saudi Arabia, Syria, Tunisia, United Arab Emirates, Yemen

Attachment J.6 also includes the list of countries included in the geographic regions defined for each sub-IQC. Contractors selected under each sub-IQC will have regional experience in the geographic scope of the sub-IQC regions to facilitate rapid programmatic start-ups. Through specific task orders, the contractor will establish, staff, manage, operate, and support a flexible, quick-response mechanism capable of administering and implementing targeted activities and/or providing support to non direct-hire USAID personnel.

C.2 BACKGROUND

This background section provides an overview of OTI, defines a

―Transition‖ and describes OTI‘s criteria for engagement. It also presents information pertinent to an OTI program including information on SWIFT IV contractors‘ roles, local partners, funding, program duration, and exit strategy.

C.2(a) Office of Transition Initiatives (DCHA/OTI)

Since 1994, OTI, part of USAID‘s Bureau for Democracy, Conflict, and

Humanitarian Assistance (DCHA), has helped to lay the foundation for long-term development in 55 countries in transition by nurturing peace processes, promoting reconciliation, supporting independent media, promoting government responsiveness to local needs, developing strategic communications capacities for nascent democratic governments, and fostering peace and democracy through innovative programming. In countries undergoing a transition from authoritarianism to democracy, violent conflict to peace, or other pivotal political events, OTI seizes windows of opportunity and seeks to act as a catalyst for positive political change. OTI programs are short-term — typically two to three years in duration. OTI programs often are initiated in states that have not reached the stability needed for longer-term development to succeed. Therefore, OTI works closely with USAID regional bureaus, missions and other counterparts to continually identify and respond to strategic needs and gaps in the immediate term that can help to stabilize the situation, buy time for longer term political and economic reform, complement other assistance efforts and lay a foundation for development efforts to succeed.

OTI programs are designed to meet the unique needs of each country context and to remain responsive to rapidly evolving political and operational environments. In order to fulfill its mandate OTI must have the ability to change, reorient or refocus its programs in order to rapidly respond to new strategic opportunities in the country or region. Previous OTI programs have:

engaged with politically marginalized citizens to give them a voice in the transition process;

addressed gender-specific constraints to successful transitions;

bolstered host government actors and increased the perception of the government in a joint campaign against insurgent groups;

drawn people together across ethnic, political party, and religious lines to work towards common community-defined goals;

provided materials for small infrastructure repair projects as a means of encouraging communities to hold government officials responsible for responding to local priorities;

supported community initiatives to rehabilitate critical infrastructure in war torn areas as a means of building confidence and supporting local, democratic decision-making processes;

facilitated sustained communication and cooperation between newly elected officials and their constituents;

encouraged measures to bring military and security forces under civilian democratic control;

provided basic furniture, equipment, and short term technical assistance to key government ministries to help rapidly restore critical services and public confidence;

backed local human rights groups and war crimes investigations;

supported production and development of get-out-the vote ads, local anticorruption campaigns, and public service announcements as a means of supporting transparency and democracy;

promoted independent media and increased access to balanced information to impact public perceptions;

supported or advanced media infrastructure, systems, networks, regulatory regimes, and professionalism to expand access to and freedom of information;

assisted local peacemakers to prevent conflict and promote ethnic reconciliation;

provided community-focused reintegration assistance for ex-combatants and war-affected youth to help buy time for peace and longer term economic and political reforms;

provided timely and targeted support to civil society organizations as a means of engaging government officials in dialogue and promoting accountability; and supported local efforts to mitigate and manage ethnic and religious conflict through training, improved communication, and confidence-building measures.

All OTI programs are a means to achieve transitional assistance goals, and create an environment stable enough for longer term development to take root. OTI is not constrained by sector, and most OTI programs are cross-cutting.

C.2(b) Defining a Transition

A transition is a time of high politicization and instability as major groups within a country may compete for power and the foundation for a new political arrangement takes shape. During these periods, citizens are often preoccupied with personal security and meeting basic needs, and unsure what the political changes mean. While long-term development programs may not be feasible during transition periods, profound advances toward democracy and peace are possible and can lay the foundation for long-term development.

Transitions offer windows of opportunity to:

(a) Shift the balance of power and the center of political gravity towards forces favoring peace and democratic governance; and

(b) In the case of fragile new governments, to promote positive changes in public perceptions by:

i. Addressing critical transition priorities in targeted, tangible ways;

ii. Building confidence through peace dividends and mitigating conflict;

iii. Strengthening an independent media acting in the public interest and holding governments accountable; and

iv. Assisting governments to respond to local community needs and to develop their strategic communication capacities.

