USAID Iraq contract document: RTISec C

SECTION C EDG-C-00-03-00010-00 SECTION C - DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK Iraq Local Institutions Support and Development Program SCOPE of WORK' 1. PURPOSE The purpose of this scope of work is to procure and provide technical and other assistance to strengthen local 1. In collaboration with other US Government and, where appropriate and possible, international agencies, develop a body of knowledge that is essential to effective program implementation. This would include but not be limited to important local histories, ethnic, racial or religious patterns of migration, potential 'fault lines' for violence and/or conflict, appropriate and legitimate leadership, and status of local governance (number of employees, salaries, capacities, deliverables, accountability, transparency, etc). 2. Setting the stage for successful local governance by working with the appropriate international and domestic authorities to collectively identify the most appropriate "legitimate" and functional leaders with whom to liaise in development efforts. 3. Ongoing assessment and proritization of the needs of sub-national govemments, institutions, and civil society organizations across the geographical area of responsibility, even as execution of the higher priority needs are addressed via direct engagement, use of community-based implementation councils (CICs), quick impact programs, or other appropriate mechanisms. 4. Reinforcing stability by strengthening local administrations' ability to effectively and efficiently deliver essential daily services and manage resources, services, and staff, while simultaneously increasing citizen participation in local governance processes. 5. Strengthening the abilities of individuals and civil society organizations to participate in local processes, with emphasis on enhancing the roles of women, youth, and previously excluded groups. The activity supports USAID Mission programs. 2. BACKGROUND Iraq's highly centralized administration has resulted in a disempowered citizenry and limited to nonexistent ' Due to the sensitive nature of the programming and the need to receive classified information in order to meet program objectives, the Contractor must hold a facilities clearance at a Secret level or above. Additional sensitive information will be provided, to qualified prospective bidders during pre-award bidding. C-1 EDG-C-00-03-00010-00 SECTION C There is much recent analysis suggesting that the lack of good governance, rather than the lack of resources, is the deepest root cause of the failure of governments to deliver basic services and of the failure to deliver development more broadly. Service delivery as well as broader economic growth programs will have limited success if governance issues are not addressed. According to the United Nations Development Program's Human Development Report for 2002: "Governance for human development is partly about having efficient institutions and rules that promote development by making markets work and ensuring that public services live up to their name. It is also about protecting human rights, promoting wider participation in the institutions and rules that affect people's lives and achieving more equitable economic and social outcomes." 3. STATEMENT OF WORK Work will be undertaken in a highly flund environment. Activities will follow closely on military action, implementing in areas as they become permissive. The contractor will need to work closely with civilian administrators, local leaders, representatives of the international military force(s) and others in facilitating the delivery of essential services to the populace. The Contractor shall maintain co-operative relationships and appropriate coordination with other USAID contractors working concurrently on activities in a broad range of activities, as well as with other US government agencies and a number of NGOs and IOs providing relief and reconstruction assistance. Through these relationships and coordination activities, the contractor will ensure that significant sub-national governments are fully informed of proposed and ongoing relief and reconstruction efforts supported by USAID and others. The contractor will facilitate the participation of sub- national administrations in project decision-making. The contractor will collaborate closely with USAID/OTI, including on the development, distribution, and analyses of relevant polling mechanisms and data, as they support the program's goals vis-à-vis local governance and civic institutions. In all program interventions, the Contractor shall target under represented or at risk groups, including promoting women's rights, addressing the needs of internally displaced persons, and facilitating the participation of youth and minority groups in political processes. Likewise, in all program interventions, the Contractor will cooperate with other agencies and security personnel as appropriate, to identify, report and intervene in situations that exacerbate the risk to individuals or populations. Deployment into Iraq will not occur until a permissive environment is available, however the contractor will be expected to be prepared to pre-deploy to a site in the region within two weeks of contract award. The Contractor will be responsible for providing communications equipment compatible with USG frequencies, vehicles for staff equipped with GPS transmitters, and full support for in-country staff. The Contractor shall calculate estimated monthly fuel requirements for program implementation for up to one year and submit with the first quarterly work-plan. This statement of work calls for teams comprised of both indigenous and international staff to work in and