Embed Size (px)
Citation preview
USAID’s Effective Rule of Law Program
REQUEST FOR APPLICATIONS
INCREASING CITIZENS’ AWARENESS AND PARTICIPATION IN THE JUSTICE SYSTEM
RFA NUMBER #01-2012
ISSUANCE DATE: JULY 4, 2012
DEADLINE FOR RECEIPT OF QUESTIONS: JULY 11, 2012 (5:00PM, LOCAL PRISTINA TIME)
CLOSING DATE FOR SUBMISSION OF APPLICATIONS: JULY 31, 2012
CLOSING TIME FOR SUBMISSION OF APPLICATIONS: 5:00PM, LOCAL PRISTINA TIME
PRISTINA, KOSOVO
2
PROGRAM DESCRIPTION
PROGRAM SUMMARY
USAID through its Effective Rule of Law (EROL) Program is seeking applications from locally registered Kosovo civil society organizations (CSOs) in two Activity Areas. For the purposes of this RFA, the term CSOs includes Non-Governmental Organizations (NGOs), educational institutions, business and professional associations, and other community organizations.
Interested Applicants must submit separate applications for each Activity Area, for which they believe their organizations are qualified. These Activity Areas include:
Activity Area One (1) Solicitation, award and management of sub-grants to local CSOs to carry out court monitoring and anticorruption initiatives.
Proposed activities under Activity Area One (1) are envisioned to be completed within twelve months of the award’s start date. The maximum value of award under Activity Area (1) is $150,000.
Activity Area Two (2) Conducting public awareness and outreach aimed at combating corruption and increasing transparency and fairness among justice institutions in Kosovo.
Proposed activities under Activity Area Two (2) must be completed within twelve months of the award’s start date. The maximum value of award under Activity Area (2) is $100,000.
USAID intends to make one award under each Activity Area above based on criteria described below under selection criteria. Although USAID expects to make one award per activity area, USAID reserves the right to fund more than one application for each Activity Area. USAID also reserves the right not to fund any awards if it is in the best interest of the US Government to do so.
Kosovar organizations submitting applications for grant funding should be registered entities under applicable Kosovo Laws, and should be able to demonstrate the ability to comply with OMB Circular A-122 “Cost Principles for Non-Profit Organizations”, accessible at the following website: http://www.whitehouse.gov/omb/assets/omb/circulars/a122/a122_2004.pdf
The prospective award will be administered in accordance with the Standard Provisions for Non-U.S. Nongovernmental Recipients. The set of mandatory standard provisions and required as applicable standard provisions for Non-U.S. nongovernmental recipients is accessible at the following website: http://www.usaid.gov/policy/ads/300/303mab.pdf.
Applicants under consideration for an award that have never received funding from USAID will be subject to a pre-award audit to determine fiscal responsibility, ensure adequacy of financial controls and establish an indirect cost rate. Eligible Kosovar organizations interested in submitting an application are encouraged to read this RFA thoroughly to understand the type of project sought and the application submission requirements and the evaluation process.
Issuance of this RFA does not constitute an award commitment on the part of the U.S. Government, nor does it commit the U.S. Government to pay for costs incurred in the preparation and submission of an application. In addition, final award of any resultant grant cannot be made until funds have been fully appropriated, allocated, and committed through internal USAID procedures. While it is anticipated that these procedures will be successfully completed, potential applicants are hereby notified of the requirements and conditions for award. Applications are submitted at the risk of the applicant. All preparation and submission costs are at the applicant's expense.
3
SUBMISSION OF APPLICATIONS
All organizations must follow the Application Instructions (see Annex A) when submitting their applications in response to this RFA. Applicants are requested to submit their applications, electronically, via e-mail, as an e-mail attachment, or in hardcopies. Applicants must submit their applications electronically (in MS Word or Adobe PDF format), via e-mail at: [email protected]
Hard copies of the applications must be delivered by 5:00 p.m. on Friday, July 27, 2012 to the USAID EROL offices at Str. Enver Maloku, No. 82, Sunny Hill, Pristina, Kosovo.
TECHNICAL PROPOSALS MUST BE IN ENGLISH
TECHNICAL PROPOSALS MUST NOT EXCEED 10 PAGES (EXCLUDING ANNEXES)
All applications must be clearly labeled as follows: USAID FORWARD – RFA #01-2012 on the envelope indicating the name of the organization responding to this RFA and the organization’s contact details.
