Proposed Rule2021-23743
USAID Acquisition Regulation: United States Agency for International Development (USAID) Acquisition Regulation (AIDAR): Planning, Collection, and Submission of Digital Information as Well as Submission of Activity Monitoring, Evaluation, and Learning Plans to USAID
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
December 15, 2021
Issuing agencies
Agency for International Development
Abstract
The United States Agency for International Development (USAID) seeks public comment on a proposed rule that implements USAID requirements for managing digital information data as a strategic asset to inform the planning, design, implementation, monitoring, and evaluation of the Agency's foreign assistance programs. This proposed rule incorporates a new policy on Digital Information Planning, Collection, and Submission Requirements and the corresponding clause, as well as a new clause entitled "Activity Monitoring, Evaluation, and Learning Plan Requirements" into the (AIDAR). This proposed rule is intended to reduce the burden on contractors, increase efficiency, and improve the use of data and other forms of digital information across the Agency's programs and operations.
Full Text
<html>
<head>
<title>Federal Register, Volume 86 Issue 238 (Wednesday, December 15, 2021)</title>
</head>
<body><pre>
[Federal Register Volume 86, Number 238 (Wednesday, December 15, 2021)]
[Proposed Rules]
[Pages 71216-71225]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-23743]
=======================================================================
-----------------------------------------------------------------------
AGENCY FOR INTERNATIONAL DEVELOPMENT
48 CFR Parts 727, 742, and 752
RIN 0412-AA90
USAID Acquisition Regulation: United States Agency for
International Development (USAID) Acquisition Regulation (AIDAR):
Planning, Collection, and Submission of Digital Information as Well as
Submission of Activity Monitoring, Evaluation, and Learning Plans to
USAID
AGENCY: U.S. Agency for International Development.
ACTION: Proposed rule.
-----------------------------------------------------------------------
SUMMARY: The United States Agency for International Development (USAID)
seeks public comment on a proposed rule that implements USAID
requirements for managing digital information data as a strategic asset
to inform the planning, design, implementation, monitoring, and
evaluation of the Agency's foreign assistance programs. This proposed
rule incorporates a new policy on Digital Information Planning,
Collection, and Submission Requirements and the corresponding clause,
as well as a new clause entitled ``Activity Monitoring, Evaluation, and
Learning Plan Requirements'' into the (AIDAR). This proposed rule is
intended to reduce the burden on contractors, increase efficiency, and
improve the use of data and other forms of digital information across
the Agency's programs and operations.
DATES: Comments must be received no later than February 14, 2022.
ADDRESSES: Submit comments, identified by the title of the action and
Regulatory Information Number (RIN) through the Federal eRulemaking
Portal at <a href="https://www.regulations.gov">https://www.regulations.gov</a> by following the instructions for
submitting comments. Please include your name, company name (if any),
and ``0412-AA90'' on any attachments. If your comment cannot be
submitted using <a href="https://www.regulations.gov">https://www.regulations.gov</a>, please email the point of
contact in the FOR FURTHER INFORMATION CONTACT section of this document
for alternate instructions.
FOR FURTHER INFORMATION CONTACT: Marcelle Wijesinghe, USAID M/OAA/P, at
202-916-2606 or <a href="/cdn-cgi/l/email-protection#c1b1aeada8a2b8aca0a8ada3aeb981b4b2a0a8a5efa6aeb7"><span class="__cf_email__" data-cfemail="d0a0bfbcb9b3a9bdb1b9bcb2bfa890a5a3b1b9b4feb7bfa6">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION:
A. Instructions
All comments must be in writing and submitted through the method
specified in the Addresses section above. All
[[Page 71217]]
submissions must include the title of the action and RIN for this
rulemaking. Please include your name, title, organization, postal
address, telephone number, and email address in the text of the
message.
All comments will be made available at <a href="https://www.regulations.gov">https://www.regulations.gov</a>
for public review without change, including any personal information
provided. We recommend that you do not submit information that you
consider Confidential Business Information (CBI) or any information
that is otherwise protected from disclosure by statute.
USAID will only address substantive comments on the rule. USAID may
not consider comments that are insubstantial or outside the scope of
the proposed rule.
B. Request for Comments
USAID requests public comment on all aspects of this proposal,
including specific questions outlined elsewhere in this notice.
C. Background
I. Planning, Collection, and Submission of Digital Information to USAID
USAID is proposing to amend its Acquisition Regulation (AIDAR) to
implement policy and procedures to clarify and streamline contractor
reporting requirements related to digital information planning,
collection, and submission to USAID. Under current protocols, USAID
contractors are required to submit information to USAID under multiple
award requirements using several different information management
portals. For example, contractors have historically submitted
monitoring and indicator data to locally-maintained information systems
in overseas missions; provided periodic reports in PDF format to the
Development Experience Clearinghouse (see AIDAR 752.7005); and
submitted baseline, survey, and research-related datasets to the
Development Data Library (see USAID internal policy at Automated
Directives System (ADS) chapter 302 available at <a href="https://www.usaid.gov/ads/policy/300/302">https://www.usaid.gov/ads/policy/300/302</a>). The maintenance of these separate portals has made
it challenging for USAID to integrate this information strategically to
render a more holistic and detailed view of its global portfolio. In
addition, navigating a variety of submission formats, websites, and
business processes generates workload that can be streamlined via
modernized technologies and techniques. With the centralization and
standardization of digital information that USAID contractors provide
to the Agency, USAID anticipates that gathering key evidence to support
evaluations and other performance management efforts will be greatly
facilitated.
Existing contractual requirements are also silent on or
insufficiently address important and emerging issues related to digital
information management, such as data management planning and digital
information collection standards. USAID contractors may be aware, for
example, that the Agency is piloting the use of a new technology called
the Development Information Solution (DIS) across multiple missions.