with local governments and citizens in each of the 18 governorates to achieve the stated goals and functional tasks. These teams shall be individuals with the requisite knowledge, skills, and abilities to assist local governments and citizens as they work to build local capacities. The precise number of individuals on each team, as well as the skill sets of each team, will be determined as a result of the assessments done as a part of this scope of work, and will reflect the particular needs of individual communities. It is assumed that, in order to achieve many of the objectives required in this scope, the Contractor will work closely with persons that may represent ministries or agencies of the former regime. The contractor shall work closely with another USG Contractor in charge of providing direct compensation to former public servants to identify an appropriate payroll, including individuals and salary level, for such professionals at the local level The Contractor shall provide services in the following functional areas: 1. Activity Research, Analysis, Design, Monitoring and Evaluation = C-2 EDG-C-00-03-00010-00 SECTION C 2. Building the Capacities of Sub-national Administrations 3. Building the Capacities of Civic Institutions to Participate in Political Processes; including being prepared, if directed, to provide Support for Sub-national Elections 4 Provision/Administration of Rapid Response Grants and Technical Assistance These functional areas are described more fully below. The Contractor will be required to demonstrate expenence and personnel capabilities in these functional areas. 3.1 Functional Area 1: Activity Research, Analysis, Design, Monitoring and Evaluation Under this functional area, the Contractor shall conduct rapid research and needs assessments, provide analysis of the data collected, and design projects that reflect this preparatory work in targeted areas, particularly at the municipal/town level, as they become permissive. It is noted that this work may occur simultaneously with execution of other work and should be completed in any event, as soon as is possible. The Contractor shall: • Research and assess the history and current structure of Iraqi governments; including but not limited to gender-based, ethnic, racial, or religious patterns of control; potential fault lines for violence and conflict in local areas; current local leaders and govemance structures; and local government financing. • Collaborate with appropriate agencies who will identify individuals or groups who represent the most appropriate, "legitimate" and functional local leadership with which to liaise. • Prepare strategies for promoting democratic administrations and processes in that particular area, including identifying programs that will provide protection, equity, and demonstrate cultural sensitivity for at-risk populations, particularly women. • Help to determine appropriate payroll lists and salary levels of local administrative bodies. • Recommend options for the devolution of authority to the local level, including appropriate legal, fiscal, and regulatory frameworks. • Undertake rapid and on-going appraisals for the purpose of program monitoring, evaluation and adjustment. • Identify, prepare, and disseminate best practices in local governance. It is anticipated that such assessments and assistance to local administrations will be phased, as areas become permissive. Such rapid research and assessments should be provided to USAID within three weeks of entering a permissive environment. The Contractor shall complete a workplan, detailing priority program interventions from the functional areas below for the first three months of programming and submit to USAID within three weeks of entering a permissive area. USAID will respond to the workplan within five working days. It is assumed that the workplan will propose programming in a particular and permissive geographical area of responsibility, noting priority towns and municipalities for program interventions. 3.2 Functional Area 2: Building the Capacities of Local Administrations Under this functional area, assistance shall strengthen the capacities of local administrations to meet their core functions of service delivery, budgeting, planning, administration, and citizen outreach across the range of sub-national government functions. Particular attention shall be given to the capacities for providing services to women and at-risk populations. The Contractor shall: • Deploy teams of international and indigenous personnel in an appropriate manner and at the earliest opportunity to the local community, in order to build rapport with appropriate coaltion authonties and to begin the tasks associated with building capacities within the local administration. • Work with local administrators and community members to identify and priontize C-3 EDG-C-00-03-00010-00 SECTION C reconstruction projects and to build local administrators' capacities to manage relief and reconstruction assistance and specific services, such as potable water, education, health, public sanitation, and sub- national economic development. Provide equipment and materials to support improved sub-national administrative capacities. • Build sub-national administrative capacities to conduct participatory development planning; develop performance-oriented, transparent and accountable budgets; and undertake local economic development. • Build sub-national administrative capacity to effectively interact with other levels of government and strengthen local authorities' capacity to engage in discussions on appropriate devolution of responsibility to local levels of government. • If instructed, design, establish and support interim representative bodies that are culturally acceptable, transparent and accountable. 