Strengthening Labor Systems in Southern Africa
[07/21/2003]
Volume 68, Number 139, Page 43210-43232
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DEPARTMENT OF LABOR
Office of the Secretary
Strengthening Labor Systems in Southern Africa
AGENCY: Bureau of International Labor Affairs, Department of Labor.
ACTION: Notice of availability of funds and solicitation for grant
application (SGA 03-21).
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SUMMARY: This notice contains all of the necessary information and
forms needed to apply for grant funding. The U.S. Department of Labor
(USDOL), Bureau of International Labor Affairs (ILAB), announces the
availability of funds to be granted by cooperative agreement (hereafter
referred to as ``grant'') to one or more qualifying organizations.
USDOL will award up to U.S. $4.2 million through one or more grants to
an organization or organizations to improve labor law compliance in
Botswana, Lesotho, Namibia, and Swaziland in order to facilitate their
integration into the global economy. Proposals must be regional in
scope and respond to the entire Statement of Work as contained in
Section III, but applicants will not be penalized for lacking previous
experience with regional projects. For example, organizations with
experience in only one country will be judged based on the success they
achieved in that country and their proposal for how they plan to work
successfully throughout the rest of the targeted region. Partnerships
between more than one organization are also eligible and encouraged, in
particular with qualified, regionally-based organizations in order to
build local capacity, although in such a case a lead organization must
be identified.
DATES: The closing date for receipt of applications is Friday, August
22, 2003. Applications must be received by 4:45 p.m. (Eastern Time) at
the address below.
ADDRESSES: Application forms will not be mailed. They are published as
part of this Federal Register notice and in the Federal Register, which
may be obtained from your nearest U.S. Government office or public
library or online at http://www.archives.gov/federal_register/index.html.
Applications must be delivered to: U.S. Department of
Labor, Procurement Services Center, 200 Constitution Avenue, NW., Room
N-5416, Attention: Lisa Harvey, Reference: SGA 03-21, Washington, DC
20210.
Applications sent by e-mail, telegram, or facsimile (FAX) will not
be accepted. Applications sent by other delivery services, such as
Federal Express, UPS, etc., will be accepted; the applicant, however,
bears the responsibility for timely submission. Applications that do
not meet the conditions set forth in this notice will not be honored.
No exceptions to the mailing and delivery requirements set forth in
this notice will be granted.
FOR FURTHER INFORMATION CONTACT: Lisa Harvey, e-mail address:
harvey.lisa@dol.gov, tel: (202) 693-4570 (this is not a toll-free
number).
SUPPLEMENTARY INFORMATION: The expansion of global trade and investment
and the improvement of working conditions and protection of basic
worker rights are best understood as mutually reinforcing, and not
mutually exclusive objectives. In today's environment of widespread
market reforms and economic integration, efficient and fair labor
markets are a prerequisite for economic growth, increasing living
standards, and promoting employment in the U.S. As political
developments, market reforms, and the transition to a global economy
bring significant changes to national economies, individual labor
market systems need to change accordingly to remain viable and to
support their populations. In addition, the inability to manage the
development of a relatively open market economy during periods of
political and social transition impedes the development of political
democracy, social cohesion, and equity.
USDOL/ILAB carries out a worldwide International Cooperation
Program that helps address some of these difficulties by working to
ensure that the greatest possible number of workers benefit from a more
open world economy. The three major initiatives of the International
Cooperation Program are:
Improving Economic Opportunity and Income Security for Workers
(EOIS)--Under the EOIS initiative, USDOL works to strengthen developing
countries'' abilities to build and institutionalize social safety net
policies and programs needed to improve working conditions and foster
economic growth. Projects under this initiative aim to increase
employment among targeted groups, improve workplace safety and health,
and increase access to social insurance.
Protecting the Basic Rights of Workers (PBRW)--Under the PBRW
initiative, USDOL works to implement the fundamental principles
embodied in the International Labor Organization's (ILO) Declaration on
Fundamental Principles and Rights at Work, specifically working towards
strengthening the right to freedom of association and collective
bargaining, eliminating forced or compulsory labor, and eliminating
employment discrimination.
International HIV/AIDS Workplace-based Education Program (IHWEP)--
Under the IHWEP initiative, USDOL works to reduce the rate of HIV/AIDS
infection through workplace-based prevention and education programs and
to improve the workplace environment for workers living with HIV/AIDS.
The IHWEP program also works to build the capacity of the tripartite
partners to address the long-term impact of HIV/AIDS on labor markets
and economic development.
USDOL/ILAB manages its projects in partnership with stakeholders
representing the government, employers, workers, and other
organizations.
I. Authority
ILAB is authorized to award and administer this program by the
Consolidated Appropriations Resolution, 2003, Public Law 108-7, 117
Stat. 11 (2003).
II. Application Process
A. Eligible Applicants
Any commercial, international, educational, or not-for-profit
organization (including faith-based organizations) with experience
effectively implementing projects in the relevant technical field(s)
and working with foreign national government ministries, regional and
local government entities, employers and employer organizations,
workers and labor organizations, and non-governmental and community-
based organizations is eligible for this grant(s). All applicants are
requested to complete the Survey on Ensuring Equal Opportunity for
Applicants (OMB No. 1225-0083) (see Appendix A). Labor ministries are
the primary government entities that will be involved, but projects may
also include ministries for education, social affairs, commerce,
finance, and those working with special targeted populations such as
youth, women, persons with disabilities or minorities. Partnerships of
more than one organization are also eligible and encouraged, in
particular with qualified regionally-based organizations to further
build local capacity, although in such a case a lead organization must
be identified. The capability of an applicant, partners, and co-
applicants to
[[Page 43211]]
perform necessary aspects of this solicitation will be determined under
Section XI--Review and Selection of Applications for Award.
Please note that to be eligible, grant applicants classified under
the Internal Revenue Code as a 501(c)(4) entity (see 26 U.S.C.