Award changes related to this pilot address only a part of the digital
information lifecycle (e.g., indicator submission), are limited in
scope, and apply exclusively to DIS. This rule is broader in scope,
intended to apply not only to DIS but to encapsulate the Agency's
enterprise-wide approach to the digital information lifecycle in the
years to come. Therefore, this rule provides agency policy on the
entire lifecycle of digital information management, which encompasses
digital information Governance, Planning, Collection, Processing,
Analysis, Curation, Sharing, and Publication. This also includes
addressing crosscutting issues such as data standards, information
quality, licensing, and consent to ensure future re-use of USAID-funded
digital information. It is intended to help USAID systematically
strengthen the evidence base required to implement efficient and
effective foreign assistance programs and to comply with mandates such
as:
(i) OMB Circular A-130
(ii) Foundations for Evidence-Based Policymaking Act (``Evidence Act'')
of 2018
(iii) 21st Century Integrated Digital Experience Act (21st Century IDEA
Act)
(iv) Foreign Aid Transparency and Accountability (FATAA) Act of 2016
(v) Digital Accountability and Transparency (DATA) Act of 2014
(vi) Geospatial Data Act of 2018
USAID expects that this rule will reduce the total number of web-
based portals through which contractors submit digital deliverables
under the terms of their awards to USAID, with the preponderance of
those submissions directed through a single portal called the USAID
Digital Front Door (DFD). Rather than citing a multiplicity of systems
within USAID awards, USAID intends to consistently reference the DFD as
a centralized location which seamlessly guides contractors through a
standardized process to provide their information to USAID. By
implementing these changes, USAID intends to reduce administrative
burden on contractors and USG staff. As contractors collect and submit
digital information in adherence to standards as defined in this rule,
USAID also anticipates improvements to data quality, data
interoperability, and the Agency's ability to integrate data across
various disciplines and geographies in a way that will greatly increase
insight into programmatic performance and future scenario planning.
USAID appreciates the comments and questions it has received during the
DIS pilot. USAID plans to address these at the same time it responds to
the comments and questions received during this broader rulemaking
effort.
II. Specific CFR Changes Related to Digital Information Planning,
Collection, and Submission Requirements
Per USAID internal agency guidance located in Automated Directives
Chapter (ADS) 579--USAID Development Data, available at <a href="https://www.usaid.gov/ads/policy/500/579">https://www.usaid.gov/ads/policy/500/579</a>, it is the policy of USAID to manage
data as a strategic asset to inform the planning, design,
implementation, monitoring, and evaluation of the Agency's foreign
assistance programs. To achieve this, it is also USAID's policy to
manage data and digital information across a full lifecycle. This life
cycle includes the following stages: Governance, Planning, Collection,
Processing, Analysis, Curation, Sharing, and Publication. Given that
USAID contractors play an important role in implementing this
lifecycle, USAID is adding a new AIDAR subpart 727.70 titled Digital
Information Planning, Collection, and Submission Requirements to
implement these policies. In furtherance of these policies, the new
AIDAR clause 752.227-7x entitled Planning, Collection, and Submission
of Digital Information to USAID requires that contractors:
(1) Engage in digital information planning including creating a
Data Management Plan (DMP) (ADS 579) to identify data assets that will
be created and used in a USAID-funded activity.
(2) To the extent practicable, use only digital methods to produce,
furnish, acquire, or collect information necessary to implement the
contract requirements.
(3) Submit digital information produced, furnished, acquired, or
collected in performance of a USAID contract at the finest level of
granularity.
The creation of DMPs is a practice long observed by academic and
research
[[Page 71218]]
communities. Experience at USAID has also shown that without structured
data management planning, USAID staff, contractors, and third parties
can face major impediments to data usage that may surface at any point
after the conclusion of an award.
To foster computer-based analysis, interoperability, and
information reuse by a variety of stakeholders, the rule requires
contractors to use only digital methods and USAID-approved standards,
to the extent practicable, to produce, furnish, acquire, or collect
information necessary to implement the contract requirements.
In addition, the rule requires contractors to submit to USAID
digital information produced, furnished, acquired, or collected in
performance of a USAID contract at the finest level of granularity
employed during contract implementation. While the level of granularity
(or detail) of digital information gathered during a USAID-funded
activity may vary, it is essential that USAID have access to the
greatest level of detail available to maximize future analytical
potential at the global level.
Finally, the rule is intended to prioritize the responsible use of
digital information, balancing its potential with the privacy and
security of individuals. As such, the rule requires contractors to
remove personally identifying information (PII), to flag security
concerns for USAID staff, and to provide documentation of informed
consent the contractor receives when obtaining information on
individuals.
III. Activity Monitoring, Evaluation, and Learning Plan (AMELP)
Requirements
USAID is proposing to amend the AIDAR to include a requirement for
contractors to develop Activity Monitoring, Evaluation, and Learning
Plans (AMELPs) as more fully described below. Managing U.S. Foreign
Assistance effectively requires planning in advance to implement
reliable and useful program monitoring, evaluation, and learning
efforts. USAID's Program Cycle Operational Policy (See ADS Chapter 201
available at <a href="https://www.usaid.gov/ads/policy/200/201">https://www.usaid.gov/ads/policy/200/201</a>) provides agency
policy on how to plan for monitoring, evaluation, and learning when
developing Country Development Cooperation Strategies, projects, and
activities. At the award level, the foundation for monitoring,
evaluation, and learning is a well-documented plan describing how
program progress and results will be measured and assessed and how the
contractor will work with USAID and others to support learning and
adaptive management.
Per Sec.3(c)(2)(B) of the Foreign Aid Transparency and
Accountability Act of 2016 and OMB M-18-04, monitoring and evaluation
plans should be developed for programs, projects, and activities. In
recent years, Congress has also appended requirements to Appropriations
Acts that seek to ensure that contractors that receive development
assistance funds regularly and systematically collect and respond to
feedback obtained directly from beneficiaries to enhance the relevance
and quality of such assistance.
In support of these laws and regulations, USAID's Program Cycle
Operational Policy (ADS 201) requires development activities to have an
approved AMELP. A development ``activity'' generally refers to an
implementing mechanism that carries out an intervention or set of
interventions to advance identified development result(s). Activities
range from contracts or cooperative agreements with international or
local organizations to direct agreements with partner governments,
among other options. For this rule, USAID is referring to activities
carried out under contracts to achieve a development result.
