SOL-OAA-12-000103-HICDpro.pdf

Date Issued: August 17, 2012

Questions Due: August 27, 2012 - 11:00 A.M.

Pre-proposal Conference: August 30, 2012 - 1:00 to 3:00 P.M.

Closing Date: October 4, 2012 - 11:00 A.M.

All times Eastern Standard Time(EST)

Subject: Request for Proposals (RFP) Number SOL-OAA-12-000103 Human and Institutional Capacity Development (HICDpro) Total Small Business Set-Aside

To All Prospective Offerors:

The United States Agency for International Development (USAID) is seeking proposals to provide services and technical support related to HICDpro in assisting sponsoring units in Bureaus and Missions worldwide to achieve their goals and objectives across all sectors.

This procurement is being conducted through full and open competition for which the procedures described in Part 15 of the Federal Acquisition Regulation (FAR) will apply. Proposals will be accepted from private, for-profit and non-profit organizations, non-governmental organizations (NGOs) including universities, research organizations, professional associations, and relevant special interest associations.

Faith-based and community organizations are also eligible for award. USAID encourages proposals from potential new firms.

USAID anticipates awarding approximately five (5) Indefinite Delivery Indefinite Quantity (IDIQ) contracts, all reserved for small businesses with a five-year period of performance resulting from this solicitation. USAID anticipates the maximum ordering limitation of the contracts resulting from this RFP will be $300,000,000 over the 5-year ordering period. The maximum aggregate dollar value of task orders awarded to all contractors cannot exceed this contract ceiling. This ceiling is not being subdivided among the number of awardees, nor is it being multiplied by the number of awardees. There is no guarantee of the number of task orders that the successful contractors will receive or the amount of money beyond the minimum order guarantee set forth in the RFP. Task orders issued under this IDIQ contract may be either Firm Fixed-Price or Cost-Plus-Fixed-Fee awards (or a combination thereof).

A pre-proposal conference will be held in Washington, DC on August 30th, 2012, from 1:00 PM to 3:00 PM in SA-44 Building, 301 4th Street, SW, Washington, DC, Room No. 840a. Interested parties must send their contact details (name, organization, contact email, date of birth) for all individuals that will attend the pre-proposal conference. This information must be sent to hicdpro2012@usaid.gov by August 24th at 4:00 PM EST. The purpose of the pre-proposal conference is to answer questions and provide clarifications on this RFP. Due to space constraints, only two representatives per organization can be accommodated. Please arrive no later than 12:30 PM in order to facilitate building security entrance requirements. Parking is limited, however the SA-44 Building is easily accessible from either the L’Enfant or Federal Center SW metro stations.

Offerors are strongly encouraged to submit any comments or questions concerning this RFP no later than 11:00 AM EST, August 27, 2012. All questions related to this RFP must be submitted to Mr. John Pittman at hicdpro2012@usaid.gov. Unless otherwise notified by an amendment to the RFP, no questions will be accepted after this date.

An interested vendors list is not included in this solicitation. Offerors can register and use the interested vendors list found at the Federal Business Opportunities (www.fbo.gov) webpage created for this solicitation. The interested vendors list can enable firms to contact one another for consideration of teaming arrangements and or small business subcontracting opportunities arising from this solicitation.

Offerors should take account of the expected delivery time and are responsible to ensure that proposals are received by the due date and time specified above. Proposals must be delivered in accordance with the requirements in Section L of this RFP.

This RFP can be viewed and downloaded from the Internet at (www.fbo.gov) USAID bears no responsibility for data errors resulting from transmission or conversion processes. Further, be aware that amendments to solicitations are occasionally issued and will be posted on the same Internet site from which you downloaded the solicitation. You are therefore advised to regularly check the above Internet site for amendments.

Dissemination of this solicitation is through the internet via (www.fbo.gov). It is the responsibility of the recipient of this solicitation document to ensure that it has been received in its entirety, including subsequent solicitation amendments, if any. USAID bears no responsibility for data errors resulting from transmission or conversion processes.

Issuance of this solicitation and the submittal of a proposal do not constitute a commitment on the part of USAID to make an award; neither does it constitute an obligation for any costs incurred in the preparation and submission of a proposal. Award will be subject to funds availability following the proper completion of required USAID internal processes and other internal USAID approvals.