501(c)(4)), may not engage in lobbying activities. According to the
Lobbying Disclosure Act of 1995, as amended by 2 U.S.C. 1611, an
organization, as described in section 501(c)(4) of the Internal Revenue
Code of 1986, that engages in lobbying activities shall not be eligible
for the receipt of federal funds constituting an award, grant, or loan.
B. Submission of Applications
One (1) blue ink-signed original, complete application in English
plus two (2) copies of the application must be submitted to the U.S.
Department of Labor, Procurement Services Center, 200 Constitution
Avenue, NW., Room N-5416, Washington, DC 20210, no later than 4:45 p.m.
Eastern Time on the established due date. To aid with review of
applications, Applicants may elect to submit three (3) additional paper
copies of the application (five total). Applicants who do not provide
additional copies will not be penalized.
The application must consist of two (2) separate parts. Part I of
the application must contain the Standard Form (SF) 424, ``Application
for Federal Assistance'' and sections A-F of the Budget Information
Form SF 424A (see Appendix A). These forms are also available at http://www.whitehouse.gov/omb/grants.
Part II must contain a technical
proposal that demonstrates capabilities in accordance with the
statement of work (Section III) and the selection criteria (Section
XI). The application should include the name, address, telephone and
fax numbers, and e-mail address (if applicable) of a key contact person
at the applicant's organization in case questions should arise.
To be considered responsive to this solicitation, the application
must consist of the above-mentioned separate sections not to exceed 45
single-sided (8\1/2\'' x 11'' or A4), double-spaced, 12-point font,
typed pages for which a response is submitted. Major sections and sub-
sections of the application should be divided and clearly identified
(e.g., with tab dividers), and all pages shall be numbered. Applicants
are required to propose that a project address ALL of the project
objectives identified in the Statement of Work in Section III. Any
applications that do not conform to these standards may be deemed non-
responsive to this solicitation and may not be evaluated. The
application must include a table of contents and an abstract
summarizing the application in not more than two (2) pages. Standard
forms, attachments, r[eacute]sum[eacute]s, exhibits, letters of
support, and the abstract are not counted towards the page limit. If an
applicant exceeds the stated page limit, the review panel has the
discretion to deduct 10 points.
Upon completion of negotiations, the individual signing the SF 424
on behalf of the applicant must be authorized to bind the applicant.
C. Acceptable Methods of Submission
The grant application package must be received at the designated
place by the date and time specified, or it will not be considered.
Applications sent by e-mail, telegram, or facsimile (FAX) will not be
accepted. Applications sent by other delivery services, such as Federal
Express, UPS, etc., will be accepted; the applicant, however, bears the
responsibility for timely submission. Applications that do not meet the
conditions set forth in this notice will not be honored. No exceptions
to the mailing, delivery, and hand-delivery conditions set forth in
this notice will be granted.
Any application received at the Office of Procurement Services
after 4:45 p.m. Eastern Time on Friday, August 22, 2003 will not be
considered unless it is received before the award is made and:
[sbull] It was sent by registered or certified mail no later than
the fifth calendar day before the closing date; or
[sbull] It was sent by U.S. Postal Service Express Mail/Next Day
Service from the post office to the addressee no later than 5:00 p.m.
at the place of mailing two (2) working days (excluding weekends and
Federal holidays), prior to the closing date; or
[sbull] It is determined by the Government that the late receipt
was due solely to mishandling by the Government after receipt at the
U.S. Department of Labor at the address indicated.
The only acceptable evidence to establish the date of mailing of a
late application sent by registered or certified mail is the U.S.
Postal Service postmark on the envelope or wrapper and on the original
receipt from the U.S. Postal Service. If the postmark is not legible,
an application received after the above closing time and date shall be
processed as if mailed late. ``Postmark'' means a printed, stamped, or
otherwise placed impression (not a postage meter machine impression)
that is readily identifiable without further action as having been
applied and affixed by an employee of the U.S. Postal Service on the
date of mailing. Therefore, applicants should request that the postal
clerk place a legible hand cancellation ``bull's-eye'' postmark on both
the receipt and the envelope or wrapper.
The only acceptable evidence to establish the date of mailing of a
late application sent by U.S. Postal Service Express Mail/Next Day
Service from the post office to the addressee is the date entered by
the Post Office receiving clerk on the ``Express Mail/Next Day
Service--Post Office to Addressee'' label and the postmark on the
envelope or wrapper on the original receipt from the U.S. Postal
Service. ``Postmark'' has the same meaning as defined above. Therefore,
applicants should request that the postal clerk place a legible hand
cancellation ``bull's-eye'' postmark on both the receipt and the
envelope or wrapper.
The only acceptable evidence to establish the time of receipt at
the U.S. Department of Labor is the date/time stamp of the Procurement
Service Center on the application wrapper or other documentary evidence
or receipt maintained by that office.
All applicants are advised that U.S. mail delivery in the
Washington DC area has been slow and erratic due to concerns involving
anthrax contamination. Applicants must take this into consideration
when preparing to meet the application deadline. It is recommended that
you confirm receipt of your application with your delivery service.
D. Funding Levels
Up to U.S. $4.2 million is available for this project, and USDOL
reserves the right to award more than one grant. USDOL may award one or
more grants to one organization or several, or to a partnership of more
than one organization. The award of any sub-contract will be subject to
USDOL approval (see Section IV).
E. Program Duration
The duration of the project funded by this SGA is up to four (4)
years. The start date of program activities will be negotiated upon
award of the grant, which will take place no later than September 30,
2003.
III. Statement of Work
USDOL is seeking qualified organizations that will implement, in
partnership with USDOL, a regional project to increase labor law
compliance in Botswana, Lesotho, Namibia, and Swaziland by
strengthening the capacity of labor ministries to enforce national
labor laws and increasing the knowledge and capacity of employers and
workers to apply those laws.
[[Page 43212]]
Specific project objectives are identified in Section III.C.
Applicants should submit proposals that are regional in scope and
demonstrate the organization's capabilities to implement a project in
accordance with the Statement of Work and the selection criteria.
