SWIFT IV SOW Draft for Pre-solicitation.pdf

SWIFT IV

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

Please see Attachment A for 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.

More information on OTI, including details on past and present country programs, can be found at http://www.usaid.gov/our_work/cross-cutting_programs/transition_initiatives/index.html or by visiting www.usaid.gov and entering the keyword ―OTI‖.

http://www.usaid.gov/our_work/cross-cutting_programs/transition_initiatives/index.html http://www.usaid.gov/our_work/cross-cutting_programs/transition_initiatives/index.html http://www.usaid.gov/

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 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 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 calls , at scheduled rolling assessments, and at strategic review sessions provides a formal process for strengthening team skills and program focus.

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 Committee.

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 strategy 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

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-up, 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.

Rolling assessments and strategic review sessions are described in Section C.3(j)

The exit strategy will be developed by OTI with input from the SWIFT IV Contractor, USAID, other USG actors, and/or local partners.

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.

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.

i. 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; implementing activities; 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 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. Typically these additional phases are included as an option that must be activated by USAID and which is contingent on availability of funds and the evolving context of the particular program.

A few examples of tailored phases include:

Expansion/Ramp-up Option - an expansion or ramp-up phase during full implementation where additional field offices may be required.

Regional Programming Option – a regional programming option during start-up or full implementation to carry-out limited programming or information gathering in other countries in the same geographic region.

The following sections describe each standard Phase.

Phase 1 – Pre-Deployment and In-Country Start-up Phase (Typically the first three (3) months of a task order)

Contractors must be available on short notice to perform worldwide under extremely challenging circumstances. Requests for Task Order Proposals

(RFTOP) may present IQC holders with only a two-week period to submit proposals, and notifications of award can be given within one week of the closing of the solicitation. Because timing in OTI political transitions can be critical and OTI interventions are rapid, the situation may require the contractor to deploy to a country as quickly as 72 hours after notice of award and to have operations set up to initiate activities within a few days as specified in the applicable task order.

The challenge of moving quickly while simultaneously initiating the process of collaboration and team building make the pre-deployment and in-country start-up a particularly challenging phase. The coordination of schedules, the procurement of required supplies and equipment, training of staff and the definition of roles and responsibilities between contractor and USAID/OTI staff are critical to the success of this phase.

Pre-deployment

Shortly after task order award, USAID/OTI and the contractor shall convene a start-up conference in Washington, DC (generally within 2-7 days of task order contract award). The purpose of this start-up conference is to discuss and define roles and responsibilities between the contractor and USAID/OTI staff and to clarify tasks and deliverables set forth in the task order. The pre-deployment phase also implicitly requires a basic level of existing institutional capacity to rapidly respond and implement new country programs— typically deployment of the start-up team takes place within 3-15 days of task order contract award. Specific dates for the start-up conference in

Washington, DC and the deployment of the start-up team will be specified in individual task orders.

In-Country Start-up

In-country start-up begins with the arrival of the contractor's start-up team in country and is the most critical period for an OTI program, during which time the contractor will establish key implementation systems and prepare for deployment of the entire team in-country. The contractor will be required to put into operation administrative, management, programmatic and logistical procedures initiated during the pre-deployment. Among other things this will require the contractor to: establish and equip office(s) and residences for its staff; procure vehicles; procure and establish communications equipment and information systems; establish its legal and tax status with the host government; set up the latest version of the OTI Activity Database (to be provided by OTI); hire local staff; train all staff and initiate regular activity development, activity implementation and program strategy meetings in close collaboration with OTI personnel; and develop initial work plans with OTI, the USAID Mission, the U.S. Embassy and other prospective counterparts on initial program strategy and implementation. Program activities (including grant making, short-term technical assistance (STTA), training, and direct distribution of goods and services) from the Transition

Activities Pool (TAP) may be required during this phase and, until logistical arrangements are in order, may be managed out of the contractor’s head office or other regional offices.

At the end of the pre-deployment and in-country start-up, OTI and the contractor staff will hold its first in-country Strategic Review Session

(SRS) to review the program strategy and management systems and to make the transition to full implementation.

Phase 2 – Full Implementation Phase

The full implementation phase begins at the end of Phase 1 and continues throughout the life of the program. The contractor will be responsible for managing the implementation of programmatic activities through the Transition

Activities Pool (TAP) as described in Section C.3(c). The on-going management of personnel, finances, operations, and rapid and realistic monitoring and evaluation (M&E) systems needed to manage and implement program activities will be required. Offices outside the capital may also be required at any time after program startup. Under the direction of the TOCOR in coordination with the OTI Country Representative the contractor shall assist with activity design and preparation; award grants under contract; contract Short-term

Technical Assistance (STTA) personnel; implement training programs; procure goods and services for grants and for direct distribution; implement activities according to the agreed upon quantities and qualities; manage the

OTI Activity Database and upload weekly updates to OTI; maintain current information on funds committed and disbursed for program activities under the

TAP; work with OTI to overcome management and administrative challenges identified during implementation; and monitor implementation, evaluate outcomes, report on outputs and outcomes, and close out each activity in a timely manner both to feed lessons learned into program strategy and to release committed, undisbursed funds for use in future activities.