Sincerely, /s/

Kevin Sampson Contracting Officer

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)

X 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 see L.5(g) calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule.

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

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

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

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

CODE FACILITY

16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER15A. NAME AND

ADDRESS

OF OFFEROR

(Type or print)

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

AREA CODE NUMBER EXT.

15C. CHECK IF REMITTANCE ADDRESS IS DIFFERENT FROM

ABOVE - ENTER SUCH ADDRESS IN SCHEDULE

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

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION: 23. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM (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 BYCODE 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 124

SOL-OAA-12-000103 August 17, 2012

U.S. Agency for International Development Office of Acquisition and Assistance

M/OAA/EGAT RM 566-F SA-44

1300 Pennsylvania Ave, NW Washington DC 20523

See L.6

See Section L.6 and L.7 11:00 A.M. EST October 4, 2012

John Pittman hicdpro2012@usaid.gov

See Attached Table of Contents

X 1

X 2-11

X 12-25

X 26-27

X 28

X 29-41

X 42-45

X 46-62

X 63-73

X 74

X 75-91

X 92-108

X 109-112

X _

Kevin Sampson

Contracting Officer

SOL-OAA-12-000103

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 statement of work specified in Section C. 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 a multiple-award Indefinite Delivery Indefinite Quantity Contract (IDIQ). The Government will issue task orders that are either Cost-Plus-Fixed-Fee (CPFF) (term or completion) or any Firm Fixed-Priced (FFP) type (including milestone payment and economic price adjustment schedule). The Contractor must perform the services set forth in task orders at prices consistent with section B of this contract.

Cost type task orders must indicate if they are completion or term form.

B.3 MAXIMUM CONTRACT CEILING

This is a multiple award Contract with an overall ceiling price of $300,000,000. 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.

B.4 MINIMUM ORDER GUARANTEE

The basic Contract includes an initial obligation of funds in the amount of $25,000 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.5 INDIRECT COST

[Only applicable to CPFF task orders]

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

Prime Contractor Description Rate Base Type Period

TBD TBD 1/ 1/ 1/

TBD TBD 2/ 2/ 2/

TBD TBD 3/ 3/ 3/

1/Base of Application:

Type of Rate:

Period:

Source:

2/Base of Application:

Type of Rate:

Period:

Source:

3/Base of Application:

Type of Rate:

Period:

Source:

Major Subcontractor Description Rate Base Type Period

TBD TBD 1/ 1/ 1/

TBD TBD 2/ 2/ 2/

TBD TBD 3/ 3/ 3/

1/Base of Application:

Type of Rate:

Period:

Source:

2/Base of Application:

Type of Rate:

Period:

Source:

3/Base of Application:

Type of Rate:

Period:

Source:

Note: While Subcontractor indirect cost rates are not incorporated above, subcontractor indirect cost rates may be included in Task Order proposals, and are subject to approval of the TOCO in accordance with FAR 52.244-2, Subcontracts.

B.6 CEILING INDIRECT COST RATES

[Only applicable to CPFF task orders]

(a) Reimbursement for indirect costs shall be at the lower of the negotiated final or predetermined rates, or the following ceiling rates:

Prime Contractor Description Rate Base Type Period

TBD TBD 1/ 1/ 1/

TBD TBD 2/ 2/ 2/

TBD TBD 3/ 3/ 3/

1/Base of Application:

Type of Rate:

Period:

2/Base of Application:

Type of Rate:

Period:

3/Base of Application:

Type of Rate:

Period:

Major Subcontractor Description Rate Base Type Period

TBD TBD 1/ 1/ 1/

TBD TBD 2/ 2/ 2/

TBD TBD 3/ 3/ 3/

1/Base of Application:

Period:

2/Base of Application:

Period:

3/Base of Application:

Type of Rate:

Period:

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

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

(d) The contractor shall make no change in its established method of classifying or allocating indirect costs without the prior written approval of the Contracting Officer and the Office of Acquisition and Assistance, Contract Audit and Support Division.

B.7 CEILINGS ON FIXED FEE - CPFF TASK ORDERS

(a) For each CPFF task order issued under this IDIQ, 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 _____ percent (offeror proposes ceiling percentage) of the task order’s estimated cost, excluding fee. The fee ceiling applies to the prime contractor and any subcontractors.