3.3 Functional Area 3: Building the Capacities of Civic Institutions to Participate in Political Processes Under this functional area, assistance shall strengthen the capacities of a range of civil society institutions, as requested. Activities shall be closely coordinated with other USG agencies and/or international bodies, facilitated by USAID. The Contractor shall: • Deploy teams of international and indigenous personnel in an appropriate manner and at the earliest opportumity to the local community, in order to build rapport and begin the tasks associated with building capacities within the local community or communities. • Develop mechanisins within representative bodies that mitigate conflict and facilitate peaceful dispute resolution. • Train traditional authonties and civil society leaders concerning fundamental processes of transparent and accountable democratic governance. • Strengthen the capacities of civil society organizations to facilitate citizens' participation in political processes, to advocate on behalf of preferred local policies and to partner with sub-national administrations in delivering services. • Support public information initiatives if and as directed on a case-by-case basis. The Contractor shall be prepared to provide the assistance below but will only do so after a specific request by USAID: • Increase the legitimacy of government bodies through improved sub-national electoral systems. • Provide assistance with respect to the development of a census, subsequent voters' registers (both provisional and final) and other vital statistics. • Assist electoral agencies in developing legal frameworks for elections, with emphasis on consultative processes that encourage broad input into frameworks. • Assist electoral authorities in developing the administrative and security capacity to implement sub- national elections in a free, fair, and transparent manner, including provision of equipment and supplies. • Seek to ensure that all potential election contestants understand and accept the electoral process. • Train and provide technical assistance and equipment and materials to improve voter education. • Train and provide technical assistance and equipment and materials to improve election administration. • Support domestic election monitoring mechanisms. Assist in developing and implementing mechanisms for resolution of electoral disputes. 3.4 Functional Area 4: Provision/Administration of Rapid Response Grants To respond to unforeseen emergency circumstances and ensure that priorities related to local development are being adequately addressed, the Contractor may need to make rapid response grants in-country. Grants to U.S NGOs are limited to $100,000 each while grants to non-U.S. NGOs may be up to $250,000 per grant Priorities may include improving municipal infrastructure, assisting local non-governmental organizations (and in rare, specific circumstances - as directed - local governmental bodies) with capacity building, C-4 EDG-C-00-03-00010-00 SECTION C training in policy analysis, democratic advocacy, communication and leadership skills, strategic planning, management, conflict resolution, and upgrading financial systems and internal governance structures. The Contractor will be responsible for negotiating, awarding, and monitoring the grants. In accordance with USAID ADS 302.5.6, the USAID mission shall be involved in establishing selection critera for the grants and approving the actual grant recipients. USAID prefers to the extent practicable that the Simplified Grant and Fixed Obligation Grant Formats descrbed in ADS 303.5.15. The Simplified Grant and Fixed Obligation Grant Formats may be used for U.S. recipients for grants not in excess of $25,000 and for non-U.S. recipients for grants not in excess of $250,000. The threshold for U.S. recipients is limited by the requirement to obtain OMB's approval of a class deviation applicable to grants in excess of this amount. A one-time deviation may be requested for grants in excess of these amounts following the procedures in ADS 303.5.2. 4. LOGISTICS The Contractor may be required to provide significant levels of communications assistance, including translation and interpretation and printing and dissemination of publications. The Contractor may be required to provide significant levels of support to plan, organize, and manage conferences and workshops; to develop and disseminate materials for conferences and/or training (in a variety of languages), and to manage all logistics and contracting related to such conferences, training, and workshops. The Contractor local transport, and similar logistics that support work to conduct regional or local assessments and analyses. See Section H.5 5. DELIVERABLES The Contractor shall be responsible for the following deliverables in addressing the functional areas above: The Contractor shall be prepared to immediately deploy teams to the region, as instructed by USAID, and to further deploy into Iraq as directed and when a permissive environment has been Upon amval to the field, the Contractor shall establish coordination with appropriate military commands and other agencies to move forward rehef and reconstruction assistance where security considerations permit. As soon as is possible, but not later than three weeks after arrival in permissive areas, the Contractor shall have prepared a report documenting their assessment of local governance and civil society issues in those geographical areas where security concerns have or will soon allow for engagement. This document will be continually updated as collaboration and field-work commence and the geographical scope of this document will presage the