This rule is proposing to update the AIDAR to meet the legislative
and USAID policy requirements listed above by requiring that each
contractor of a development activity produce an AMELP that describes
the contractor's monitoring, evaluation, and learning activities,
including the collection of beneficiary feedback information. Activity
monitoring, evaluation, and learning focuses on whether an activity is
achieving programmatic results and generating data to inform learning
and the adaptation of activities based on evidence. The USAID Operating
Unit's (OU) Program Office, Activity Planners, and/or contracting
officer's representative work with contracting officers to ensure that
the AMELP clause is included in an award, as applicable, and provide
the contractor with any OU-specific requirements related to monitoring,
evaluation, collaborating, learning, adapting, and/or collecting or
managing data to meet OU information needs, external reporting
requirements, and allow for the management and oversight of contracts
by USAID.
The development of an AMELP should be a collaborative process
between the contractor and the USAID staff involved in management of
development assistance activities. Contractors will be expected to
propose an appropriate AMELP that meets contractor and USAID needs for
information to assess and understand progress toward the expected
activity results, to appropriately manage and oversee the activity, and
to ensure data needed for any planned evaluation is collected and
shared with USAID. Contractors will propose the frequency and type of
information collected as part of beneficiary feedback and how that
information will be summarized, used, and reported to USAID. The plan
must ensure that contractors collect such feedback regularly and use it
to maximize the cost-effectiveness and utility of the assistance
provided to beneficiaries.
If the contractor determines that collection of feedback from
beneficiaries is not appropriate, the contractor must provide
justification for not collecting beneficiary feedback as part of the
approval process. For example, a contractor might argue that collection
of feedback from the ultimate beneficiaries of a contract is not
appropriate due to a non-permissive environment or because the intended
beneficiaries will not realize the benefits of the contract until after
the contract has ended. If the contractor and the contracting officer's
representative agree that collecting beneficiary feedback is not
appropriate or feasible for the activity, the AMELP must include an
explanation of why collecting beneficiary feedback is not appropriate.
The completed AMELP is provided by the contractor to the
contracting officer's representative for review and approval within 90
days of contract award or as otherwise specified in the schedule of the
contract. The contracting officer's representative will review and
provide comments or approve the proposed AMELP within 30 days. If the
plan is not approved, the contractor must revise and resubmit the plan
no later than 15 days after receiving comments from the contracting
officer's representative. Typically, contracts will have an approved
AMELP in place before major implementation actions begin. The AMELP
should be updated as needed by the contractor and approved by the
contracting officer's representative.
Typically, when the AMELP clause is required, the clause 752.242-70
Periodic Progress is also included in a contract. When this occurs,
contractors must include in the periodic progress reports updated
information based on the AMELP, such as performance indicator data,
summaries of beneficiary feedback and actions taken by the contractor
in response, completed evaluation reports, summaries of learning events
or activities, and other updates, as required by the contract terms.
[[Page 71219]]
IV. Specific CFR Changes Related to Activity Monitoring, Evaluation,
and Learning Plan Requirements
USAID is proposing to revise AIDAR section 742-1170 to add the
requirement for contractors to plan for and collect digital information
to inform whether an activity funded by a contract is achieving
programmatic results and generating data to inform the learning and
adaptation of activities based on evidence. The new clause 752.242-71
entitled Activity Monitoring, Evaluation, and Learning Plan will
require contractors to develop and submit a proposed AMELP within 90
days of contract award.
The AMELP is required for awards that generate development results,
which typically are contracts for professional or technical services
that implement USAID developmental assistance programs. The following
types of contracts are generally exempt from the requirements for the
AMELP:
(1) Contracts below the simplified acquisition threshold;
(2) Purchase of supplies and services that USAID acquires for its
own direct use or benefit. Examples below illustrate how USAID will
apply this exception and are not meant to be all-inclusive:
(i) Purchase of supplies and services necessary to support and
maintain USAID's offices and Missions worldwide;
(ii) Monitoring, evaluation, or collaboration, learning and
adaptive management;
(iii) Country Development Cooperation Strategy (CDCS) Facilitation;
(iv) Data collection and analysis services for a specific program
or portfolio;
(v) Financial audit and professional support services provided
directly to USAID;
(vi) Gender analysis and assessment for CDCS design and support;
(vii) Third-party monitoring for humanitarian programming in a
specific country or region.
(3) Emergency food assistance under the Food for Peace Act or
section 491 of the Foreign Assistance Act of 1961, including for the
procurement, transportation, storage, handling, and/or distribution of
such assistance;
(4) International disaster assistance under section 491 of the
Foreign Assistance Act of 1961 or other authorities administered by the
Bureau for Humanitarian Assistance; or
(5) Activities managed by the Bureau for Conflict Prevention and
Stabilization's Office of Transition Initiatives or funded with the
Complex Crises Fund.
V. Removal of the 752.7005 Entitled Submission Requirements for
Development Experience Documents
Following the agency's efforts to reduce the total number of
information portals through which contractors are required to submit
information, USAID is proposing to remove the clause 752.7005 entitled
Submission Requirements for Development Experience Documents from the
AIDAR. The clause currently requires contractors to submit to USAID's
Development Experience Clearinghouse (DEC) one copy each of reports and
information products which describe, communicate, or organize program/
project development assistance activities, methods, technologies,
management, research, results, and experience. Such reports include:
Assessments, evaluations, studies, technical and periodic reports, and
other contract deliverables. With the removal of this requirement,
contractors will be submitting all data to one centralized portal, the
USAID Digital Front Door (DFD).
VI. Other Considerations
This rule is intended to supplement the requirements in the Federal
Acquisition Regulation. With regard to post-award implementation, the
contracting officer remains responsible for contract administration as
a matter of law, and in partnership with designated contracting officer
representatives as a matter of operating policy. Contractor performance
reported in the Contractor Performance Assessment Reporting System
(CPARS), as described in FAR Part 42, corresponds to and must be
consistent with performance reported by contractors for purposes of
monitoring and learning or pursuant to an AMELP. References to Agency
operating policy in ADS are for informational purposes only and are not
to be construed as incorporating by reference or establishing the
indicated operating policy as regulation.
VII. Regulatory Considerations and Determinations
Executive Orders 12866 and 13563
Executive Orders (E.O.s) 12866 and 13563 direct agencies to assess
all costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). E.O.