Applicants, however, will not be penalized for lacking previous
experience working on regional projects. For example, organizations
with experience in only one country will be judged based on the success
they achieve in that country and their proposal for working
successfully throughout the rest of the targeted region. USDOL
encourages applicants to be creative in proposing innovative and cost-
effective interventions that will produce a demonstrable and
sustainable impact.
Funds will be provided by grant to qualifying organizations. The
grant will be actively managed by USDOL/ILAB to assure achievement of
the stated project objectives. The award of any sub-contract will be
subject to USDOL policies and approval (see Section IV).
Note: Selection of an organization as a grantee does not
constitute approval of the grant application as submitted. Before
the actual grant is awarded, USDOL may enter into negotiations about
such items as program components, funding levels, and administrative
systems in place to support grant implementation. If the
negotiations do not result in an acceptable submission, the Grant
Officer reserves the right to terminate the negotiation and decline
to fund the application. Award is also contingent upon signature of
a letter of agreement between USDOL and relevant ministries in
target countries.
A. Background and Problem Statement
The governments of Botswana, Lesotho, Namibia, and Swaziland are in
the process of strengthening national labor law administration and
compliance, particularly those laws related to the fundamental
principles embodied in the International Labor Organization's (ILO)
Declaration on Fundamental Principles and Rights at Work. These basic
labor protections are essential to promoting open economies, higher
living standards, and a favorable climate for trade and investment.
Each of these countries, however, faces several obstacles that could
undermine these objectives. These obstacles include:
[sbull] The absence of comprehensive national strategies for
improving labor law compliance.
[sbull] Inadequate policies, training and procedures for carrying
out labor inspections.
[sbull] Weak institutional linkages between labor ministries,
employers and workers/unions.
[sbull] Underutilization of data to strategically target
inspections to the most problematic employers and sectors.
[sbull] Inefficient administrative systems for resolving labor
cases in the courts, which lead to a burdensome backlog of cases.
[sbull] Lack of capacity of union officials to effectively
represent workers and their interests in legal proceedings.
[sbull] Lack of awareness among workers of labor protections.
Assessments of the current status of labor rights and their
implementation in southern Africa are available in a variety of
sources, among them the annual U.S. Department of State Report on Human
Rights Practices; the recommendations of the Committee of Experts of
the International Labor Organization's (ILO) Committee on the
Application of Conventions and Recommendations; the recommendations of
the ILO's Committee on Freedom of Association; and reports of the
International Confederation of Free Trade Unions (ICFTU).
B. Target Population
Applicants shall target labor ministries, employer organizations
and/or individual employers, worker organizations and/or individual
adult workers and youth of legal working age working in non-hazardous
activities, and tripartite (government, employer, and worker)
institutions in Botswana, Lesotho, Namibia, and Swaziland as the
intended (direct and indirect) beneficiaries of project activities.
USDOL will work with the Grantee(s) to determine specific target
populations depending on an assessment of countries' political will,
capacity to absorb resources, and potential to sustain project
activities and project impact.
C. Objectives
The Grantee(s) will implement, in partnership with USDOL, a project
designed to increase labor law compliance in Botswana, Lesotho,
Namibia, and Swaziland by strengthening the capacity of labor
ministries to enforce national labor laws and increasing the knowledge
and capacity of employers and workers to apply those laws. Contributing
to the achievement of these goals are three project objectives
(``immediate objectives''):
Immediate Objective 1: Increased knowledge among workers and
employers of national labor laws and of the available means to access
labor ministry services to enforce the rights established by those
laws, in particular:
[sbull] The right to freedom of association;
[sbull] The right to organize and bargain collectively;
[sbull] The prohibition on the use of any form of forced or
compulsory labor;
[sbull] Labor protections for children and young people, including
a minimum age for the employment of children and the prohibition and
elimination of the worst forms of child labor;
[sbull] Legally mandated conditions of work with respect to minimum
wages, hours of work, and occupational safety and health; and
[sbull] The legal processes for protecting and enforcing basic
worker rights, from complaint intake to resolution.
Immediate Objective 2: Strengthen labor ministry inspection systems
to effectively enforce national labor laws.
Immediate Objective 3: Create new or strengthen existing dispute
resolution mechanisms within the labor ministries (e.g., mediation,
arbitration, alternative dispute resolution)
Relationship to USDOL Program Strategy: By helping to improve labor
law compliance in Botswana, Lesotho, Namibia, and Swaziland, the
proposed project supports achievement of USDOL's GPRA goal (3.3b), ``to
improve living standards and conditions of work for workers in
developing and transition countries.''
D. Type of Work To Be Performed/Activities
Applicants are responsible for developing a strategy for
successfully achieving the above-stated objectives and addressing the
problem(s) identified in the Background and Problem Statement,
developing and implementing the major tasks and activities to be
accomplished as part of that strategy, tracking and reporting on
progress in achieving the stated objectives, and providing any
necessary services. USDOL will work with the Grantee(s) to determine
the scope of country projects based on an assessment of countries'
political will, capacity to absorb resources, and potential to sustain
project activities and project impact.
When developing the strategy and activities for each project's
objective, the Applicant should take into consideration the need to:
[sbull] Work in close collaboration with complementary, on-going
projects in the region, such as the ILO Project to Advance Social
Partnership in Promoting Labour Peace in Southern Africa and the USDOL-
funded ILO
[[Page 43213]]
project, Strengthening Labour Administration in Southern Africa.
[sbull] Work closely with ministries of labor, employer
associations, and trade unions of the project countries to reach
consensus on the project strategy.
[sbull] Build upon existing tripartite (i.e., government, employer,
and worker) institutions and mechanisms that are critical to dialogue
among key sectors of civil society and in developing national positions
regarding all aspects of labor policy.
[sbull] Develop regional activities to facilitate cooperation among
neighboring states regarding labor-related matters, exchange
information on best practices, and reinforce on-going efforts to
harmonize labor standards within Southern Africa.