All applications must be delivered to the EROL Program in Pristina (at the address or e-adress provided above). If applicants choose to submit only hardcopies, two original, signed applications are required for each application submission.
All applications received will be evaluated and reviewed for compliance with the RFA requirements (eligibility and selection criteria), the final selection will be determined by September 30, 2012, and implementation of grant project initiatives is expected to begin no later than October 22, 2012.
Organizations are strongly advised to examine these instructions, as well as all RFA requirements and schedules pertaining to the submission of Applications.
REQUEST FOR CLARIFICATIONS
Organizations may request clarification of this RFA pertaining to issues that address eligibility criteria, delivery of proposals, currency of proposal, technical proposal considerations, cost proposal and budget requirements, proposal evaluation and award as well as grant administration issues.
All requests for clarification must be submitted via email to [email protected].
Questions and requests for clarification must be submitted by 5:00 pm, July 11, 2012.
Answers to clarification requests will be published by July 18, 2012.
In order to receive the answers to clarification, please ensure your contact information has been sent to: [email protected]
CURRENCY OF PROPOSAL
The currency of all applications shall be US Dollars. Any application which does not conform to this
condition will be considered invalid.
BACKGROUND
The Republic of Kosovo declared its independence on February 17, 2008, and began its transition from a United Nations-administered area to a self-governance state. U.S. Government support for Kosovo’s transition to a fully functioning democracy, governed by the Rule of Law, has included support to the judiciary and other justice-sector institutions to implement legal reforms and establish strong institutional integrity and effectiveness, as well as support to civil society to promote the rule of law, advocate for improved governance, and promote transparency.
4
In March 2011, USAID initiated the Effective Rule of Law (EROL) Program in Kosovo. The aim of this four-year effort is to promote the independent and effective operation of the justice system in Kosovo. The Program is working to facilitate the strengthening of the courts, the Ministry of Justice, the Judicial Council and the Judicial Institute, as well as other justice sector institutions. Among other activities, EROL is providing technical assistance to enhance the Judicial Institute’s capacity for training judges, prosecutors and court administrators; strengthen the Judicial Council’s ability to fulfill its oversight and disciplinary functions; and help with the streamlining and modernization of the court system. In addition, EROL is working to increase public understanding of the justice system by working closely with local civil society organizations.
Civil Society in Kosovo has played an active role in advocating for improved Rule of Law and monitoring reform initiatives, many organizations have launched and carried out successful public awareness campaigns, legislative and public policy analysis, monitoring of reform efforts, and issue-oriented advocacy related to the justice system and the courts. Thanks to their activities, tangible improvements have been made in the administration of justice, as well as the legal framework and implementation of policies related to human rights, gender equality, violence against women, discrimination, equal access to justice, and criminal justice reform.
A range of public perception and court user surveys, as well as assessments of justice reform and the justice system have served to identify areas of public concern and to target needed reforms, and the resulting reports have underlined the need for continued reform and dialog between civil society and
justice institutions to identify problems and craft realistic solutions. For example, the UNDP’s Assessment Report on Access to Justice in Kosovo
1 highlights the importance of civil society organizations in
improving access to justice is their role in monitoring the justice institutions. Further the report recommends that civil society organizations and the media must be provided with capacity development initiatives to ensure their function as watchdog’s vis-à-vis access to justice and the performance of justice providers. The report concludes that there is a need for more engagement by the media and the civil society in supervising the justice system in Kosovo.
In response to support from the international community and in some instances input from civil society, the Government of Kosovo has also taken several steps to improve adherence to the Rule of Law and to enhance the effectiveness, transparency, and professionalism of the courts and other justice sector institutions. In 2011, The Office of the President established the President’s Anticorruption Council, the aim of which is to coordinate efforts of justice enforcement institutions in Kosovo to more effectively prevent and combat corruption as well as to identify and make synergies towards implementation on Kosovo national anti corruption strategy.
This RFA aims to accomplish two primary purposes:
1) To expand the circle of community groups and members of the public who are exposed to the court system in general and to the challenges and opportunities for improved functioning of the courts and delivery of justice in the courts at the local level; and.