13563 emphasizes the importance of quantifying both costs and benefits,
of reducing costs, of harmonizing rules, and of promoting flexibility.
This is a significant regulatory action and, therefore, was subject to
review under section 6(b) of E.O. 12866, Regulatory Planning and
Review, dated September 30, 1993. This rule is not a major rule under 5
U.S.C. 804.
Expected Cost Impact on the Public
USAID remains committed to reducing the burden on its contractors
while maximizing taxpayer value. By launching the USAID Digital Front
Door (DFD) as outlined in this clause, USAID intends to reduce the
total number of portals through which its contractors must submit
information to USAID, thereby reducing time and effort and improving
operational efficiency.
The following is a summary of the impact on contractors awarded
contracts that include the new AIDAR clause. The cost estimates were
developed by subject matter experts based on USAID's experience
collecting reports and information products through the Development
Experience Clearinghouse (DEC) (see AIDAR 752.7005) and piloting
digital data collection through the Development Data Library (DDL) and
the Development Information Solution (DIS).
This rule results in a total annualized (7% discount) public net
cost of $6.5 million. This annual burden takes into account the current
baseline that contractors already prepare, maintain, and submit AMELPs,
already remove PII from data prior to submission, already collect
standard indicator data, and already request embargoes and data
submission exemptions from Contracting officer's Representative on a
case-by-case basis. Further, since contractors already submit documents
and data to the DEC and DDL, these costs were removed from the overall
estimated cost. The following is a summary of the annual public costs
over a 20-year time horizon.
------------------------------------------------------------------------
Year Public Total
------------------------------------------------------------------------
1....................................... $5,504,189 $5,504,189
[[Page 71220]]
2....................................... 6,548,487 6,548,487
3....................................... 6,601,533 6,601,533
. . .................................... 6,654,581 6,654,581
20...................................... 6,654,581 6,654,581
-------------------------------
Total undiscounted costs............ .............. 131,731,340
Present Value (PV) of Costs .............. 69,274,510
Discounted at 7%...................
Annualized Costs Discounted at 7%... .............. 6,539,024
------------------------------------------------------------------------
This rule has extensive benefits for the public, contractors, the
research community, the private sector, and the USG, though many of
these benefits are challenging to quantify. Overarchingly, this rule
will increase efficiency for contractors, minimize data errors, and
improve the privacy and security of data. Further, this rule will help
contractors to produce data assets that are trustworthy, high-quality,
and usable by the general public and the research community for
accountability, research, communication, and learning. For the public,
there is an immense richness in the data collected by USAID and its
partners around the world, and this data holds the potential to improve
the lives of some of the world's most vulnerable people. When a
development project ends, the data can yield new insights for years or
decades into the future. It is the responsibility of the Agency and
those representing the government to ensure that data is accessible,
standardized, and secure.
In addition, under current protocols, USAID contractors are
required to submit digital information to USAID under multiple award
requirements using several different information management portals.
The maintenance of these separate portals has made it challenging for
USAID to integrate this information strategically to render a more
holistic and detailed view of its global portfolio. By implementing
these changes, USAID intends to reduce administrative burden on
contractors and USG staff.
1. Regulatory Flexibility Act
USAID does not expect this rule to have a significant economic
impact on a substantial number of small entities within the meaning of
the Regulatory Flexibility Act, 5 U.S.C. 601, et seq. USAID has
therefore not performed an Initial Regulatory Flexibility Analysis
(IRFA).
2. Paperwork Reduction Act
The Paperwork Reduction Act (44 U.S.C. chapter 35) applies. The
proposed rule contains information collection requirements.
Accordingly, USAID has submitted a request for approval of a new
information collection requirement concerning this rule to the Office
of Management and Budget.
The outlined information collection is an element of a proposed
rule that implements USAID requirements for managing digital
information data as a strategic asset to inform the planning, design,
implementation, monitoring, and evaluation of the Agency's foreign
assistance programs. The proposed rule will incorporate a new subpart
727.70 Digital Information Planning, Collection, and Submission
Requirements, and the corresponding clause, as well as a new clause
entitled ``Activity Monitoring, Evaluation, and Learning Plan
Requirements'' into the AIDAR. This rule is intended to reduce burden
on contractors, increase efficiency, and improve the use of data and
other forms of digital information across the Agency's programs and
operations.
A. Request for Comments Regarding Paperwork Burden
Submit comments, including suggestions for reducing this burden,
not later than February 14, 2022 using the method specified in the
``Addresses'' section above.
Public comments are particularly invited on: Whether this
collection of information is necessary for the proper performance of
functions of the AIDAR, and will have practical utility; whether our
estimate of the public burden of this collection of information is
accurate, and based on valid assumptions and methodology; ways to
enhance the quality, utility, and clarity of the information to be
collected; and ways in which we can minimize the burden of the
collection of information on those who are to respond, through the use
of appropriate technological collection techniques or other forms of
information technology.
Requesters may obtain a copy of the supporting statement by
contacting <a href="/cdn-cgi/l/email-protection#89f9e6e5e0eaf0e4e8e0e5ebe6f1c9fcfae8e0eda7eee6ff"><span class="__cf_email__" data-cfemail="4e3e2122272d37232f27222c21360e3b3d2f272a60292138">[email protected]</span></a>. Please cite RIN Number 0412-AA90 in
all correspondence.
B. Abstract for Collection
The public reporting burden for this collection of information is
estimated as follows:
Respondents: 679.
Responses per respondent: 51.
Total annual responses: 34,606.
Preparation hours per response: 2.
Total response burden hours: 67,995.
List of Subjects in 48 CFR Chapter 7 Parts 727, 742, and 752.
Government procurement.
For the reasons discussed in the preamble, USAID proposes to amend
48 CFR Chapter 7 as set forth below:
0
1. The authority citation for 48 CFR parts 727, 742, and 752 continues
to read as follows:
Authority: Sec. 621, Pub. L. 87-195, 75 Stat. 445, (22 U.S.C.