In the past, OTI has worked in a diverse range of transition settings that have generally fallen into one of three broad categories. These categories may evolve in the future as country situations change and are not intended to encompass all the potential types of transition in which OTI could engage:

Transition to Democracy: Transitions to democracy often occur when a seminal event—an election or revolution—ushers in a democratic government after a period of military or autocratic rule. In these situations, OTI responds to the desire of the newly elected leadership and/or the general population for improvements in information flows, governmental transparency and accountability, and participatory decision making.

Transition to Peace: Violent conflicts tend to be cyclical. If the pattern is not broken, cycles of retribution can repeat themselves for decades, even centuries. In the aftermath of conflict, OTI seeks to create a foundation for a just and lasting peace by supporting the negotiation and implementation of peace agreements that provide a framework for inclusive governance and national reconciliation.

OTI also supports efforts to increase local capacity to manage conflict and promote reconciliation, especially at the community level.

Transitional Political Crisis: In countries where democratic institutions come under serious challenge, or where ethnic, religious, or political rivalries threaten to flare into open violence, OTI initiates activities that increase opportunities for dialogue and constructive citizens‘ participation in the democratic processes. By shoring up democratic forces, seeking opportunities to introduce reform, and training communities to better manage conflict, OTI seeks to reverse the slide toward instability and return toward peace and democracy.

C.2(c) Desired Outcomes

In the transitions discussed above, OTI generally defines the outcomes of its programming in terms of positive changes in attitudes, perceptions and behaviors. Most activities, regardless of sector, are seen as a means to support positive changes as part of a broader transition process rather than focusing on outcomes within a particular sector. For example, OTI might support an activity with the local government to repair a school. OTI would measure its success based on how that activity improved attitudes and perception toward the government in that community rather than how the refurbished school impacts educational outcomes.

In transitions, the changing dynamics often make identifying a correlation between specific interventions and desired outcomes challenging. Because of this uncertainty, OTI encourages risk-taking with small activities that then feed into an iterative process of analysis and decision-making where individual activities may not contribute directly to achieving outcomes but rather help OTI to refine future activities or eliminate types of programming that does not impact the transition.

C.2(d) Criteria For Engagement

OTI conducts an assessment when there is potential for OTI involvement in a country. The assessment's purpose is to determine whether there is a clear rationale for OTI engagement and to provide contextual analysis of the situation on the ground. All of this helps prepare for a better, more refined, and targeted OTI program. While there are a few instances when OTI has started a program without an assessment, it is neither preferred nor advisable.

To determine where to devote its resources, OTI applies four key criteria for engagement:

Is the country important to U.S. national interests?

Is there a window of opportunity?

Can OTI‘s involvement significantly increase the chances of success?

Is the operating environment sufficiently stable?

The criteria can be elaborated as follows:

Is the country significant to U.S. national interests in the country or region? While humanitarian aid is distributed on the basis of need alone, transition assistance is allocated with an eye to advancing U.S. foreign policy objectives and priorities. Stable, democratic countries are better able to meet the needs of their own people, are more reliable trading partners, are less likely to engage in aggression against their neighbors, and are less inclined to engage in destabilizing activities. In consultation with the

Director of Foreign Assistance, the Department of State, the

Department of Defense and the National Security Council, and with the consent of Congress, OTI seeks to focus its resources where they will have the greatest impact on U.S. national interests.

Is there a window of opportunity? Even the best-intentioned assistance can be ineffective if the situation is not ripe for change. OTI cannot create a transition or impose democracy, but it can identify and support key individuals and groups who are committed to peaceful, participatory reform. In short, OTI acts as a catalyst for change where there is sufficient indigenous political will. In most cases, a key event occurs - an election, a peace accord, or the rise of a nonviolent protest movement - that signals a fundamental realignment of power or direction and thus a window of opportunity to promote positive political change. Before initiating a new country program, OTI analyzes the extent to which the ingredients for success are in place.

Can OTI's involvement increase the chances for success? Because of its flexible programming, funding, and management approach, OTI receives many more requests for assistance than it is able to fulfill. OTI‘s programs are designed to neither duplicate nor substitute for other U.S. government efforts. Before engaging, OTI explores whether U.S. government assistance is desired by local partners, whether OTI is the most appropriate U.S. government office to provide this type of assistance, and whether OTI's available resources and expertise are sufficient to achieve the desired outcomes.