2) To increase public awareness about the justice system so that citizens can more effectively participate in debate and proactively support efforts by justice institutions and civil society to enhance transparency, combat corruption, and ensure equal access to justice through the fair, transparent, and effective administration of the justice in Kosovo.
By educating citizens through an innovative public awareness initiative and providing sub-grants to groups around the country, USAID hopes to broaden the circle of people who both support strengthened rule of law through improved performance of the courts and understand how the court system works well enough to navigate the court system effectively and advocate for reform.
1 http://www.ks.undp.org/repository/docs/Eng_UNDP_Access_to_Justicereport.pdf
5
USAID FORWARD GOALS AND OBJECTIVES
Awards made through this Request for Applications are intended to be funded as part of USAID FORWARD, a USAID initiative aimed at changing the way that USAID does business—with new partnerships, an emphasis on innovation and increased focus on results. USAID FORWARD is a comprehensive package of reforms in seven key areas,
2 including Implementation and Procurement
Reform, which is aimed at contracting and providing grants to more and varied local partners and creating true partnerships with these contractors and grantees. USAID is streamlining its processes, increasing the use of small businesses, building metrics into its implementation agreements to achieve capacity building objectives and using host country systems where it makes sense.
This program is designed to contribute specifically to USAID Forward’s objective of strengthening partner country capacity to improve aid effectiveness and sustainability by increasing use of reliable partner country systems and institutions to provide support to partner countries. Specifically, the program will contribute to USAID FORWARD’s Objective 2 by strengthening local civil society and private sector capacity to improve aid effectiveness and sustainability, by working closely with implementing partners on capacity building and local grant and contract allocations.
RELATIONSHIP TO USAID STRATEGIC PROGRAMS
This Request for Applications is designed to support initiatives that will contribute to USAID’s Governing Justice and Democratically Program Objective and specifically to Program Area 2.1 Rule of Law and Human Rights, Program Element 2.1.2 Judicial Independence, and Program Element 2.1.3 Justice System. The initiatives envisioned under this activity will also directly contribute to USAID/Kosovo Intermediate Result 3.3 Improved Delivery of Justice through Rule of Law, Sub-intermediate Result 3.1 Increased Knowledge of Rule of Law, Sub-intermediate Result 3.2 Increased Independence and Accountability of the Judicial System, and Sub-intermediate Result 3.3 More Effective Operation of Justice System, as defined in the USAID Kosovo Strategy 2010-2014, accessible at the following website:
http://pdf.usaid.gov/pdf_docs/PDACQ298.pdf
Recipients of awards made through this RFA will receive technical assistance and training support from the USAID/Kosovo Effective Rule of Law Program on program and financial management of grants and sub-grants, tools related to the Activity Areas, identified in this RFA, and establishment of metrics and monitoring of project progress and results in the aforementioned strategic objectives and expected results.
IR2: Improved delivery of justice through rule of law IR3: Mechanisms for citizens to represent their
interests and hold government accountable
Sub-IR 2.1 Increased capacity of justice sector professionals
Sub-IR 3.1
Increased professionalism of citizen groups and journalists to monitor and influence government
Sub-IR 2.2 Increased independence and accountability of judicial system
Sub-IR 2.3 More effective operation of the justice system
2 For a summary of all USAID FORWARD reform areas, please see: http://forward.usaid.gov/about/overview .
6
PROGRAM NARRATIVE
ACTIVITY AREA (1): SOLICITATION, AWARD AND MANAGEMENT OF SUB-GRANTS TO LOCAL CSOs TO CARRY OUT COURT MONITORING AND ANTICORRUPTION INITIATIVES
Background: The average member of the public in Kosovo has little formal knowledge about the courts and is therefore unable to hold the court system accountable for effective administration of justice or to recognize deficiencies or improvements in the delivery of justice.
Court monitoring can be used by a variety of organizations for a broad range of purposes from, inter alia, protection of victims’ or defendants’ rights during court proceedings, advocacy on behalf of groups affected by the justice system, court community outreach, public awareness of the court system, research on the courts and justice system to identification of operational or procedural weaknesses, policy analysis, performance management, and even behavioral change among those being monitored. In Kosovo and around the world, court monitoring exposes citizens to court operations, laws and procedures, strengths and weaknesses in the delivery of justice, and the true nature of justice delivery.