2381) as amended; E.O. 12163, Sept. 29, 1979, 44 FR 56673; 3 CFR
1979 Comp., p. 435.
SUBCHAPTER E--GENERAL CONTRACTING REQUIREMENTS
PART 727--PATENTS, DATA, AND COPYRIGHTS
0
2. Add subpart 727.70 to read as follows:
Subpart 727.70--Digital Information Planning, Collection, and
Submission Requirements
Sec.
727.700 Scope of subpart
727.701 Definitions
727.702 Policy
727.703 Contract clause.
727.700 Scope of subpart.
(a) This part prescribes the policies, procedures, and a contract
clause pertaining to data and digital information management. It
implements the following requirements:
(1) Digital Accountability and Transparency (DATA) Act of 2014;
(2) Foundations for Evidence-Based Policymaking Act (``Evidence
Act'') of 2018;
(3) 21st Century Integrated Digital Experience Act (21st Century
IDEA Act);
(4) Foreign Aid Transparency and Accountability (FATAA) Act of
2016;
(5) Geospatial Data Act of 2018;
[[Page 71221]]
(6) OMB Circular A-130.
(b) [Reserved]
727.701 Definitions.
As used in this subpart--
Data means recorded information, regardless of form or the media on
which it may be recorded. The term includes technical data and computer
software. The term does not include information incidental to contract
administration, such as financial, administrative, cost or pricing, or
management information.
Data asset is a collection of data elements or datasets that may be
grouped together.
Data management plan (DMP) is a tool that guides the identification
of anticipated data assets and outlines tasks needed to manage these
assets across a full data lifecycle.
Dataset is an organized collection of structured data, including
data contained in spreadsheets, whether presented in tabular or non-
tabular form. For example, a dataset may represent a single
spreadsheet, an extensible mark-up language (XML) file, a geospatial
data file, or an organized collection of these. A dataset does not
include unstructured data, such as email or instant messages, PDF
files, PowerPoint presentations, word processing documents, images,
audio files, or collaboration software.
Digital data means quantitative and qualitative programmatic
measurements that are entered directly into a computer. Examples
include numeric targets established during activity design or
implementation; baseline, mid-line, or final measurements created or
obtained via field assessments; surveys or interviews; performance
monitoring indicators as specified in the Contractor's approved
Activity Monitoring, Evaluation, and Learning (AMELP) (see 752.242-7x,
Activity Monitoring, Evaluation, and Learning Plan); evaluation
results; or perception metrics collected from beneficiaries on the
quality and relevance of International Disaster Assistance and
Development Assistance.
Digital information is a subset of data and means (a) digital text;
(b) digital data; (c) digital objects; and (d) metadata created or
obtained with USAID funding supported by this award that are
represented, stored, or transmitted in such a way that they are
available to a computer program.
Digital object includes digital or computer files that are
available to a computer program. Examples include digital word
processing or PDF documents or forms related to activity design,
assessment reports, periodic progress and performance reports, academic
research documents, publication manuscripts, evaluations, technical
documentation and reports, and other reports, articles and papers
prepared by the contractor, whether published or not. Other examples
include datasets, spreadsheets, presentations, publication-quality
images, audio and video files, communication materials, information
products, extensible mark-up language (XML) files, and software,
scripts, source code, and algorithms that can be processed by a
computer program.
Digital text includes text-based descriptions of programmatic
efforts that are entered directly into a computer, rather than
submitted as a digital object.
727.702 Policy.
(a) It is the policy of USAID to manage data as a strategic asset
to inform the planning, design, implementation, monitoring, and
evaluation of the Agency's foreign assistance programs. To achieve
this, it is also USAID's policy to manage data and digital information
across a full life cycle. This life cycle includes the following
stages: Governance, Planning, Collection, Processing, Analysis,
Curation, Sharing, and Publication. For more information about the
USAID Development Data policy, including the life cycle stages of
foreign assistance programs, see ADS Chapter 579 at <a href="https://www.usaid.gov/ads/policy/500/579">https://www.usaid.gov/ads/policy/500/579</a>.
(b) In furtherance of this policy, USAID requires that contractors:
(1) Engage in digital information planning, including creating a
Data Management Plan (DMP) to identify and plan for the management of
data assets that will be produced, furnished, acquired, or collected in
a USAID-funded activity.
(2) Use only digital methods and USAID-approved standards, to the
extent practicable, to produce, furnish, acquire, or collect
information necessary to implement the contract requirements.
(3) Provide documentation of informed consent the contractor
receives when obtaining information on individuals.
(4) Submit to USAID digital information produced, furnished,
acquired, or collected in performance of a USAID contract at the finest
level of granularity employed during contract implementation.
(c) As specified in ADS Chapter 579, USAID implements appropriate
controls to restrict data access in a way that balances the potential
benefits with any underlying risks to its beneficiaries and
contractors.
727.703 Contract clause.
Insert the clause 752.227-7x. Planning, Collection, and Submission
of Digital Information to USAID in Section H of solicitations and
contracts fully or partially funded with program funds exceeding the
micro-purchase threshold. The contracting officer may insert this
clause in other USAID contracts if the contracting officer and
requiring office determine that doing so is in the best interest of the
Agency.
SUBCHAPTER G--CONTRACT MANAGEMENT
PART 742--CONTRACT ADMINISTRATION
Subpart 742.11--Production, Surveillance, and Reporting
0
3. Amend 742.1170-3, by redesignating paragraph (b)(2) through (7) as
(b)(3) through (8) and adding a new paragraph (b)(2) to read as
follows:
742.1170-3 Policy.
* * * * *
(b) * * *
(2) The contract requirements for an activity monitoring,
evaluation, and learning plan, as applicable;
* * * * *
0
4. Add 742.1170-5 to read as follows:
742.1170-5 Activity Monitoring, Evaluation, and Learning Plan
requirement and contract clause.
(a) When the requiring office needs information on how the
contractor expects to monitor implementation performance and context,
conduct or collaborate on an evaluation, and generate evidence to
inform learning and adaptive management, the contracting officer may
require the contractor to submit an Activity Monitoring, Evaluation,
and Learning Plan (AMELP) tailored to specific contract requirements.
For more information on monitoring, evaluation, and learning during the
design and implementation of activities, see ADS Chapter 201 at <a href="https://www.usaid.gov/ads/policy/200/201">https://www.usaid.gov/ads/policy/200/201</a>.