Is the operating environment sufficiently stable? While part of

OTI's comparative advantage lies in its experience working in some of the world's most sensitive and dangerous places, there must be enough stability to enable OTI and/or contractor staff to travel outside of the capital to implement and monitor OTI-funded activities. OTI is not a centralized grant-making program. It is an operational office with OTI and/or contractor staff working on the ground at the community level. Without this local situational knowledge, OTI and its contractor staff cannot tailor program activities to respond effectively to the transition context where we are being asked to work.

C.2(e) Transition Programming Partners

Primary Implementing Partners

Once OTI has decided to start a new country program, the office then identifies the most appropriate mechanism for procuring an implementing partner. Depending on the country context, OTI may have more than one primary implementing partner. Typically, one implementing partner would be a SWIFT IV contractor while others would work on specific program components through other acquisition or assistance mechanisms. Other implementing partners may include International NGOs, Public

International Organizations, or other contractors. These partnerships are generally with organizations that have experience working in countries in political transitions and/or in post conflict environments.

OTI‘s Local Partners

OTI works with a variety of partners through its primary implementing partner(s) using sub awards or subcontracts. These local partners are often non-traditional USAID partners and may include local indigenous groups; cooperatives; associations; informal groups; non-governmental organizations (NGOs); local, regional and national governments; private voluntary organizations (PVOs); U.S. organizations; student groups;

media; international organizations; private sector; and coalitions of these entities. See section C.3(c) Transition Activities Pool for more information on working with local partners.

C.2(f) Technical Direction, Decision-Making, and Partnership

OTI has developed its own business model for working in transition environments with specific tools and approaches to provide technical direction, to make decisions on program strategy, and to effectively coordinate with implementing partners both in country and in

Washington.

Technical Direction

Each Task Order under this IQC will have a designated Task Order

Contracting Officer‘s Representative (TOCOR) who will likely be based in Washington, D.C. In addition to the TOCOR, an OTI Country

Representative will typically be assigned in the country or region where the OTI program is based. The TOCOR, with input from the Country

Representative, will provide programmatic guidance and overall strategic direction within the Task Order Scope of Work. The OTI

Country Representative will advise the TOCOR in making these decisions based upon U.S. foreign policy interests and in close collaboration with the Contractor, other USAID offices, and the U.S. Embassy. The

Country Representative is supervised by the Washington-based OTI

Regional Team Leader but also works closely with the TOCOR and, where appropriate, with the USAID Mission Director and the U.S. Ambassador, or their designees. Although the country context may vary, OTI coordinates closely in the design and implementation of programs, with the US Embassy, the USAID Mission, other USAID or Department of State offices (e.g., OFDA, CMM, DRG, and CSO), and other interagency partners.

Decision-Making

While the TOCOR provides the Washington-based, task order level direction and contract management, OTI delegates significant decision-making authority to the OTI Country Representative for day-to-day strategic guidance and program activities under the TAP. The Country

Representative is OTI‘s in-country representative to coordinate and liaise with implementing partners, USG counterparts, and/or government partners on the in-country strategy and programming. S/he will clear each activity, the types of local partners and beneficiaries, and the final selection of local partners—ensuring that activities are contributing to OTI‘s program objectives. The OTI Country

Representative‘s decision-making authority for the Transition

Activities Pool (TAP) is defined under a SWIFT IV deviation that delegates specific approval authorities for the Country Representative

(or his/her designee), the TOCOR, and the Task Order Contracting

Officer (TOCO).

In addition to the Country Representative, OTI normally hires a Deputy

Country Representative and may also hire additional staff to serve as deputy country representatives or field program managers depending on the size and complexity of the country program. In the absence of the

OTI Country Representative, OTI will designate in-country staff, an OTI

Transition Advisor or Field Advisor, or other OTI staff member to serve as acting Country Representative.

Partnership

As mentioned above, OTI has a distinct, hands-on management style and can be described as an implementing or operational donor. This management style requires a strong partnership between OTI and their contractor in a ―one-team‖ approach. OTI views its contractors as implementing partners and has created a ―four corners‖ management structure to clearly define the anticipated relationships between OTI and the SWIFT IV Contractor. The chart below provides a graphic illustration of the relationships between the ―four corners‖ that manage an OTI country program.

The chart below gives an illustrative overview of how this partnership works to contribute to shared responsibilities in an OTI program.

Partnership

OTI is not a conventional donor.

We see ourselves as part of a partnership in what should be a relatively seamless operation.