geographical engagement of the Contractor in the field. The assessment shall inform a quarterly workplan, which will be provided within three weeks after entering a permissive area USAID shall respond to the submitted workplan within five days. . Within a month of in-country arrival, the Contractor shall identify appropriate functional, and "legitimate" Iraqi leadership with which to partner on relief and reconstruction programs in permissive areas. Within a month of in-country arrival, the Contractor shall coordinate with local authorities for the delivery of a range of education, health, power, small infrastructure, food distribution, and other reconstruction assistance and coordinate such assistance in permissive areas. General details of this coordination will be included in reports to USAID, as agreed between the contractor and the CTO. Within 90 days of arrival in permissive areas, the Contractor shall prepare a report which provides a framework, based on collaborative development, for decentralization of authonty to local governance structures and shall update the framework with each quarterly workplan submission and -==- C-5 EDG-C-00-03-00010-00 SECTION C as ongoing research is undertaken The decentralization framework shall articulate political and administrative functions as well as intergovernmental finance recommendations, as appropriate. 6. PERSONNEL It is anticipated that to carry out the activities described herein, the Contractor will engage and retain appropriate technical and support personnel including both long-term technical advisors and short-term consultants. It is also anticipated that significant amounts of international travel and in-country presence will be required. The contractor shall designate a Home Office Senor Project Manager. The contractor shall also designate a Chief of Party to provide overall technical, administrative and logistical management in-country or on-site. These management responsibilities will include, as appropriate, close coordination on technical, administrative, and logistical issues with USAID staff, USAID-supported programs and partners, and other U.S. Government military and civilian officials. The contractor shall also designate technical and administrative support staff. Technical staff positions will be based upon the functional labor categories described below. The administrative staff will assist and support the dally operations of the program. 6.1 Key Personnel Chief of Party 5 Senior Advisors for Public Administration and Finance, Civil Society, Decentralization & Capacity Development Home Office Senior Project Manager The Chief of Party is expected to manage all program implementation in meeting the objectives of under the contract. The COP will serve as the primary liaison with USAID, other USG agencies and representatives, and other donors. The COP must have at least 10 years experience in the Middle East, demonstrated managenal, administrative, reporting, and representational skills; and 10 years experience in development assistance. English fluency and Arabic proficiency are required. 6.2 Functional Labor Categories 1. Local Governance/Decentralization Specialist 2. Public Administration/Public Management/Relief Services Specialist 3. Program Development/Implementation/Monitoring/Reporting Specialist 4. Attorney/Rule of Law/Legislative Specialist 5. Civil Society/Training/Civic Education Specialist 6. Elections/Political Processes/Communications/Civil Society Specialist • 7. Public Finance Economist/Public Finance Management Specialist 8. Administrative Support/Grant Administration 6.3 Minimum Qualifications for Functional Labor Categories Degrees and experience proposed must be relevant to the functional labor category for which they are proposed and to the Statement of Work. The following are the minimum qualifications for Senior and Mid- Level functional labor specialists: (1) Senior Level -Ph.D, J.D. or equivalent plus 3 year experience, or -Masters plus 7 years experience, or -Bachelors plus 9 years experience, or -11 years experience -=- C-6 EDG-C-00-03-00010-00 SECTION C (2) Mid-Level -Ph.D, J.D. or equivalent plus 1 year experience, or -Masters plus 5 ycars experience, or -Bachelors plus 7 years experience, or -9 years experence 6.4 Illustrative Subject Areas within Functional Labor Categories Illustrative subject areas for which expertise may be required within the functional labor categories include, but are not limited to, the following: Decentralization and Sub-national Government Development, Public Adminustration and Management, Municipal/City Councils, Constitutional and Legal Government Structures and Law, Municipal/All Sub- national Government, Public Finance Economics, Public Financial Management and Accounting, Government Administration/Comparative Administration, Public Service Personnel Management, Deliberative Bodies, Media, Communications, Political Science, Political Economy, Institutional Economics, Institutional Analysis and Design, Decentralization, Administrative/ Political Transparency and Accountability, Regulatory Proceedings, Government Public Affairs, Public Policy Mediation/Negotiation, Participatory Process, Training, Training Needs Diagnosis, Training Program Design, Training of Trainers, Management of Non-Governmental Organizations, NGO Policy Advocacy, Establishment/Strengthening of Public Sector Professional Associations, Application of Information and Communication Technologies in the Public Sector and Media-Based Enhancements of Transparency. 