(b) Unless instructed otherwise in writing by the requiring office,
the contracting officer must insert the clause at 752.242-7x, Activity
Monitoring, Evaluation, and Learning Plan, in Section F of
solicitations and contracts exceeding the simplified acquisition
threshold, except as specified in paragraph (c) of this section. The
contracting officer may insert this clause in other USAID contracts if
the contracting officer, in consultation with the requiring office,
determines that an Activity Monitoring,
[[Page 71222]]
Evaluation, and Learning Plan is necessary, as provided in paragraph
(a) of this section.
(c) The clause is not required to be included in contracts for:
(1) Supplies and services that USAID acquires for its own direct
use or benefit. This includes contracts related to monitoring,
evaluation, and/or collaboration, learning, and adaptive management
(CLA);
(2) Emergency food assistance under the Food for Peace Act or
section 491 of the Foreign Assistance Act of 1961, including for the
procurement, transportation, storage, handling and/or distribution of
such assistance;
(3) International disaster assistance under section 491 of the
Foreign Assistance Act of 1961 or other authorities administered by the
Bureau for Humanitarian Assistance; or
(4) Activities managed by the Bureau for Conflict Prevention and
Stabilization's Office of Transition Initiatives, or fully or partially
funded with the Complex Crises Fund.
SUBCHAPTER H--CLAUSES AND FORMS
PART 752--SOLICITATION PROVISIONS AND CONTRACT CLAUSES
0
5. Add 752.227-7x to read as follows:
752.227-7x Planning, Collection, and Submission of Digital Information
to USAID.
As prescribed in 727-703, insert the following clause in Section H
of solicitations and contracts fully or partially funded with program
funds exceeding the micro-purchase threshold:
Planning, Collection, and Submission of Digital Information to USAID
(TBD Date)
(a) Definitions.
As used in this clause--
Computer is a fixed or mobile device that accepts digital data and
manipulates the information based on a program or sequence of
instructions for how data is to be processed.
Data means recorded information, regardless of form or the media on
which it may be recorded. The term includes technical data and computer
software. The term does not include information incidental to contract
administration, such as financial, administrative, cost or pricing, or
management information.
Data asset is a collection of data elements or datasets that may be
grouped together.
Data management plan (DMP) is a tool that guides the identification
of anticipated data assets and outlines tasks needed to manage these
assets across a full data lifecycle.
Dataset is an organized collection of structured data, including
data contained in spreadsheets, whether presented in tabular or non-
tabular form. For example, a dataset may represent a single
spreadsheet, an extensible mark-up language (XML) file, a geospatial
data file, or an organized collection of these. A dataset does not
include unstructured data, such as email or instant messages, PDF
files, PowerPoint presentations, word processing documents, images,
audio files, or collaboration software.
Digital data means quantitative and qualitative programmatic
measurements that are entered directly into a computer. Examples
include numeric targets established during activity design or
implementation; baseline, mid-line, or final measurements created or
obtained via field assessments; surveys or interviews; performance
monitoring indicators as specified in the Contractor's approved AMELP;
evaluation results; or perception metrics collected from beneficiaries
on the quality and relevance of International Disaster Assistance and
Development Assistance.
Digital information is a subset of data and means:
(1) Digital text;
(2) Digital data;
(3) Digital objects; and
(4) Metadata created or obtained with USAID funding regarding
international development or humanitarian assistance activities
supported by this award that are represented, stored, or transmitted in
such a way that they are available to a computer program.
Digital object includes digital or computer files that are
available to a computer program. Examples include digital word
processing or PDF documents or forms related to activity design,
assessment reports, periodic progress and performance reports, academic
research documents, publication manuscripts, evaluations, technical
documentation and reports, and other reports, articles and papers
prepared by the Contractor under this contract, whether published or
not. Other examples include datasets, spreadsheets, presentations,
publication-quality images, audio and video files, communication
materials, information products, extensible mark-up language (XML)
files, and software, scripts, source code, and algorithms that can be
processed by a computer program.
Digital repository refers to information systems that ingest,
store, manage, preserve, and provide access to digital content.
Digital text includes text-based descriptions of programmatic
efforts that are entered directly into a computer, rather than
submitted as a digital object.
Draft digital information refers to digital information that, in
the professional opinion of the Contractor, does not adhere to the
information quality standards such that it presents preliminary,
unverified, incomplete, or deliberative findings, claims, analysis, or
results that may lead the consumer of such material to draw erroneous
conclusions.
Granularity refers to the extent to which digital content or
objects provide access to detailed, distinct data points. Coarse
granularity generally means that distinct data points reflect larger,
representational units or have been joined together or aggregated, thus
providing less detail. A fine level of granularity generally means that
distinct data points reflect smaller, individualized units that have
not been aggregated, thus providing a higher level of detail. For
example, a dataset containing a list of every activity conducted by
week would generally exhibit a finer level of granularity than a
dataset listing the various categories of activities conducted by
month. The degree of granularity can be relative to the contents of a
specific dataset and can be geographic, temporal, or across other
dimensions.
Information quality standards means the elements of utility,
objectivity, and integrity collectively.
Integrity is an element of the information quality standards that
means information has been protected from unauthorized access or
revision, to ensure that the information is not compromised through
corruption or falsification.
Machine readable means data in a format that can be easily
processed by a computer without human intervention while ensuring that
no semantic meaning is lost.
Metadata includes structural or descriptive information about
digital data or digital objects such as content, format, source,
rights, accuracy, provenance, frequency, periodicity, granularity,
publisher or responsible party, contact information, method of
collection, and other descriptions.
Objectivity is an element of the information quality standards that
means whether information is accurate, reliable, and unbiased as a
matter of presentation and substance.
Personally identifiable information (PII) means information that
can be used
[[Page 71223]]
to distinguish or trace an individual's identity, either alone or when
combined with other information that is linked or linkable to a
specific individual. [See Office of Management and Budget (OMB)
Circular No. A-130, Managing Federal Information as a Strategic
Resource.] PII can include both direct identifiers (such as name,
health identification numbers, etc.), and indirect identifiers
(geographic location, age) that when linked with other information can
result in the identification of an individual.