E. Expected Outcomes/Project Outputs
By the end of the grant period, the project will have increased
labor law compliance in the project countries through: (a) A greater
knowledge of national laws, legal processes and their application among
employers and workers, (b) the strengthened capacity of labor
ministries to effectively enforce labor laws, and (c) the
implementation of more effective systems to resolve industrial disputes
Applicants are expected to describe in their technical proposal:
(a) The strategy that they will adopt to achieve these outcomes within
the stated timeframe and available USDOL funds; and (b) the indicators
and system of data collection they will use to measure the achievement
of these outcomes (i.e., increased labor law compliance, greater
knowledge of national labor laws and their application, and more
effective industrial dispute resolution systems), as well as all key
outputs of the project.
F. Conditions Precedent
Prior to providing any technical assistance to any project country,
the level of political commitment of each government to increase labor
law compliance must be demonstrated in a clear and measurable way. Past
experience has demonstrated that without the political will of the
benefiting institutions to provide the necessary resources and support
to effect change, no international project or form of assistance will
achieve its stated objectives. Accordingly, applicants are requested to
provide in their technical proposal a methodology for assessing the
political will of the governments of Botswana, Lesotho, Namibia and
Swaziland to increase labor law compliance. Such information will be
utilized by USDOL, in consultation with the Grantee(s), for deciding
how to allocate project assistance.
G. Deliverables
Following the award of the grant, the Grantee(s) shall collaborate
with USDOL/ILAB to:
[sbull] Develop a Project Document (including a project budget)
that will set the technical parameters and provide guidance to the
project. It should include all information and be prepared according to
the standardized format outlined by USDOL. While the Applicant's
original proposal will serve as the basis of the Project Document, in
every case USDOL has found it advantageous to visit the field and reach
consensus on the project strategy with host country counterparts in
order to further inform the project design. USDOL must receive a draft
of the Project Document 45 days after returning from travel to the
relevant area(s). The Project Document must be finalized no later than
30 days after receipt of USDOL comments on the draft.
[sbull] Establish a Workplan identifying major project activities,
deadlines for their completion, and person(s) responsible for
completing these activities (within 60 days after the Project Document
is finalized).
[sbull] Set project indicators, including indicators that support
ILAB's Government Performance and Results Act (GPRA) goal: ``Improve
living standards and conditions of work for workers in developing and
transition countries.'' (within 90 days of finalizing the Project
Document).
[sbull] Create a Performance Monitoring Plan (PMP) to establish the
data needed to measure achievement of project indicators and the
methods for collection and reporting. It should include all information
and be prepared according to the standardized format outlined by USDOL
(within 90 days of finalizing the Project Document).
The Grantee(s) must submit copies of all required documents to
USDOL by the specified due dates. Other documents that may be produced
are to be submitted by mutually agreed-upon deadlines. The Project
Document, Workplan, project indicators, PMP, and data collection system
are subject to final approval by the Grant Officer's Technical
Representative (GOTR) responsible for monitoring the grant.
H. Special Program Requirements
1.USDOL Responsibilities
Following the award of the grant(s), USDOL shall:
[sbull] Provide the Grantee(s) with programmatic support to help
ensure effective implementation of the project, including training and
consultation in USDOL/ILAB management, monitoring, and evaluation
systems and standard operating procedures.
[sbull] Provide advice and consultation to Grantee(s) on specific
program criteria.
[sbull] If, based upon the responses to this solicitation and
subsequent to the award, USDOL determines that it is necessary, travel
to the field with the Grantee(s) and other technical experts for a
project design mission before finalizing the project design and the
Project Document. USDOL will procure the services of technical experts
if it determines that such expertise is necessary for the project
design mission.
[sbull] Fund at least two project evaluations--a mid-term
evaluation at approximately the midpoint of the grant period and a
final evaluation approximately two months prior to the end of the grant
period. USDOL/ILAB--in consultation with the Grantee(s)--will be
responsible for drafting and finalizing all evaluation Terms of
Reference (TOR), procuring the services of an independent evaluator
(who will write the evaluation report), and providing at least one
representative from USDOL/ILAB to participate on the evaluation team,
when appropriate. USDOL/ILAB may choose to perform additional
evaluations as appropriate.
[sbull] Have the right, at all reasonable times, to review all
documents pertaining to the project, participate on field missions
(including monitoring and evaluation missions), and to discuss
administrative and technical issues pertaining to the project with the
Grantee.
2. Grantee Responsibilities
Following the award of the grant(s), the Grantee(s) shall:
[sbull] Establish the institutional and management systems and
means necessary to provide and monitor the delivery of services and
distribute wages and material effectively.
[sbull] If USDOL determines that it is necessary, travel to the
field with USDOL and other technical experts for a project design
mission before finalizing the project design and the Project Document.
The Grantee(s) shall bear the financial costs for having its
representative(s) participate on the project design mission.
[sbull] Assist in project evaluations, including reviewing and
providing comments on the evaluation Terms of Reference (TORs) drafted
by USDOL and evaluation reports written by the lead evaluator. If
invited to participate on an evaluation mission by USDOL, the
Grantee(s) shall bear the financial
[[Page 43214]]
costs for having a representative of the Grantee(s) participate on an
evaluation team (e.g., travel, per diem).
[sbull] Submit trip reports to USDOL within fourteen (14) calendar
days of project-related travel. If the implementing partner travels
with a USDOL staff member, the implementing organization will submit a
draft trip report to the staff member within fourteen (14) calendar
days of project-related travel for comments. The format for the trip
report will be provided by USDOL.
[sbull] Inform USDOL/ILAB at least one (1) month prior to
scheduling any major public events or ceremonies regarding the project.
[sbull] Submit to USDOL all media-related and educational materials
developed by it or its sub-contractors under this Grant(s), including
relevant press releases, for use in this project before they are
reproduced, published, or used. The Grantee(s) must consult with USDOL
to ensure that materials are compatible with USDOL materials relating
to its International Cooperation Program. USDOL considers brochures,
pamphlets, videotapes, slide-tape shows, curricula, and any other
training materials used in the project to be educational materials.