7. GRANTS ADMINISTRATION/MANAGEMENT Funds may be made available for the award of grants, within the scope of this contract. The contractor shall negotiate, award and administer sub-agreements. Funds for sub-grantees will be provided on a pass-through basis, and profit/fee will not be applied to such funds. Accordingly: A. USAID will have substantial involvement in establishing the selection criteria and in selecting the grant recipients, including, at a minimum, USAID approval of the selection of grantees prior to award; B. USAID will retain the ability to terminate the grant activities unilaterally in extraordinary circumstances; C. Relevant requirements which apply to USAID-executed grants will also apply to grants signed by the contractor in this small grants program; the contractor shall have the responsibility to determine that applicable requirements are included in each grant; and D. The contractor shall award such grants to non-U.S., non-governmental grantees, and in some circumstances, governmental, in an amount not to exceed $250,000 per grant and U.S. non- governmental grantees in an amount not to exceed $100,000 per grant. = C-7 EDG-C-00-03-00010-00 SECTION C 8. REPORTING REQUIREMENTS In addition to providing the services and reports described in Section 5, the Contractor shall also submit the following reports and other deliverables: Weekly Consultations: A continuing requirement of this contract will be close collaboration, reporting to and engagement with the appropnate officers of USAID. Consultations will occur on a weekly basis at a minimum to discuss the internal specifics and external contexts of the on-going work. It is anticipated that these informal but regular consultations will support the Monthly Reports and help shape the Quarterly Work Plans. Monthly Reports: The Awardee shall provide to the CTO, within 5 days after the end of each month, a report on the activities undertaken during the month. The monthly report should seek to be a brief, lucid, description of the activities, with emphasis on issues that have arisen, impacts made, constraints encountered, and suggestions for additional actions that might be taken. The monthly report should also include the Contractor's accrued monthly expenditures. The CTO is responsible for transmitting this information to the USAID financial management office responsible for the contract. Quarterly Work Plans: Quarterly Work Plans shall be submitted within seven calendar days before the start of the new quarter. The scope of the quarterly reports will depend upon the extent of permissive areas. The first quarterly workplans shall be submitted within three weeks of entering a permissive environment. The workplan should include the estimated monthly fuel requirements for up to one year of program implementation, in meeting all program objectives within the contract. USAID will respond to the workplan within five calendar days. Final Report: The Contractor will prepare a final report that matches accomplishments to the specific paragraphs of the Scope The final report will be drafted to allow for incremental improvements in the process, both generally within USAID and specifically with respect to this assistance mission. Special Security Conditions: U.S. Citizenship is required of key personnel selected to perform under this Contract. At a minimum an "Interim Secret" personnel security clearance issued by the Department of Defense will be required before the issuance of a USAID/RRB Badge or permission to proceed to Post is granted. USAID/SEC will be responsible for validating security clearances of all proposed/selected contractors and will work with the Facility Security Officer of the selected company to transmit security clearance data to U.S. Officials abroad where access to restricted sites and/or facilities is necessary to accomplish the task(s) outlined in this SOW. No classified information will be provided to the contractor for the purpose of review, work, or storage at the contractor's facility. All access will occur at the Government's facility either within the U.S. or overseas No duplication or retransmission of Classification National Security Information is permitted by the contractor without written authorization from the CTO. Any public release of information regarding this award must be approved in advance of release by the CTO (refer to Section H. 10 of this contract for specific security guidance). 9. PERFORMANCE MONITORING/INDICATORS Proposing Indicators At program start-up, and subject to USAID approval, the recipient will develop and propose indicators for monitoring performance. Performance Monitoring Within 30 days from the signing of the award, the recipient shall submit for USAID approval a Performance Monitoring Plan. The plan will necessitate the conduct of a baseline study to develop C-8 SECTION C EDG-C-00-03-00010-00 the required baseline data for the measurement of progress throughout the program. The plan will include methodology on how data will be collected, interim and final targets, and a timeline for collecting data. Data should be collected for all indicators developed by the recipient. The Performance Monitoring Plan shall provide for periodic evaluation by the recipient of the impact of the various program components and operate as a "program feedback loop", i.e. impact evaluation/feedback/fine-tuning of component implementation/new activity cycle. The recipient will submit a semi-annual Performance Monitoring Report that details benchmarks toward achievement of performance indicators and results, the data collected and the method of collection. The first Performance Monitoring Report will be submitted no later than 30 days following the end of the FY 2003 U.S. Government fiscal year, with reports submitted semi-annually thereafter. A specific format for the performance report will be proposed by the recipient to USAID for approval 60 days following program start-up." END OF SECTION C -=- C-9