NOTE: The ceiling on fixed fee does not apply to Firm-Fixed-Price (FFP) Task Orders. This fee shall not be applied to sub-grant costs.

(b) The Total Estimated Cost Plus Fixed Fee for each Task Order must be negotiated in accordance with the terms of this Contract.

(c) Grants under Contracts. For any grants under contract activities awarded under a task order, the TOCO must determine if a Letter of Credit (LOC) is necessary. 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. LOC payments and procedures shall be administered by the TOCO. 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.8 LABOR

[Only applicable to CPFF task orders]

Compensation of personnel under this Contract or any resulting subcontract must be in accordance with AIDAR 752.7007 Personnel Compensation (July 2007), the full text of which is in Section H3.

(a) Central management costs: The Contracting Officer has determined the government will not authorize central management costs under the IDIQ contract. Contractors shall not bill USAID directly for central management costs (e.g., responding to task order proposal requests, central reporting, central meetings with the basic IDIQ contract Contracting Officer’s Representative) under this IDIQ contract or under task orders.

(b) The work day and work week policies and method of accounting for paid absences including holidays for the Contractor and major subcontractors will be set forth in Attachment J.X of the award. (The contractor’s information will be included in the award pursuant to the instructions found in L.9 (i)).

B.9 TASK ORDER LIMITATIONS

Note: Task orders issued under this IDIQ contract may be either Firm Fixed-Price or Cost-Plus- Fixed-Fee awards.

(a) Cost-Plus-Fixed-Fee Task Orders. When issuing CPFF task orders, the TOCO shall 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 Contracting Officer to perform the services, reports, or other deliverables in the Task Order. This maximum amount represents the negotiated mix of the prime Contractors and subcontractors' professional labor categories and salaries, an estimated number of workdays, other direct costs, indirect costs, and fixed fee.

(b) Firm Fixed Price (FFP) Task Orders. When issuing FFP Task Orders, TOCOs shall state in the Task Order the firm-fixed-price, which represents the total amount of the Task Order and the maximum price the contractor may be paid to perform the services, reports, or other deliverables in the Task Order.

(c) 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 $25,000, 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 $25,000 and is awarded a Task Order to do so, the contractor is required to provide said services and reports and deliverables in accordance with the Contract's terms and conditions.

(d) Maximum Order. When USAID requires services or reports and other deliverables covered by this Contract in a Task Order amount of more than $20,000,000, the contractor is not obligated to bid on 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 $20,000,000 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.

(e) 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, 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; or (3) violate the organizational conflict of interest provisions of Section H of this Contract, 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.

B.10 COST REIMBURSABLE

[Only applicable to CPFF task orders]

The U.S. dollar costs allowable shall be limited to reasonable, allocable, and allowable costs determined in accordance with FAR 52.216-7, Allowable Cost and Payment; FAR 52.216-8, Fixed Fee, if applicable; AIDAR 752.7003, Documentation for Payment; OMB Circular A-21, Cost Principles for Educational Institutions and OMB Circular A-122, Cost Principles for Non-profit organizations.

B.11 LABOR CATEGORIES – UNBURDENED CEILING DAILY RATES

[Only applicable to CPFF task orders]

(a) All CPFF task orders must include rates that are equal to or lower than the ceiling daily rates set forth below.

Each Ceiling Daily Rate (CDR) for personnel listed below is “unburdened” and must only include salary costs or consulting rates of the individual providing the services. The CDR for personnel must not include the following payroll costs (fringe benefits, FICA, etc.), indirect costs applicable to labor, or profit/fee.

The CDRs set forth below are fixed for the term of the IDIQ award and are for an eight hour day, and apply to the prime contractor and all subcontractors. If a new subcontractor is proposed for a specific task order on other than a fixed-price basis, the CDRs set forth below will apply, and the subcontract is subject to consent by the TOCO.

Actual salaries for all personnel will be negotiated under task orders and final approval is provided by the TOCO. The ceiling daily rates presented below do not constitute approval of final salary rates above the Contractor Salary Threshold.

(b) The single unburdened ceiling daily rate for each labor category below represents the senior-level rate in each labor category. If mid-level or junior-level personnel are required under task orders, they must be proposed at rates below the unburdened ceiling daily rate.

[Note1: The Unburdened Ceiling Daily Rates apply to any task order(s) that are awarded under this contract.