Throughout the life of the program, OTI regularly revisits and updates its strategy to ensure that activities developed are directly related to achieving current U.S. foreign policy objectives and to addressing the

The OTI Country Representative is defined in Section C.2(e).

dynamics of the transition. OTI and its implementing partner(s), with the

USAID mission where applicable, work together to set program priorities, adjust country strategies, and identify potential grantees. Ongoing strategic analysis is undertaken both through regular, OTI-led program performance management processes and through ongoing information gathering and analysis by the contractor, OTI, and other local partners. The contractor will assist the OTI Country Representative to organize and facilitate quarterly rolling assessments and annual (in some cases bi-annual) strategic review sessions.

The CR, with assistance from the contractor, shall document the ongoing updates and revisions to the program strategy resulting from the rolling assessments and strategy review sessions. The contractor is also expected to provide information to the OTI Country Representative, TOCOR, and other OTI staff on the security situation, political dynamics, local community perceptions and needs, status of ongoing activity implementation, and evaluation of completed activities to support OTI’s iterative decision-making process.

Phase 3 – Close-Out Phase (Typically the last three (3) months of a task order)

At least three months prior to the end of the task order

, the contractor shall cease approval of new program activities and will focus on implementing the USAID-approved close-out plan. The specific requirements for the close-out plan will be specified in each task order but will likely include information on disposition of equipment, records, and vehicles, termination of office/residential leases and related services, and job relocation services and training for employees. The plan will be submitted for approval in accordance with the deliverable schedule specified in each task order. The plan should include and/or address:

Country Representative and TOCOR concurrence, and the Task Order

Contracting Officer (TOCO) approval of property disposition plan;

Dates for final delivery of all goods and services for activities;

Review of contract and activity files for audit purposes and final billing to USAID;

A schedule to address office leases, bank accounts, utilities, cell phones, personnel notification, health insurance, outstanding travel, social payments, household shipments, severance, vehicle leases, phone subscriptions;

Receipt of all final grantee invoices, activity performance reports, and any activity outcome evaluations previously agreed-to;

Timely, accurate and complete updates to OTI’s Activity Database throughout the life of the program, on a schedule determined in consultation with OTI;

Completion of all management, financial, documentation, monitoring and evaluation processes within OTI’s Activity Database for all activities;

this system will remain OTI’s primary record of the program, detailed exposition of lessons learned for future reference;

Report of use of funds not required for completion of the contract;

Participation in and assistance to OTI to conduct an independent final evaluation; and

Three months is the standard period for close-out as specified in most task order contracts. OTI may specify additional time for close-out based on the country context and program.

Participation in and contribution to an After Exit Review organized by OTI to collaboratively identify lessons learned from the program.

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

OTI is sometimes the only USAID or US Government presence in countries in transition, including those that are emerging from crises or those where other U.S. Government personnel have been evacuated. In other instances, the

USAID or other U.S. Government capacity to support U.S. Government personnel in rapidly evolving situations may be limited. No costs can be incurred in support of U.S. Government direct hire personnel, although the contractor may make logistical arrangements for them.

If specified in the task order, the contractor may be required to provide support for program-funded, non-direct hire, USAID personnel overseas in support of the program objectives, where contractor provision of the support is consistent with the policies of the local USAID Mission (if present) and the U.S. Embassy Regional Security Office and where it is not feasible for the support to be provided through regular USAID Mission procedures. Under no circumstances will the contractor provide direct cash payments or reimbursements to USAID personnel. The support may include any or all of the following:

Obtain, furnish, equip, operate, protect and maintain office and/or residential space;

Procure, lease, or rent and maintain local transportation with operators;

Procure, rent, or lease and maintain communications and information technology equipment and services (including data communications links, terrestrial radio, and satellite data);

Provide administrative assistance or engage administrative and support staff (secretarial, translation, inventory control), and information technology (e.g., Activity Database and geographic information system) services;

Arrange and pay for travel (including local, in-country and regional airline travel, vehicle rental, hotel accommodations, passports and visas);

Secure and support short-term technical assistance for USAID; and/or

Arrange for training for USAID staff.

The parameters for this support will be specified in each task order. In some cases, USAID may not request it.

C.3(c) Transition Activities Pool (TAP)

With OTI’s technical guidance and concurrence, the contractor is responsible for managing the TAP to execute activities that further program objectives.

Rapid, targeted, politically-relevant activities in countries that are emerging from crisis cannot be planned months in advance. Because OTI supports local partners and provides fast, flexible, short-term assistance targeted at key political transition and stabilization needs, the type of assistance is based on the situation in-country, U.S. foreign policy, the status and direction of the transition, and the ability of local partners to institute change. Therefore, the type of activity will depend largely upon the evolving local dynamics. Examples of activities include: short-term employment and rubble removal (Haiti); vocational training and livelihoods opportunities for ex-combatants and conflict-affected youth (Sri Lanka); a workshop to bring together government and community groups to discuss a new constitution (Libya); using youth drama to discuss sensitive political topics and promote tolerance (Kenya); and assisting government to provide basic services (education, health, tertiary roads rehabilitation) after re-establishing territorial security (Colombia).