Publication object is a digital object that has been accepted for
publication prior to the end date of this contract and whose content is
based on or includes any other digital information created or obtained
in performance of this contract. In the research community, a
publication object is often synonymous with a quality research
manuscript that has been accepted by an academic journal for
publication. However, publication objects can also consist of other
digital objects (e.g., photos, videos, etc.) published via news media,
the internet, or other venues.
Quality digital information means digital information that, in the
professional opinion of the Contractor, adheres to the information
quality standards and presents reasonably sound and substantiated
findings, claims, analysis, or results regarding activities.
Registered with the USAID Digital Front Door (DFD) means:
(1) The Contractor entered all mandatory information required to
obtain access to the DFD and agreed to abide by the DFD terms and
conditions of use.
(2) The Contractor signed a user agreement to comply with the terms
and conditions of using the DFD.
(3) The Government has validated the Contractor's registration by
providing access to the DFD.
USAID Digital Front Door (DFD), located at <a href="http://dfd.usaid.gov">dfd.usaid.gov</a> is a
website where the Contractor transacts business with USAID, such as
submitting digital information.
Utility is an element of the information quality standards that
means whether information is useful to its intended users, including
the general public, and for its intended purpose.
(b) Digital information planning requirements.
The Contractor must engage in digital information planning to
ensure compliance with the collection and submission of all digital
information, as required under this award.
(c) Data Management Plan (DMP). (1) What is required. The
Contractor must prepare and maintain a Data Management Plan (DMP) that
reflects the digital information planning requirements outlined in
paragraph (b) of this clause.
(2) What to submit. The DMP must be appropriate to the programmatic
scope and context of the contract, and to the nature and complexity of
the data to be collected or acquired in the course of the contract. The
DMP must address, at a minimum, the following:
(i) Data inventory.
(ii) Protocols for data collection, management and storage.
(iii) Protocols for maintaining adequate safeguards that may
include the privacy and security of digital information collected under
the award.
(iv) Documentation that ensures other users can understand and use
the data.
(v) Protocols for preserving digital information and facilitating
access by other stakeholders.
(vi) Terms of use on data usage, publication, curation, or other
dissemination plans.
(3) When to submit. The Contractor must develop and submit, at a
minimum, the data inventory component of the DMP to the contracting
officer's representative (COR) within ninety (90) days after contract
award, unless the contracting officer establishes a different time
period. The Contractor must submit the remaining components of the DMP
to the contracting officer's representative for approval, as soon as
they become available. The contractor must not begin digital
information collection prior to submission of the remaining components
of the DMP unless authorized in writing by the contracting officer.
(4) When to revise. The Contractor must revise the DMP as necessary
throughout the period of performance of this contract. Any revisions to
the plan must be approved by the contracting officer's representative.
(d) Digital information production and collection requirements.(1)
The Contractor must:
(i) Use only digital methods to the extent practicable to produce,
furnish, acquire, or collect information in performance of this
contract. If the Contractor is unable to consistently collect data
using digital methods, the Contractor must obtain the contracting
officer's representative's approval for any alternative collection.
(ii) Collect digital information at the finest level of granularity
that enables the Contractor to comply with the terms of this contract.
(2) To the extent practicable, the Contractor must limit the
collection of PII to only that which is necessary to comply with the
requirements of the contract.
(e) Registration requirements. The Contractor must:
(1) Be registered with the USAID Digital Front Door (DFD) within
ninety (90) days after award of this contract; and
(2) Maintain access to the DFD during the period of performance of
this contract.
(f) Submission requirements. (1) What to submit. Unless an
exemption in paragraph (f)(4) of this section applies, the Contractor
must:
(i) Submit digital information created or obtained in performance
of this contract to USAID at the finest level of granularity at which
it was collected.
(ii) Submit digital information in machine readable, nonproprietary
formats. The Contractor may also submit proprietary formats in addition
to a nonproprietary format.
(iii) Submit a copy of any usage license agreement that the
Contractor obtained from any third party who granted usage rights for
the digital information.
(iv) Submit a copy of any photo or media release template that the
Contractor used to obtain permission from any third party for the use
of the photo or media.
(v) If applicable, provide a blank copy of the form, document,
instructions, or other instruments used to obtain informed consent from
persons whose individual information is contained in the original
version of the digital object, as required in the AIDAR clause at
752.7012, Protection of the Individual as a Research Subject.
(vi) If applicable, provide additional details or metadata
regarding:
(A) Where and how to access digital information that the Contractor
submits to a USAID-approved digital repository or via alternate
technology as approved by USAID's Chief Information Officer;
(B) The quality of submissions of draft digital information;
(C) Known sensitivities within digital information that may
jeopardize the personal safety of any individual or group, whether the
Contractor has submitted the information or has received a submission
exemption.
(D) Digital information for which the Contractor was unable to
obtain third party usage rights, a media release, or informed consent
or which has other proprietary restrictions.
(2) Where to submit. The Contractor must submit digital information
through the DFD, unless specifically authorized by the contracting
officer's representative in writing to submit to a
[[Page 71224]]
USAID-approved digital repository instead or via alternate technology
as approved by USAID's Chief Information Officer.
(3) When to submit. (i)The Contractor must submit digital
information required under the schedule of this contract to USAID once
it meets the requirements of quality digital information. Unless
otherwise approved by the contracting officer, within thirty (30)
calendar days after the contract completion date, the Contractor must
submit all digital information not previously submitted, including both
draft digital information and quality digital information required
under this contract.
(ii) Upon written approval of the contracting officer's
representative, the Contractor must submit draft digital information to
USAID when the ``best available'' information is required in order to
meet time constraints or other programmatic or operational exigencies.
(4) Exemptions. (i) The Contractor must not submit digital
information through the DFD that contains:
(A) Classified information.
(B) Personally identifiable information. The Contractor must, to
the maximum extent possible, remove the association between the set of
identifying data and the individual to which it applies unless
retaining such information is essential to comply with the terms of
this contract and upon written approval from the contracting officer's
representative to submit this information.