[Note 2: The Unburdened Ceiling Daily Rates apply to prime contractor, subcontractor, and consultant salaries. For consultants that typically bill using a loaded rate, contractors must propose any charges above direct salary separately.]

[Note 3: The unburdened ceiling daily rates below do not apply to Firm-Fixed-Price (FFP) Task Orders.]

Number Labor Category Unburdened

Ceiling Daily Rate

Subject Matter Expert HICD Specialist Media/Communications Specialist IT/Information Management Specialist Monitoring and Evaluation Specialist Project Administrator Budget Analyst Training Specialist Grant Specialist

(c) Definition of labor categories:

1. Subject Matter Expert Provides subject matter expertise as necessary to suit sector focus of HICD initiative. Subject matter may include accounting, auditing, business planning, community outreach, democracy and governance, economic growth, education, finance, gender, language, law, public policy, health, media and communications, trade and agriculture. Provides industry or sector specific advice to enterprises including industry specific business and action planning, performance measures and indicators, organizational assessments, sector and/or industry assessments, and process and productivity improvement.

2. HICD Specialist Provides expert technical guidance on all aspects of HICD to the HICD implementing partner, Mission and other stakeholders including, performance assessments, performance solutions design and performance monitoring and management system design. Assumes a lead role in various stages of the HICD project/program as directed. Performs consulting activities to assist clients in activities such as building leadership, performing strategic planning, conducting information analysis, developing process improvements, performing facilitation services, conducting surveys and improving an organization s results. .

3. Media/Communications Specialist Provides analysis, advice and/or implementation assistance on public awareness campaigns, public relations, information dissemination, graphic design, advocacy campaigns, and media outreach.

4. Information Technology/Information Management Specialist Provides analysis, advice and/or implementation assistance on design, implementation and evaluation of information systems, with an emphasis on computerized systems of information management. Advises on hardware and software configurations, purchases, maintenance and personnel training requirements.

5. Monitoring and Evaluation Specialist Helps support programs to monitor and evaluate the effectiveness and efficiency of program goals. Provides relevant data to help inform decision making, and provides technical assistance and training in the development and implementation of systems and programs.

6. Project Administrator Provides administrative support to task order manager and other personnel. Provides program management support including but not limited to producing and distributing all project related correspondence; maintaining web sites and databases; scheduling meetings and travel reservations; coordinating study tours, training and other events; coordinating workshop/conference events; assisting in facilitation of workshop/ conferences; and maintaining document libraries.

7. Budget Analyst Ensures that budget analysis and financial reporting requirements are met for the programs.

Assists in project management functions of financial planning, program auditing, budgeting, and reporting.

8. Training Specialist Provides analysis, advice and or implementation assistance on training strategies, delivery and facilitation of training, organizational training capacity, and management of training activities.

Also advises on evaluation of training.

9. Grant Specialist Provides grant oversight and capacity building support for grants issued under USAID task orders. This includes supporting the review of grant awards for responsibility, determination, cost realism, regulatory compliance and risk analysis and mitigation. The Grants Management Specialist will be responsible for grantee compliance for the duration of the program. Provides regular updates on grantee compliance, risks and challenges that may arise and offers solutions accordingly. Maintains and manages records of grant agreements including paper and electronic files, an inventory of all agreements, and a schedule of dates and deadlines relevant to those agreements.

(d) Managerial leadership of task orders:

It is anticipated that either the Subject Matter Expert or HICD Specialist may act in a management capacity on individual task orders.

(e) Minimum qualifications:

In order to perform the statement of work set forth in Section C, the Contractor shall provide personnel that meet the minimum education and experience requirements set forth below. These minimum qualifications for Senior personnel correspond to the Unburdened Ceiling Daily Rates above.

Level Academic

Degree* Plus Approximate Years of Relevant** Work Experience

Including Years of Experience in Int'l Development

Relevant Regional Experience

Relevant Language Fluency

Senior Ph.D.

JD/ABD

MS/MA/MB

A BS/BA

Less than Bachelor's

As specified in Task Order

As specified in Task Order

As specified in Task Order

*Highest degree obtained should be related to work being performed.

**Relevant Work Experience is required for the levels indicated.

(f) HICD Qualifications

Task orders may require certain personnel to hold CPT certification through the International Society for Performance Improvement or HPI certification through the American Society for Training & Development per instructions in Task Order Solicitations. The contractor will be required to submit evidence of certification as an attachment to the contractor’s Technical Proposal in accordance with task order instructions.