Under each task order, resources will be channeled into the TAP to support program objectives by providing funding for the types of illustrative activities highlighted above. Funding will principally be directed to grants under contract. There may be certain circumstances where grants are not the most appropriate vehicle to achieve programmatic objectives. In these instances, one of three other activities may be approved by OTI to be funded from the TAP: (1) program-related short term technical assistance (normally limited to several months of expert services and only when the technical assistance cannot be part of a grant); (2) training (limited to less than a year in-country or in the geographic region); and (3) direct distribution of goods and services in situations where suitable grantees may not be readily identifiable but an urgent procurement action needs to take place. When larger sums of funding or longer periods of time are involved, OTI may choose to use other acquisition or assistance mechanisms. OTI will define the specific breakdown of TAP resources in each task order contract, and some task orders may not contain TAP activities beyond grants under contract.

Contractors will be responsible for designing, implementing, and reporting on the TAP activities under guidance from OTI. OTI will approve each activity, selection of recipients for activities, changes to activities (scope or budgets within existing TO scope and budget), and the evaluation of outcomes and implementation for each activity.

All activities will be designed, approved, and implemented according to the relevant standard USAID procedures. In addition, OTI’s standard procedures will apply. These procedures are described in this SOW and Attachments. All activities shall be approved by USAID (the OTI Country Representative, TOCOR, or TOCO depending on the thresholds) as described in Section C.2(f) and in the Activities Manual. The use of the OTI Activity Database (see section

C.3(f) for more on this) is required for documentation, approval, and reporting on activities from the TAP. All activities are to be implemented within the timeframe authorized by USAID during activity approval. The contractor will: execute the activities according to the qualities and quantities approved in the activity clearance form; monitor the activities for technical and programmatic soundness; and evaluate them against their individual goals and the goal of the program.

In order to ensure a complete understanding of the relationship, the roles and responsibilities, and the processes for activity design and implementation, including grant making, the contractor will be required to submit an Activities Manual for SWIFT IV COR concurrence and for CO approval prior to award of the first task order. This manual should be based on the

FAR, ADS, AIDAR, and the information provided in this Scope of Work (and attachments), as well as on the contractor’s corporate practices. The manual should be updated as necessary during the life of the IQC.

The following sections provide additional information on the four types of activities that may be executed using funds from the TAP. Each Task Order

Statement of Work will indicate which activities are available for that country program.

Grants Under Contract

OTI’s preferred and predominant vehicle for program implementation is Grants

Under Contract. Whereas the grant programs of many donors are accessible only to organizations sophisticated enough to understand the application process, submit appropriate proposals, and meet rigid qualification criteria, OTI seeks to award its grants to new and untested local partners, those that want to "advance peaceful democratic change" and that are willing to focus on issues of higher risk and/or activities not currently being funded by others.

Therefore, OTI and its contractor help groups with good ideas put together quick and effective action plans. OTI approaches a grant as an activity—as an agreement with an organization whereby the contractor will provide the grantee with the resources to implement an activity.

All OTI activities are a means to achieve political transition ends as opposed to an ends in and of themselves (e.g., instrumental assistance vs.

fundamental assistance). The types of grants may vary, but most are designed as a means to achieve positive change in public attitudes, perceptions or behaviors. The prototypical grant involves some or all of the following features: broad and diverse community participation in the grant's design and implementation; grantee contribution to ensure buy-in (e.g. in labor or materials); catalytic nature; near-term, high-impact; a media or information component to amplify the immediate results in a way that may favorably influence public attitudes, perceptions and behaviors beyond direct beneficiaries or participants; tangible visible benefits to positively influence the greatest number of people’s perceptions; and rapid results.

By targeting items to specific activities, goods and/or services rather than providing core budget support, OTI ensures that its assistance is being used for intended purposes. By keeping the grants small — typically between $5,000 and $50,000 (the vast majority of the grants are under $100,000) — OTI limits the level of exposure and risk. During SWIFT III, the average grant size was

$40,000 and lasted 3 to 4 months.

This approach requires rapid immersion in the community by the contractor, whose local staff provides OTI with a group of talented individuals familiar with shifting local dynamics, local politics, and customs which are typically fluid power dynamics. Rather than waiting to be approached for assistance, OTI and contractor personnel are expected to seek out local partners and opportunities to foster change. OTI and the contractor help grantees develop two- to three-page project descriptions. In most cases, funding decisions are made within days, not weeks or months. In addition, OTI affords great flexibility to its Country Representatives, authorizing them to approve certain grants under contract on the spot. In this way, OTI’s contractors award and manage hundreds of grants in each country every year.

The contractor is responsible for the following aspects of a grants under contract program: find suitable grantees for activities that may be identified by OTI, USAID, U.S. Embassy, or the contractor; work with grantees to develop grant concepts that respond to the political transition issues/objectives; solicit grant ideas from potential grantees; seek OTI concurrence for the grant concept before actual grant development; determine a potential grantee's capacity to receive assistance; develop and design grants; use the OTI Activity Database as an integrated activity design, grant writing, monitoring, management, reporting…