USDOL will review materials for technical accuracy. USDOL will also
review training curricula and purchased training materials for accuracy
before they are used. The Grantee(s) must obtain prior approval from
the Grant Officer for all materials developed or purchased under this
grant. All materials produced by Grantee(s) must be provided to USDOL
in digital format for possible publication.
IV. Key Personnel and Sub-Contractors
USDOL considers the following job position(s) to be ``key
personnel'' in these projects:
[sbull] Project Director (at regional and country levels)
[sbull] Country Representatives (staff representing the Grantee in
a specific country)
[sbull] Consultants hired to work full-time for at least three
months.
All key personnel should be fluent in spoken and written English.
USDOL expects all key personnel to work full-time on the project.
All key personnel must be fluent in both written and spoken English.
The Grant Officer must approve candidates for all key personnel
positions. USDOL's Grant Officer's Technical Representative (GOTR)
shall review candidates' qualifications and provide recommendations to
the Grant Officer regarding the selection of candidates for all key
personnel positions. The Grantee(s) shall submit r[eacute]sum[eacute]s,
curricula vitae, and other relevant information to the GOTR and receive
approval from the Grant Officer before extending an offer of employment
and before the nominated individual conducts any activities.
Key personnel may only be changed with the approval of the Grant
Officer. The Grantee(s) shall not substitute or replace key personnel
unless new personnel are at least equal in qualifications to those
personnel who are replaced. If a need to find new key personnel arises,
the Grantee(s) shall notify the GOTR as soon as the need becomes known.
If the Grant Officer is unable to approve the personnel change, he/she
reserves the right to terminate the grant.
Organizations may apply for funding in partnership with other
organizations, but in such a case, a lead organization must be
identified. Use of sub-contractors is subject to Federal laws and
regulations, including OMB circulars requiring free and open
competition for procurement transactions.
The Grant Officer must approve all sub-contractors. USDOL's Grant
Officer's Technical Representative (GOTR) shall review candidates'
qualifications and provide recommendations to the Grant Officer
regarding the selection of candidates for all sub-contractors. The lead
organization shall submit a list of previous projects implemented by
the proposed sub-contractor, along with a description of
qualifications, r[eacute]sum[eacute]s, curricula vitae, and other
relevant information to the GOTR and receive approval from the Grant
Officer before extending a sub-contract. The lead organization shall
not substitute or replace sub-contractors unless new sub-contractors
are at least equal in qualifications to those that are replaced. Sub-
contractors may only be changed with the approval of the Grant Officer.
If a need to find new sub-contractors arises, the lead organization
shall notify the GOTR as soon as the need becomes known.
Note: Except as specifically provided, USDOL/ILAB acceptance of
a proposal and an award of federal funds to sponsor any program(s)
does not provide a waiver of any grant requirement and/or
procedures. For example, if an application identifies a specific
sub-contractor to provide the services, the USDOL/ILAB award does
not provide the justification or basis to sole-source the
procurement, i.e., to avoid competition.
V. Reporting Requirements
All reports (see Appendix B) are due no later than 30 days after
the end of a fiscal quarter and shall be submitted in English. USDOL/
ILAB and the Grantee(s) should work together to resolve any issues
within 30 days of receipt of a report.
A. Financial Reports
The Grantee(s) shall submit financial reports on a quarterly basis.
The first reporting period shall end on the last day of the fiscal
quarter (December 31, March 31, June 30, or September 30) during which
the grant was signed.
The Grantee(s) shall use Standard Form (SF) 269A, Financial Status
Report, to report the status of the funds, at the project level, during
the grant period. A final SF269A shall be submitted no later than 90
days following completion of the grant period.
If the Grantee(s) uses the U.S. Department of Health and Human
Services Payment Management System (HHS PMS), they shall also send
USDOL copies of the PSC 272 that it submits to HHS, on the same
schedule. Otherwise, the Grantee(s) shall submit Standard Form (SF)
272, Federal Cash Transactions Report, on the same schedule as the
SF269A.
Financial reports are due within 30 days of the end of the
reporting period (i.e., by April 30, July 30, October 30, and January
30).
B. Technical Reporting Requirements
After signing the agreement, the Grantee(s) shall submit progress
reports to USDOL/ILAB at the end of each fiscal quarter. The first
reporting period shall end on the last day of the fiscal quarter
(December 31, March 31, June 30, or September 30) during which the
Grant was signed. Between reporting dates, the Grantee(s) shall also
immediately inform USDOL/ILAB of significant developments and/or
problems affecting the organization's ability to accomplish work.
The Grantee(s) shall submit two types of progress reports according
to the standardized format used by USDOL/ILAB:
1. Status Reports
Status Reports compare actual and planned activities during the
reporting period, which consists of one quarter (January-March and
July-September). Its purpose is to provide an update on the Workplan,
problems/solutions, major achievements, or modifications. The Status
Report should be brief and include an attached project Workplan
indicating the status of Workplan
[[Page 43215]]
activities: ``completed,'' ``on schedule,'' ``delayed,'' ``cancelled.''
The body of the report should provide a summary explanation of any
deviation from the Workplan and recommended actions.
Status Reports are due within 30 days of the end of the reporting
period (i.e., by April 30 and October 30).
2. Technical Progress Reports
Technical Progress Reports provide information on how the project
is progressing in achieving its stated objectives. Technical Progress
Reports will be based on the project's stated objectives, indicators,
and Performance Monitoring Plan (PMP) and will provide both
quantitative and qualitative information and a narrative assessment of
performance for the preceding six-month period (January-June and July-
December). Data measuring achievement of the project's indicators will
be attached to the narrative, which will provide a composite overview
of progress, trends, problems, new proposals, lessons learned, and
expenditures. The body of the Technical Progress Report should be 2-3
pages in length, stressing major points related to strategy.