(g) Locally Hired National Personnel or Other Non-U.S. Expatriates

All locally hired national personnel and other non-U.S. expatriates must be paid in accordance with AIDAR 722.170(a): Third Country Nationals (TCNs) and Cooperating Country Nationals (CCNs) who are working in the United States or are legal residents of the United States at the time they are hired for a task order, must be extended benefits and subject to restrictions on the same basis as U.S. citizens who work in the United States. The U.S. CDRs will be applied to TCNs and CCNs conforming to this regulatory provision.

Salaries for individual locally-hired personnel and other non-U.S. expatriates under this contract or any resulting subcontract must be in accordance with AIDAR 752.7007, Personnel Compensations (July 2007) and should be based upon a combination of factors including prevailing in-country salaries for the professional category being negotiated and consideration of the individual's education, work experience and recent relevant salary history.

[END OF SECTION B]

SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK

C.1. OVERVIEW

Human and Institutional Capacity Development

Human and Institutional Capacity Development is a USAID model of structured and integrated processes designed to identify root causes of performance gaps in host country partner institutions. HICD addresses those gaps through a wide array of performance solutions in the context of all human performance factors, and enable cyclical processes of performance improvement through the establishment of performance monitoring and management systems.

In order to achieve sustainability in its programs, USAID must increasingly focus its development assistance efforts on strengthening the abilities of its host country partner organizations and the systems in which they work.

C.2. BACKGROUND

USAID’s Agency-wide HICD Policy, released on February 15, 2009 and reflected in ADS 201, requires that HICD be appropriately factored into the design of new projects and activities.

Regional and pillar Bureaus must address the integration of HICD when approving USAID-specific regional, country, or sector strategic plans. Over the last several years, The USAID Bureau for Economic Growth, Education, and Environment (E3) has focused its efforts in supporting the integration of targeted, results-oriented HICD services into its Missions’ portfolios across all regions and sectors. Through region-wide and Mission-specific task orders, the E3 Bureau has offered HICD services to USAID Missions and Bureaus to provide them with access to experts who currently have or are in the process of earning Certified Performance Technologist designation from the International Society for Performance Improvement and/or Human Performance Improvement certification from American Society for Training and Development, supporting improved performance in host country partner institutions whose goals and objectives are in direct alignment with USAID goals and objectives.

HICD initiatives can be an important component of USAID’s overall effort to strengthen overall partner country capacity, increase use of reliable partner country systems and institutions, and strengthen local civil society and private sector capacity to improve aid effectiveness and sustainability. The increased use of host country systems is contingent upon strong, accountable, and reliable host country institutions. HICD supports the ability of government, civil society, and private sector organizations to utilize, maintain, and build upon new technologies, knowledge, and skills brought upon by USAID or other development donors.

C.3. OBJECTIVE

The USAID E3 Bureau seeks assistance to provide services and technical support related to HICD to help sponsoring units in Bureaus and Missions worldwide.

The E3 Bureau supports HICD activities offered under this IDIQ by providing an infrastructure for implementation, including: a package of tools to aid performance solution design, implementation, research, evaluation, and success/impact reporting; and by providing ongoing technical support to sponsoring units.

Under task orders, contractors may also be required to coordinate services available under USAID/E3’s FORECAST II – Participant Training (PT) contracts. FORECAST II is a centrally managed mechanism designed to provide USAID missions with support on Participant Training and Capacity Building programs. As the HICD methodology may involve Participant Training in any given HICD initiative’s performance solution design, it is advantageous to be familiar with FORECAST II as well as ADS 252 and 253.

The prime components of USAID’s experience-based HICD model are detailed in the “Human and Institutional Capacity Development Handbook” (http://pdf.usaid.gov/pdf_docs/PNADW783.pdf ) . All services and performance solutions under the HICDpro IDIQ must be carried-out in accordance with the terms and conditions set forth in this handbook, as periodically updated, Automated Directives Systems Chapters 252 and 253, the USAID HICD Policy as a mandatory reference to ADS 201, and other ADS chapters, incorporated by reference.