USAID/OTI

Responsibilities

Shared

Responsibilities

Contractor

Responsibilities

-Overall Direction and Analysis

-Effective Strategy and Approach

-Local Analysis to support OTI

Decisions

-US Government

Relations

-Donor coordination

-Political Vision and Analysis (what do we do and why do we do it)

-Relations with local political actors

-Local Relations

-Activity Guidance, Review and Approval

-Interactive

Activity

Development

-Activity Ideas

-Activity

Development, Procurement (for in-kind), and

Execution

-Overall Program

Outcomes

-Monitoring

Implementation

-Information

Management

-Evaluating

Outcomes

-Reporting

-Activity Outcomes

-Handover/OTI Exit -Legacy (Success and Failure)

-Close Out

Working with the OTI country staff and the TOCOR, the contractor will be involved in all aspects of the program—providing advice to OTI regarding strategic programming decisions and implementing program activities based on OTI technical guidance and decision-making. The level and quality of this close interaction and one-team approach is critical to overall program success. This integrated approach is important for dealing with the stresses and strains of rapidly implementing a complex and politically delicate program in an uncertain environment while maintaining programmatic flexibility. The regular periodic re-examination of programmatic goals and objectives, roles and responsibilities, lines of communication, policies and procedures through regular four corners calls1, at scheduled rolling assessments, and at strategic review sessions2 provides a formal process for strengthening team skills and program focus.

1 Four corners calls are a teleconference between the four corners of an OTI country program to ensure that all members of the team are on the same page.

During start-up and close-out, four corners calls are typically used to coordinate timely completion of tasks and deliverables to start-up and close-out the program effectively. During full implementation, four corners calls may be used, as needed, to ensure buy-in and coordination among different members of the team.

2 Rolling assessments and strategic review sessions are described in Section

C.3(j).

C.2(g) Funding

OTI generally initiates programs through the Transition Initiatives

(TI) account as specified in the Foreign Assistance Act of 1961, as amended. The account is ―to support transition to democracy and to long-term development of countries in crisis…such support may include assistance to develop, strengthen, or preserve democratic institutions and processes, revitalize basic infrastructure, and foster the peaceful resolution of conflict.‖ At least five (5) days prior to beginning a new program of assistance, OTI submits a report to the Appropriations

Committees.

OTI uses its limited TI funds to leverage non-TI resources that may include other U.S. Government foreign assistance funds (e.g., Development Assistance, International Disaster and Famine Assistance, Complex Crises Fund, Overseas Contingency Operations, and Economic

Support Funds), other donor funds, and/or contributions from local partners (e.g., local government counterparts). These non-TI funds may be obligated directly by USAID to the SWIFT IV Task Order, directly to the implementing partner, or as part of a local grantee‘s contribution to an activity.

C.2(h) Duration and Exit

Transition programs, given their very nature, are designed to be short, targeted and flexible. OTI generally plans to exit a country program within two to three years of initiating a program. Therefore, the initial duration of most Task Orders is two to three years. All OTI programs are required to develop an exit strategy3 at a minimum 18 months after the program startup, and recent experience has demonstrated that programs should often begin developing a plan for handover, close-out, and/or exit much earlier in the process. OTI programs are not intended to substitute for long-term development activities, and early planning with the USAID mission (if present), with the US Embassy, with other donors, or with the local partners for

OTI‘s exit will facilitate the shift to long-term development upon the departure of OTI.

OTI works with the USAID Mission (if present) and other donors to determine which aspects of the program (e.g. specific activities or partnerships with local organizations) may be suitable for handover given the nature of the transition at that point in time. An exit strategy addresses how certain program aspects may be continued and how they will be funded. In some cases, given the country situation, no handover is necessary and OTI and its implementing partner(s) simply end the program and exit. In each case, the contractor will assist in developing an OTI Exit Strategy and a program handover strategy (if applicable).

C.3 SCOPE OF WORK

The objective of this Indefinite Quantity Contract (IQC) is to provide

OTI with the means to support U.S. foreign policy objectives by helping local partners advance peace and democracy in priority countries in transition.

3 The exit strategy will be developed by OTI with input from the SWIFT IV

Contractor, USAID, other USG actors, and/or local partners.

OTI‘s program team, comprised of OTI personnel and the contractor, will seize critical windows of opportunity, working on the ground to provide fast, flexible, short-term assistance targeted at key political transition and stabilization needs.

Contractor(s) are critical to the success of OTI programs because they are expected to overcome the significant challenges posed by conflict affected or otherwise unstable transition countries where OTI operates.