Technical Progress Reports are due within 30 days of the end of the
reporting period (i.e., by July 30 and January 30).
C. Instructions for Submitting Reports
All reports shall cite the assigned grant number. The Grantee(s)
shall submit one hard copy of all financial reports to each of the
following persons:
Lawrence Kuss, Grant Officer, Procurement Services Center, U.S.
Department of Labor, 200 Constitution Ave., NW., Room N-5416,
Washington, DC 20210.
Patrick White, Grant Officer's Technical Representative, Office of
Foreign Relations, U.S. Department of Labor, 200 Constitution Ave.,
NW., Room S-5303, Washington, DC 20210.
Gene Contee, Accountant, Financial Management Services Center, U.S.
Department of Labor, 200 Constitution Ave., NW., Room S-5526,
Washington, DC 20210.
The Grantee(s) shall submit one hard copy of all technical reports
to each of the following persons:
Lawrence Kuss, Grant Officer, Procurement Services Center, U.S.
Department of Labor, 200 Constitution Ave., NW., Room N-5416,
Washington, DC 20210.
Patrick White, Grant Officer's Technical Representative, Office of
Foreign Relations, U.S. Department of Labor, 200 Constitution Ave.,
NW., Room S-5303, Washington, DC 20210.
VI. Travel Procedures
The Grantee(s) shall submit a quarterly travel plan to the GOTR.
The plan shall include the following information for all individuals
traveling for the Grantee(s) to support activities covered by this
grant:
[sbull] Name of the person(s) who will be traveling
[sbull] Destination(s)
[sbull] Dates of travel
[sbull] Purpose of travel--what they will be doing and why
The Grantee(s) should submit the quarterly travel plan no later
than four weeks prior to the start of each subsequent fiscal quarter
(e.g., By May 31, the GOTR should have travel plans for all Grantee
travel occurring July 1 through September 30). For a trip beginning
later than four weeks from the time the plan is submitted, dates should
reflect a ``best guess'' (rather than simply listing ``To Be
Determined''). The dates should, however, be finalized no later than 4
weeks prior to departure.
All travelers should submit finalized travel details to the GOTR no
later than 4 weeks prior to the desired departure date. If any major
holiday occurs during those 4 weeks, travelers should submit finalized
details earlier.
Individuals are not permitted to travel until USDOL/ILAB has
received country clearance from the State Department (via e-mail or
cable) or has received written authorization (including by e-mail) from
the GOTR. This also applies to expatriates living abroad who go on
personal or home leave: Although they do not need clearance to enter
the U.S., they do need clearance to re-enter the country in which they
are stationed.
While travelers may cancel trips at any time, USDOL/ILAB will not
permit any amendments to a clearance cable (e.g., for changes in dates
of travel, or changes in the identified traveler) less than four weeks
prior to the desired date of departure, except in dire emergencies, as
determined by the GOTR.
VII. Acknowledgment of USDOL Funding
A. Acknowledgement on Printed Materials
In all circumstances, the following shall be displayed on printed
materials: ``Preparation of this item was funded by the United States
Department of Labor under Grant No. [insert the appropriate grant
number].''
When issuing statements, press releases, requests for proposals,
bid solicitations, and other documents describing projects or programs
funded in whole or in part with Federal money, all Grantees receiving
Federal funds must clearly state:
[sbull] The percentage of the total costs of the program or
project, which will be financed with Federal money;
[sbull] The dollar amount of Federal funds for the project or
program; and
[sbull] The percentage and dollar amount of the total costs of the
project or program that will be financed by non-governmental sources.
B. Use of the USDOL Logo
In consultation with ILAB, the Grantee(s) will acknowledge USDOL's
role in one of the following ways:
[sbull] The USDOL logo may be applied to USDOL-funded material
prepared for world-wide distribution, including posters, videos,
pamphlets, research documents, national survey results, impact
evaluations, best practice reports, and other publications of global
interest. The Grantee(s) must consult with USDOL on whether the logo
may be used on any such items prior to final draft or final preparation
for distribution. In no event shall the USDOL logo be placed on any
item until USDOL has given the Grantee written permission to use the
logo on the item.
[sbull] All documents should include the following notice: ``This
document does not necessarily reflect the views or policies of the U.S.
Department of Labor, nor does mention of trade names, commercial
products, or organizations imply endorsement by the U.S. Government.''
VIII. Administrative Requirements
A. General
Grantees, which may include faith-based organizations, will be
subject to applicable Federal laws (including provisions of
appropriations law) and the applicable Office of Management and Budget
(OMB) Circulars. Determinations of allowable costs will be made in
accordance with the applicable Federal cost principles, e.g., Non-
Profit Organizations--OMB Circular A-122. The grant(s) awarded under
this SGA will be subject to the following administrative standards and
provisions, if applicable:
[sbull] 29 CFR Part 36--Federal Standards for Nondiscrimination on
the Basis of Sex in Education Programs or Activities Receiving Federal
Financial Assistance.
[sbull] 29 CFR Part 93--New Restrictions on Lobbying.
[sbull] 29 CFR Part 95--Uniform Administrative Requirements for
Grants and Agreements with Institutions of Higher Education, Hospitals
and Other Non-Profit Organizations, and with Commercial Organizations,
Foreign
[[Page 43216]]
Governments, Organizations Under the Jurisdiction of Foreign
Governments and International Organizations.
[sbull] 29 CFR Part 96--Federal Standards for Audit of Federally
Funded Grants, Contracts and Agreements.
[sbull] 29 CFR Part 98--Federal Standards for Government wide
Debarment and Suspension (Nonprocurement) and Government-wide
Requirements for Drug-Free Workplace (Grants).
[sbull] 29 CRF Part 99--Federal Standards for Audits of States,
Local Governments, and Non-Profit Organizations.
B. Sub-Contracts
Sub-contracts must be awarded in accordance with 29 CFR 95.40-48.
