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, 71216-71225 [2021-23743]

Agencies

• Agency for International Development

[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 [www.gpo.gov]
[FR Doc No: 2021-23743]


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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.

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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 https://www.regulations.gov 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 https://www.regulations.gov, 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 [email protected].

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 https://www.regulations.gov 
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 https://www.usaid.gov/ads/policy/300/302). 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 https://www.usaid.gov/ads/policy/500/579, 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 https://www.usaid.gov/ads/policy/200/201) 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 [email protected]. 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 https://www.usaid.gov/ads/policy/500/579.
    (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;
* * * * *
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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 https://www.usaid.gov/ads/policy/200/201.
    (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

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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 dfd.usaid.gov 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 
data.usaid.gov/guidelines.
    (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