SWIFT contractors are also seen as a vital resource to help inform programming under the overall guidance of OTI. The contractor will need to rapidly deploy initial start-up teams to countries in order to set up offices; hire (local) staff; develop, award, and administer small grants (primarily to local groups) based on USAID approval and guidance; procure goods and services for in-kind grants or for direct distribution; provide short-term technical assistance; contribute to the country team‘s continual learning, assessment and local political analysis; maintain liquidity of funds in a variety of unstable country situations; and implement other activities to meet critical short-term needs in political and/or post-conflict transitions.

The following sections, comprising the Scope of Work, describe (a) field staffing, administrative, and management structures, and (b) the services covered under this IQC. Also described are financial responsibilities; OTI‘s Activity Database; information and communications technology (ICT); branding and marking; reviews, reporting and evaluations.

C.3(a) Field Staffing, Administrative, and Management Structures

Field staffing, administrative, and management structures will vary according to the demands of each country program and area. OTI will usually maintain an office to coordinate the program from the capital, likely based in the USAID Mission or US Embassy. In addition, there may be one or more OTI regional offices as part of the U.S. Government‘s regional structure or as a stand-alone office particular to OTI‘s programmatic needs. The task order will estimate the number of in-country offices that the contractor will need to plan and budget for, but these will generally consist of a program office in the capital and field offices as needed. For each program, the number of in-country offices is subject to change depending on evolving context and programmatic priorities. The number and location of the offices will be determined by the TOCOR and OTI Country Representative (in coordination with USAID or the US Embassy) and in keeping with the task order scope and budget, programmatic focus, cost effectiveness and efficiency.

In addition, OTI may establish a regional program to respond to a regional transition. In this case, the task order will specify the country or countries in which contractor presence will be required to implement the regional program.

Contractor administration and management responsibilities are further elaborated on in the following section.

C.3(b) IQC Services

The contractor will be responsible for the following two services under this IQC:

i. Implement and manage activities from the Transition Activities

Pool (TAP); and

ii. Support non-direct hire USAID personnel, as needed.

Task Orders that are issued under this IQC will specify the country or region within which to engage; the nature of the transition; the specific services anticipated; the initial objectives of the country or regional program; and illustrative program activities.

The following sections elaborate on the expectations for these two services at different points in a country program cycle.

1) Implement and Manage Activities from the Transition Activities Pool

(TAP)

Under the strategic direction of the TOCOR in coordination with the OTI

Country Representative, and under their daily strategic direction, the contractor shall be responsible for all of the programmatic implementation, management, and administrative aspects of OTI country programs. Responsibilities will primarily revolve around the management of the TAP, which consists of the following: finding and working with local traditional and non-traditional partners to develop small, short-term, catalytic activities; providing analysis4 and rationale for new activity ideas for USAID approval; complying with USAID rules and regulations for activities (e.g. environmental compliance);

implementing activities approved by USAID; monitoring their implementation and evaluating their outcomes; and reporting on progress made towards overall program objectives. TAP resources will support program objectives, and the primary mechanism for implementing TAP activities will be grants under contract. As necessary and specified in task orders, the TAP may also be used to fund other activities through short term technical assistance, training, and direct distribution of goods and services by the contractor. More detailed descriptions of the

TAP and of program activities can be found in Section C.3(c).

The contractor will be responsible for establishing all the administrative and management systems necessary to support implementation of activities funded by the TAP. Administrative and management responsibilities shall include all logistics, procurement, personnel, management, and financial aspects of the program. These include, but are not limited to: mobilizing rapidly; hiring and training staff; setting up offices; creating systems to manage and track small grants under contract activities; managing logistics to support in-kind procurement; establishing and maintaining security and emergency systems; purchasing office equipment and vehicles;

establishing communications and information systems; developing and

Analysis should incorporate gender considerations. At the activity level, the contractor should consider how the different roles and status of men and women impact OTI‘s transition goals and how different activities may affect women and men differently.

maintaining procurement and financial systems; and providing varying amounts of funds on short notice (up to $1.8 million for operations and activities) in countries where there are non-existent or limited banking institutions.

In order to implement and manage TAP activities under the SWIFT IV IQC, the contractor will need sufficient capacity in the following phases:

Phase 1 - Pre-Deployment and In-Country Startup

Phase 2 – Full Implementation

Phase 3 - Close-out

Each task order may include other phases that are tailored to the specific OTI country program and that utilize or expand the capacity required in the three standard phases listed above.