To allow for the HICD process and its components to accommodate new, forward-looking approaches, the HICD handbook will be updated periodically. The incorporation of new and evolving approaches into the HICD handbook will allow USAID to meet new performance challenges in the ever complex and evolving environments of its host country partner organizations. Approaches under Agency consideration include institutional context checks as part of the organization selection process, criteria for graduation from USAID HICD assistance, umbrella HICD project models addressing multi-organizational functions, principles of change management, and enhanced application of performance monitoring systems to meet both partner organization and USAID reporting and management needs.

C.4. STATEMENT OF WORK AND PERFORMANCE REQUIREMENTS AND

STANDARDS

The contractor shall provide HICD expertise in any country where a task order to which they respond is initiated. The contractor may be requested to set up an in-country office to provide these services with local staff managed by a host country national or an expatriate, utilizing indigenous organizations or other organizations, as deemed appropriate by the sponsoring unit .

The contractor may also be requested to provide services and interventions without an in-country office. The contractor shall augment its staff with consultants and other experts, partnering with other organizations as necessary, to fulfill the requirements of the task order.

RESULT 1 – BUILDING LOCAL HICD CAPABILITY

Recent approaches to HICD implementation have relied heavily on external consultants throughout the process, with limited residual HICD know-how institutionalized within the partner organization at the conclusion of the HICD initiative. There are two important observations relevant to USAID’s experience. First, it has proven to be a challenge to identify and maintain a viable pool of CPT-designated and/or HPI-certified experts willing to engage in

USAID HICD projects. Secondly, many successful examples of Human Performance Technology/Human Performance Improvement in the for-profit sector include in-house CPT-designated and/or HPI-certified staff coordinating, monitoring, performing analyses, and developing performance solutions with minimal external consultation. Strong institutional capacity is paramount to the achievement of USAID legacy objectives. Therefore, the contractor shall undertake activities aimed at developing local CPT-designated and/or HPI-certified experts within current and former partner institutions and local service providers. The contractor shall:

Transfer HICD know-how to key performers and other relevant staff within host country partner organizations.

Sub-contract to local organizations when carrying out performance assessments to the maximum extent possible, given available expertise.

Work with local capacity development providers in order to build their capabilities to carry out future HICD activities.

Requirement 1.1 – Developing CPT-designated and/or HPI-certified Expertise in Partner Organization Staff

Sustainable institutional capacity building requires a continuous cyclical process of performance improvement. Ultimately, HICD initiatives will be successful over the long-term if the partner organizations can integrate HICD approaches into their operations and institutional culture. Host country national and local government agencies must eventually be completely capable of independently carrying out principal activities of the HICD model. This is a fundamental goal of HICDpro. The contractor may be tasked with transferring HICD know-how to key performers and other relevant staff within host country partner organizations to serve as their organization’s resident HICD coordinator to carry out HPI/HPT through continuous cycles of measured performance improvement.

For example, the contractor may provide transfer of HICD know-how through various means, including coaching, mentoring, and other technical forums.

Requirement 1.2 – Supporting Local Capacity Development Service Providers and Organizations

It is expected that local and regional organizations will gradually take a leading role and be increasingly capable of implementing HICD programs independently, without assistance from international consultants. The contractor will have the dual role of strengthening targeted host country partner organizations while increasing the capacity of local service providers to implement HICD activities themselves.

The contractor must work closely with local organizations that provide capacity development services while carrying out key components of the HICD model. Therefore, the contractor shall sub-contract to local organizations when carrying out performance assessments to the maximum extent possible, given available expertise. Any outsourced performance solutions will also be carried out by local or regional organizations to the maximum extent possible. The contractor may be tasked with working with local capacity development providers in order to build their capabilities to carry out future HICD work.

RESULT 2 – PROVIDING USAID-FUNDED HICD SERVICES

HICD promotes greater sustainability and effectiveness of all USAID assistance by systematically identifying the most appropriate partner organizations, those with the potential to affect change and whose goals are in direct alignment with USAID objectives. Teambuilding principles and tools are then applied to foster interest, buy-in, and ownership in the process within the organization and other relevant stakeholders. A performance assessment, based on a Human Performance Technology/Human Performance Improvement approach, is conducted examining environmental, organizational, and individual factors affecting the ability of the institution to meet its strategic goals. The performance assessment highlights the fundamental causes of performance gaps between desired and actual institutional behaviors. These root causes are viewed in the framework of the factors affecting human performance including:

information; resources; incentives; knowledge/skills; capacity; and motives. Using this framework, targeted and appropriate performance solutions are then selected to address the identified gaps. A performance monitoring system is established and used to enable the organization to regularly self-monitor performance in critical areas that are leading indicators of the organization’s overall performance success. The institution will thereby be able to monitor its own progress in addressing the performance gaps identified in the performance assessment.