In compliance with Executive Orders 12876 as amended, 13230, 12928, and
13021 as amended, the Grantee(s) is strongly encouraged to provide
subcontracting opportunities to Historically Black Colleges and
Universities, Hispanic-Serving Institutions and Tribal Colleges and
Universities.
C. Encumbrance of Grant Funds
Grant funds may not be encumbered/obligated by the Grantee(s)
before or after the period of performance. Encumbrances/obligations
outstanding as of the end of the grant period may be liquidated (paid
out) after the end of the grant period. Such encumbrances/obligations
may involve only commitments for which a need existed during the grant
period and which are supported by approved contracts, purchase orders,
requisitions, invoices, bills, or other evidence of liability
consistent with the Grantee's purchasing procedures and incurred within
the grant period. All encumbrances/obligations incurred during the
grant period must be liquidated within 90 days after the end of the
grant period, if practicable.
D. Site Visits
USDOL, through its authorized representatives, has the right, at
all reasonable times, to make site visits to review project
accomplishments and management control systems and to provide such
technical assistance as may be required. If USDOL makes any site visit
on the premises of the Grantee or a sub-contractor(s) under this grant,
the Grantee must provide and must require its sub-contractors to
provide all reasonable facilities and assistance for the safety and
convenience of the Government representatives in the performance of
their duties. All site visits and evaluations will be performed so as
not to unduly delay the work.
IX. Grant Closeout Procedures
A. Definitions
1. Grant Closeout
The closeout of a grant is the process by which a Federal grantor
agency determines that all applicable administrative actions and all
required work of the grant have been completed by the grantee and the
grantor.
2. Date of Completion
The date when all work under a grant is completed or the date in
the grant award document, or any supplement or amendment thereto, on
which Federal assistance ends, whichever comes first.
3. Disallowed Costs
Disallowed costs are those charges to a grant that the grantor
agency or its representative determines to not be allowed in accordance
with the applicable Federal Cost Principles or other conditions
contained in the grant.
B. Close-Out Procedures
Grants shall be closed out in accordance with the following
procedures:
[sbull] Upon request, the Grantor shall make prompt payments to a
Grantee for allowable reimbursable costs under the grant being closed
out.
[sbull] The Grantee shall immediately refund to the Grantor any
balance of unobligated (unencumbered) cash advanced to the Grantee that
is not authorized for retention by the Grantee for use on other grants.
[sbull] Within 90 days after completion of the grant, the Grantee
shall submit all financial, performance and other reports required by
the Grant Officer to close out the grant. The Grant Officer may
authorize extensions when requested by the grantee.
[sbull] The Grant Officer shall make a settlement for any upward or
downward adjustments to the Federal share of costs after these reports
are received.
[sbull] In the case of grants that include matching/in-kind
contributions, the Grantee is legally required to provide the total
amount of matching/in-kind contributions indicated on the face sheet of
the agreement, as amended. Failure to provide this level of matching/
in-kind contribution shall result in the disallowance of all or part of
otherwise allowable Federal share costs, equal to the total matching/
in-kind share committed to, less the share actually provided.
[sbull] The Grantee shall account for any property acquired with
grant funds, or received from the Government in accordance with the
provisions of 29 CFR Part 95.
[sbull] In the event that a final audit has not been performed
prior to the closeout of the grant, the Grantor shall retain the right
to recover an appropriate amount after fully considering the
recommendations on disallowed costs resulting from the final audit.
X. Measuring the Performance of the Grantee
The performance of the Grantee will be assessed based on the timely
completion of one or more deliverables that will be due to USDOL at the
end of each quarter of the Grant. These deliverables should reflect the
outcomes of the project that are expected to help achieve the project's
objective(s). Applicants are requested to include in their proposal a
project implementation plan and approach to monitor the performance of
the project throughout the period of the grant. The implementation plan
is to consist of a quarterly schedule of activities and list of
deliverables that would be completed by the contractor each quarter.
The defined list and schedule of deliverables is viewed by USDOL as a
key component of the technical proposal.
XI. Review and Selection of Applications for Award
USDOL will screen all applications to determine whether all
required elements are present and clearly identifiable. A Technical
Panel will objectively rate each complete application against the
criteria described in this announcement. The panel recommendations to
the Grant Officer are advisory in nature. The Grant Officer may elect
to select one or more Grantees on the basis of the initial proposal
submission, or the Grant Officer may establish a competitive or
technically acceptable range for the purpose of selecting qualified
applicants. If deemed appropriate, following the Grant Officer's call
for the preparation and receipt of final revisions of proposals, the
evaluation process described above will be repeated to consider such
revisions. The Grant Officer will make a final selection determination
based on what is most advantageous to the Government, considering
factors such as panel findings, geographic presence of the applicants,
and the best value to the government, cost, and other factors. The
Grant Officer's determination for award under this SGA is final.
A. The Review Process
The criteria below will serve as the basis upon which submitted
applications will be evaluated. Technical aspects of the application
will
[[Page 43217]]
constitute 100 points of the total evaluation. Up to five (5)
additional points will be given for leveraging non-Federal resources.
In order to assist USDOL in assessing the efficient and effective
allocation of project funding, the Applicant shall submit a project
budget that clearly details the costs for performing all of the
requirements presented in this solicitation, including producing all
deliverables, reporting on implementation and progress, and monitoring
progress. Applicants are reminded to budget for compliance with the
administrative requirements set forth (copies of all regulations are
referenced in this SGA are available at no cost, on-line, at http://www.dol.gov
). This includes the costs of performing activities such as
travel to Washington, DC to meet with USDOL/ILAB, financial audit,
project closeout, document preparation (e.g., progress reports, project
document), and ensuring compliance with procurement and property
standards. The Project Budget should identify administrative costs
separately from programmatic costs. In addition to the costs identified
previously, administrative costs include indirect costs from the costs
pool and the cost of activities, materials (e.g., project car), and
personnel (e.g., administrative assistants, office drivers) that
support the management and administration of the project but do not
provide direct services to project beneficiaries.