(ii) If the Contractor believes there is a compelling reason not to
submit specific digital information that does not fall under an
exemption in this section, including circumstances where submission may
jeopardize the personal safety of any individual or group, the
Contractor must obtain written approval not to submit the digital
information from the contracting officer.
(5) Approval requirements. Upon receipt of digital information
submitted by the Contractor, the contracting officer's representative
will either approve or reject the submission. When a submission is
rejected, the Contractor must make corrections and resubmit the
required information. USAID does not consider the submission accepted
until the contracting officer's representative provides written
approval to the Contractor.
(g) Publication Considerations. (1) If the Contractor produces a
publication object, the Contractor must submit via the DFD a copy of
the publication object, the publication acceptance notification, along
with a link at which the final published object may be accessed.
(2) For any digital object the Contractor submits in compliance
with the terms of this contract, the Contractor may request from the
contracting officer's representative an embargo on the public release
of the digital object. The contracting officer's representative may
approve an embargo that lasts no more than 12 months at a time after
the contract's completion date.
(3) If the Contractor used a digital object previously submitted
via the DFD to generate the publication object, and that digital object
is governed by a pre-existing embargo, that embargo will expire on the
day the publication object is scheduled for publication. USAID may
elect to publish digital information on which the publication object is
based as early as the date the publication object is scheduled for
publication.
(h) USAID Digital Information Technical Guidelines. The Contractor
must comply with the version of USAID's Digital Collection and
Submission Guidelines in effect on the date of award as outlined at
<a href="http://data.usaid.gov/guidelines">data.usaid.gov/guidelines</a>.
(i) Access to the digital information. USAID will conduct a
rigorous risk assessment of digital information that the Contractor
submits to USAID to determine the appropriate permissions and
restrictions on access to the digital information. USAID may release
the data publicly in full, redact or otherwise protect aspects of the
information prior to public release, or hold the information in a non-
public status.
(j) Obligations regarding subcontractors. (1) The Contractor must
furnish, acquire, or collect information and submit to USAID, in
accordance with paragraph (f) of this clause, all digital information
produced, furnished, acquired or collected in performance of this
contract by its subcontractors at any tier.
(2) The Contractor must insert the terms of this clause, except
paragraph (e) of this clause, in all subcontracts.
(End of clause)
0
6. Add 752.242-7x to read as follows:
752.242-7x Activity Monitoring, Evaluation, and Learning Plan.
As prescribed in (48 CFR) AIDAR 742.1170-5, insert the following
clause in Section F of solicitations and contracts.
Activity Monitoring, Evaluation, and Learning Plan (TBD Date)
(a) Definitions. As used in this clause--
Activity Monitoring, Evaluation, and Learning Plan (AMELP) means a
plan for monitoring, evaluating, and collaborating, learning, and
adapting during implementation of a USAID contract.
Contract will be interpreted as ``task order'' or ``delivery
order'' when this clause is used in an indefinite-delivery contract.
Evaluation means the systematic collection and analysis of data and
information about the characteristics and outcomes of a contract,
conducted as a basis for judgements, to understand and improve
effectiveness and efficiency, and timed to inform decisions about
current and future programming.
Feedback from beneficiaries means perceptions or reactions
voluntarily communicated by a beneficiary of USAID assistance about the
USAID assistance received.
Indicator means a quantifiable measure of a characteristic or
condition of people, institutions, systems, or processes that might
change over time.
Learning activity means efforts for the purpose of generating,
synthesizing, sharing, and applying evidence and knowledge.
Monitoring context means the systematic collection of information
about conditions and external factors relevant to implementation and
performance of the contract.
Output means the tangible, immediate, and intended products or
consequences of contract implementation within the Contractor's control
or influence.
Outcome means the conditions of people, systems, or institutions
that indicate progress or lack of progress toward the achievement of
the goals and objectives of the contract.
Performance indicator means an indicator that measures expected
outputs and/or outcomes of the contract implementation.
Target means a specific, planned level of results to achieve within
a specific timeframe with a given level of resources.
(b) Requirements. (1) Unless otherwise specified in the schedule of
the contract, the Contractor must develop and submit a proposed AMELP
to the contracting officer's representative within ninety (90) days of
contract award. The contracting officer's representative will review
and provide comments within thirty (30) days after receiving the
proposed AMELP. The Contractor must submit a final AMELP for
contracting officer's representative approval no later than 15 days
after receiving comments from the contracting officer's representative.
[[Page 71225]]
(2) The Contractor must revise the AMELP as necessary during the
period of performance of this contract. Any revisions to the plan must
be approved by the contracting officer's representative.
(c) Content. (1) The Contractor's proposed AMELP must include, at a
minimum, the following:
(i) The Contractor's plan for monitoring, including any existing
systems or processes for monitoring progress, any Standard Foreign
Assistance Indicators as agreed upon by the contracting officer's
representative, any other USAID required indicators, and other relevant
performance indicators of the contract's outputs and outcomes, their
baseline (or plan for collecting baseline), and targets; and
(ii) The Contractor's plan for regular and systematic collection of
feedback from beneficiaries, responding to feedback received, and
reporting to USAID a summary of feedback and actions taken in response
to the feedback received, or a rationale for why collecting feedback
from beneficiaries is not applicable for this contract.
(2) The Contractor's proposed AMELP must be appropriate to the size
and complexity of the contract and address the following, as
applicable:
(i) Plans for monitoring context and emerging risks that could
affect the achievement of the contract's results;
(ii) Plans for any evaluations to be conducted by the contractor,
sub-contractor or third-party, including collaboration with an external
evaluator;
(iii) Learning activities, including plans for capturing knowledge
at the close-out of the contract;
(iv) Estimated resources for the AMELP tasks that are a part of the
contract's budget; and
(v) Roles and responsibilities for all proposed AMELP tasks.
[End of clause]
752.7005 [Removed and Reserved]
0
7. Remove and Reserve 752.7005.
Mark A. Walther,
Chief Acquisition Officer.
[FR Doc. 2021-23743 Filed 12-14-21; 8:45 am]
BILLING CODE P
</pre><script data-cfasync="false" src="/cdn-cgi/scripts/5c5dd728/cloudflare-static/email-decode.min.js"></script></body>
</html>Indexed from Federal Register on December 15, 2021.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.