Key components of the HICD process form a cyclical process of continuous performance improvement for the organization.

The services available under this IDIQ are inter-related and are designed to be undertaken as a package of technical services. The contractor shall:

Provide ongoing expert consultation services related to the Mission’s overall HICD effort across its portfolio.

Establish criteria to identify host country partner organizations that may benefit from an HICD initiative and systematically identify the most appropriate partner organizations for HICD initiatives by incorporating an institutional context check into the partner organization selection process.

Assist Missions and targeted institutions in developing Memorandums of Understanding between USAID and these institutions, as well as with any logistical arrangements related to the signings.

Partner with host country organizations, as well as extended Development Objective (DO) teams, Activity / Project Managers, and other stakeholders across a Mission portfolio, providing assistance in coordinating and supporting stakeholder groups in the implementation of HICD initiatives.

Provide technical assistance that is aimed at fostering an enabling environment at national, local, and/or community levels for institutions that have been selected for HICD initiatives.

Develop the collective capacity of multiple organizations in order to enhance their potential to work together in areas of mutual interest.

Conduct performance assessments addressing the full range of assessment concerns, including organizational performance and workgroup performance.

Analyze performance information to identify key performance gaps that need to be addressed to improve organizational performance along with recommendations for possible performance solutions in the context of factors affecting human performance.

Develop performance solutions packages for HICD initiatives to address the fundamental causes of performance gaps identified in performance assessments.

Provide the performance solutions contained in the performance solutions package including expert sector-specific consultations, coaching, research studies, technical forums (seminars, workshops, etc.), commodities, small grants (up to $100,000), and any other technical assistance.

Assist host country partner organizations with institutionalizing a performance monitoring and management system.

Requirement 2.1 – Providing Ongoing Expert Consultation

The contractor may be tasked with providing ongoing expert consultation services related to the Mission’s overall HICD effort across its portfolio. Expertise may be provided by CPT-designated and/or HPI-certified staff or CPT-designated and/or HPI-certified consultants.

For example, an HICD expert may be hired for ongoing assignments to work with Mission staff or serve, as needed, as an advisor to organizations and Ministries. Similarly, an HICD expert may be hired by a Bureau to assist with HICD or related tasks.

Requirement 2.2 – Planning and Coordinating HICD Efforts

The contractor must be capable of assisting Missions or Bureaus in planning and coordinating their overall HICD efforts.

Partnering with Host Country Organizations: The contractor shall support Missions in establishing criteria to identify host country partner organizations that may benefit from an HICD initiative.

The contractor shall systematically identify the most appropriate partner organizations for HICD initiatives by incorporating an institutional context check into the partner organization selection process. The contractor shall ensure that host country partner organizations meet selection criteria and have a mandate that is in direct alignment with USAID development objectives.

Further information on this can be found in the “Human and Institutional Capacity Development (HICD) Handbook.”

The contractor shall work closely with the TOCORs to gauge potential host country partner organizations’ interest in, and suitability for, the HICD approach. The contractor shall assist Missions and targeted institutions in developing initial Memorandums of Understanding (MOU) between USAID and these institutions, as well as with any logistical arrangements.

Additionally, there are many cases in which enhancing the collective capacity of multiple organizations is vital to achievement of development objectives. The contractor may also be tasked with organizing umbrella-type HICD initiatives that target these organizations, which may be linked by their mutual interests, connections within a sector, or other functional objectives.

The contractor may be tasked with facilitating related partnerships, coalitions, and stakeholder groups that involve multiple organizations, as appropriate.

Partnering with Extended Development Objective Teams and Stakeholders: In the course of the HICD process, members of extended development objective (DO) teams, including USAID staff, technical assistance contractors, grantees, and recipients, and the HICDpro contractors, address how specific Mission objectives can most effectively be supported. One of the most critical steps in this process is for the extended DO team to work with each identified USAID partner organization to ensure consensus on the organizational development needs and focus of USAID assistance, and to develop fully functioning stakeholder groups. The contractor may be tasked with coordinating the establishment of stakeholders groups that include a diverse collection of individuals and organizations that play an important role in the functioning of organizations targeted through HICD initiatives.