The technical panel will review grant applicants against the
criteria listed below on the basis of 100 points.
B. Technical Approach--45 points
[sbull] The extent to which the application sets forth a clear and
supportable course of action to improve labor law compliance in
Botswana, Lesotho, Namibia, and Swaziland by strengthening the capacity
of labor ministries to enforce national labor laws and increasing the
knowledge and capacity of employers and workers to apply those laws,
including through labor dispute resolution. The Applicant will be
evaluated on the clear identification and description of the specific
strategy(s) the Applicant proposes to use, its effectiveness, and
attainability of project objectives by the end of the grant period. (10
points)
[sbull] Demonstrated familiarity with the major issues related to
the components being addressed (e.g., general project context, key
problems and/or needs in the relevant country/area, the specific
problem(s) and/or need(s) that will be addressed by this project(s),
and relevant constraints). The Applicant will be evaluated on the
thorough and accurate assessment of the implementing environment and
the problems that exist and clear identification of the specific
problem(s) the Applicant proposes to address. (5 points)
[sbull] A monitoring and evaluation plan for measuring project
performance that includes challenging but realistic targets and
measurable, verifiable project indicators that measure achievement of
project objectives and performance in project implementation. (5
points)
[sbull] A description of the applicant's approach to expending
funds in the most cost-effective method possible in order to achieve
the project objectives. The applicant should refer to its submitted
budget in explaining how the budgeted funds will be utilized cost-
effectively. In order to assist USDOL in assessing the efficient and
effective allocation of project funding, the Applicant shall submit, at
minimum, supporting budget information indicating how the Applicant
arrived at estimating the costs of the following items/activities:
Salaries and benefits for all key personnel, 2-3 key activities
proposed by the Applicant under its project design, and closing the
project and meeting all USDOL close-out requirements, as stated in this
SGA. The Applicant will be evaluated based on the clear identification
of all project costs and efficient and effective allocation of funding.
The project budget should clearly demonstrate that the total amount and
distribution of funds is sufficient to cover the cost of all major
project activities identified by the Applicant in its proposal,
management of the project, monitoring and evaluation, and project
close-out and that the distribution of funds maximizes the provision of
goods and/or services to project beneficiaries. This section will be
evaluated in accordance with applicable Federal laws and regulations.
The budget must comply with Federal cost principles (which can be found
in the applicable OMB Circulars) and with ILAB budget requirements
contained in the application instructions in Section III of this
solicitation. (10 points)
[sbull] Use of existing expertise from the recipient country in
order to reduce costs and further develop local capacity. (5 points)
[sbull] Inclusion of a sustainability strategy that ensures that
project improvements will continue after the project ends. (5 points)
[sbull] Submission of a schedule of quarterly deliverables that
will serve to determine the level of performance of the contractor. The
identification of deliverables that are presented in the proposal
should be objective, verifiable, and demonstrate progress in achieving
project objectives. (5 points)
C. Institutional Qualifications/Past Performance--25 points
[sbull] Prior experience in designing and implementing activities
in developing countries, especially in Southern Africa, related to
strategic planning, outreach and education, capacity building, labor
law enforcement, and labor dispute resolution. The application shall
include information as an attachment (which will not count towards the
page limit) regarding previous grants, contracts, or grants, including
(a) the organization for which the work was done, (b) a contact person
in that organization with his/her current phone number, (c) the dollar
value of the grant, contract, or Grant for the project(s), (d) the time
frame and professional effort, either directly by key personnel, by
consultants, or under contractual arrangements involved in the
project(s), (e) a brief summary of the work performed; and (f) a brief
summary of accomplishments. (10 points)
[sbull] Clear organizational structure and management plan,
illustrating experience with carrying out participatory development
activities with organizations (i.e., government ministries, employer
organizations, worker organizations, community organizations) and
maintaining positive and effective relationships with partners. (10
points)
[sbull] Demonstration of strong financial management and internal
control systems. (5 points)
D. Experience of Personnel--30 points
[sbull] Key personnel with prior experience directly related to the
proposed work, including technical and language qualifications,
professional competence, relevant academic background, and demonstrated
experience. Applicants shall submit a r[eacute]sum[eacute] for each key
personnel proposed, which includes the individual's current employment
status and previous work experience, including position title, duties
performed, dates in position, employing organizations, and educational
background. Duties must be clearly defined in terms of role performed
(i.e., manager, team leader, consultant). R[eacute]sum[eacute]s shall
be included as attachments, which do not count against the page
limitation. (20 points)
[sbull] Clear management plan demonstrating the staffing
requirements and other resources needed to implement the approach. (10
points)
[[Page 43218]]
E. Leveraging of Grant Funding--5 points
USDOL will award up to five (5) additional rating points to
applications that include non-Federal resources that significantly
expand the size and scope of project-related activities. These programs
will not be financed by the project, but can complement and enhance
project objectives. To be eligible for the additional points, the
applicant must list the resource(s), the nature, and possible
activities anticipated and any partnerships, linkages, or coordination
of activities, cooperative funding, etc.
F. Suggested Outline for Technical Proposal
This outline is provided as a guideline. Organizations may elect a
format of their choosing, subject to the requirements of this
announcement.
1. Executive Summary
2. Program Description
Goal and Objectives
Background
Technical Approach and Implementation Timetable (Proposed
Intervention)
Experience of Personnel
Identification of Deliverables and Quarterly Schedule of their
submission to determine contractor performance
Staffing Pattern and Project Management Organizational Chart
Leveraging of non-Federal Resources
3. Attachments:
Summaries of other relevant organizational experiences
R[eacute]sum[eacute]s of key personnel and signed letters of
commitment to the project
Successful proposals submitted in response to this SGA will be
incorporated into the text of the grant with the selected applicant(s).
Signed at Washington, DC, this 14th day of July 2003.
Lawrence J. Kuss,
Grant Officer.
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[FR Doc. 03-18258 Filed 7-18-03; 8:45 am]
BILLING CODE 4510-28-C
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