The contractor must be capable of successfully partnering with all extended DO teams, Activity / Project Managers, and stakeholders across a Mission portfolio while providing assistance in coordinating and supporting stakeholder groups in the implementation of HICD initiatives. The contractor may be tasked with coordinating subsequent activities and monitoring satisfactory completion of all facets of stakeholder agreements and overall HICD initiatives.

In addition, when an institutional performance assessment includes recommended performance solutions that would be implemented by one of the FORECAST II – Participant Training (PT) implementers, or any other technical assistance implementers available to the sponsoring unit, the contractor shall provide coordination allowing for the integration of these solutions and their results into the overall HICD initiative.

Requirement 2.3 – Fostering an Enabling Environment for Capacity Development

The existence of an enabling environment is a critical factor in achieving optimal individual and organizational performance. Barriers cutting broadly across host country political, social, and economic spectrums can lead to a weakened enabling environment that undermines capacity development. The creation of an enabling environment requires committed individuals willing to invest political, social, or economic capital to reform dysfunctional systems and shape a shared vision of the future. Strong partnership, stakeholder participation, effective leadership, accountability, and incentives that are conducive to positive change can help foster successful capacity development efforts. In the absence of or to supplement other mission technical assistance efforts, the contractor may be tasked with providing technical assistance that is aimed at fostering an enabling environment at national, local, and/or community levels for institutions that have been selected for HICD initiatives.

Where appropriate, the contractor shall work to develop the collective capacity of multiple organizations in order to enhance their potential to work together in areas of mutual interest. The contractor may be tasked with facilitating dialogue and constructive engagement amongst different groups, in order to develop a commitment to capacity development in a network of organizations and actors that are vital to achieving development objectives.

Requirement 2.4 – Conducting Performance Assessments

USAID assistance is planned, developed, and implemented within the context of targeted USAID partner organizations. Accordingly, it is often appropriate and necessary to conduct a performance assessment as an integral component of USAID assistance design. Each performance assessment, based on a Human Performance Technology/Human Performance Improvement (HPT/HPI) approach, addresses the specific and unique context of a given USAID partner organization. In order to achieve maximum buy-in and partnership with host country partner organizations throughout an entire HICD initiative, performance assessments should be participatory, fully engaging the staff.

Performance assessments are concerned with performance at the organizational, work unit, and individual performer levels. Specifically, performance assessments are aimed at addressing the following environmental and individual performance factors: information; resources; incentives;

knowledge/skills; capacity; and motives. Performance assessments undertaken by the contractor should include straightforward application of the core HPT/HPI methods incorporated in the “Human and Institutional Capacity Development (HICD) Handbook.” Other methodologies and studies may be used by the contractor to supplement or inform, but not replace, these core methods of the Agency’s HICD model. Sector-specific assessments should be used to enrich performance assessments, as should analyses of gender and other inequality issues. The contractor, using CPT-designated and/or HPI-certified in-house staff or CPT-designated and/or HPI-certified outsourced consultants, shall conduct performance assessments.

Ideally, the performance assessment teams would minimally consist of:

CPT-designated or HPI-certified team leader: Provides performance improvement expertise and overall coordination; host country national if available.

Sector-specific expert: Provides the context for the sector in which the organization operates; preferably a host country national.

Host country partner organization key staff person: Provides partner organization with key input into HICD process and decision-making; helps ensure continued buy-in.

Contractor key personnel: Provides continuity of implementation for the overall HICD project.

It is the coupling of performance improvement expertise and sector-specific expertise related to the outputs of the partner organization that makes HICD dynamic and cross-cutting. A strong, well-rounded performance assessment team should provide a holistic view of organizational performance, allowing for targeted performance solutions and enabling HICD principles to sustainably transfer to the partner organization.

Performance assessments address a full range of assessment concerns, including the following:

Organizational Performance: Assessing organizational performance involves an examination of systems and infrastructure as they relate to overall organizational performance, and helps to ensure sufficient absorptive capacity for new technologies or skill sets. Individuals or workgroups can only perform as well as the organizational systems that support them.

An organizational assessment may include collection of information about the following:

Institutional vision, mission, values, goals, and strategies;

Management structure;

Financial viability;

Financial and resource management…