Under Activity Area (1), USAID intends but is not limited to provide funding to one Primary Recipient organization that will as act as an intermediary umbrella grants manager, managing small multiple sub-grant recipients. These sub-grants are intended to support of community-based court monitoring that enhances opportunities for individuals to visit, learn about, engage with courts, and provide valuable and credible feedback to court and judicial leadership. By increasing court monitoring through small sub-grants to community-based CSOs, educational institutions, and community groups, USAID-funded initiatives will expand the number of individuals, who are exposed to the courts, demonstrate the positive role that average citizens can play in improving the courts, and enhance court-community relations.
Objectives: The objectives of the grant and sub-grant initiatives to be carried under Activity Area (1) are to expand the community of organizations and individuals carrying out court monitoring initiatives in Kosovo, as well as the nature, uses, and tools used to monitor initiatives in the courts with the overall goal of exposing more people to the court system and creating avenues for citizens to promote justice-sector reforms and improved court performance. This purpose will be accomplished by the recipient through sub-grants to local CSOs to carry out court monitoring projects, including but not limited to court monitoring aimed at enhancing court-community relations.
Anticipated Results: By the completion of initiatives funded through a USAID award under this Activity Area, the grantee will have provided sub-grant support for up to 15 organizations, of which no fewer than 80% will be located outside of Pristina, for court monitoring initiatives and these sub-grantees will
Improve their capacity to monitor the courts,
Increase the overall number of community members engaged in court monitoring initiatives,
Use the information gathered through court monitoring to recommend improvements or advocate change; and
Increase knowledge in their local communities about their local courts.
Illustrative Initiatives: USAID envisions that the successful applicant will design, implement and manage, a small grant program aimed at generating innovative court monitoring initiatives at the local level.
Illustrative sub-grant eligibility criteria:
Schools, advocacy groups, business associations and other community organizations
“Innovative” activity
o Expansion of existing court monitoring initiatives to other courts o Monitoring of a new kind of proceeding, case, or area of court operations
7
o Monitoring used as a tool to accomplish a different purpose than previously (e.g.: protection of victims of domestic violence through monitoring of proceedings for compliance with procedural and substantive legal norms)
Illustrative sub-grant selection criteria:
# of individuals involved in monitoring initiatives
# of volunteer monitors
# of individuals exposed to monitoring results
Strategic importance of judiciary function(s) and/or goals and objectives of monitoring to USAID and grantee program objectives, and the project’s expected impact on these goals and objectives
Strategic importance of geographic region and target audiences that will participate in court monitoring initiatives
The selected organization will receive ongoing coaching and support by USAID/EROL to develop or refine sub-granting program design and implementation and to develop and deliver training and technical assistance to grantees on court monitoring techniques and project implementation; project and financial management; substantive and procedural laws governing court monitoring; and ethics and professionalism for court monitoring organizations and monitor. Applicants should provide an assessment of its own and expected sub-grantees’ training and technical assistance needs and recommend a realistic timeline for provision of training and technical assistance by USAID/EROL during the grant period.
Taking into account USAID’s goal to increase the number of organizations and individuals, as well as expand the number of courts, in which citizen and/or community-based court monitoring is taking place, Applicants should estimate and provide rationale for the average size and number of sub-grants to be made with USAID funding. In no case should the maximum value of an individual sub-grant exceed $10,000. Based on previous similar experience USAID envisions a range from $3,000 up to $10,000 per sub-grant.
ACTIVITY AREA (2): CONDUCTING PUBLIC AWARENESS AND OUTREACH AIMED AT COMBATING CORRUPTION AND INCREASING TRANSPARENCY AND FAIRNESS AMONG JUSTICE INSTITUTIONS IN KOSOVO
Background: Public perception of corrupt or inefficient courts not only undermines public confidence in government but also diminishes access to justice among citizens, who fear that attempts to protect their rights will result in more harm rather than a just solution. Unfortunately, public perception is influenced by a number of factors, including fictional accounts of the justice system on television, and media reports – whether or not they accurately depict the real situation. Public perception of the courts nearly always lags actual improvements because typically only a small portion of the public uses the courts. And, negative perceptions will persist among the broader population of citizens, who lack direct experience with the courts, unless they have a reliable source of information.
While there is extensive coverage of the justice system on news and talk shows, and several popular foreign television programs about the justice system are aired at primetime, the public in Kosovo lacks basic understanding of the relative roles of judges, prosecutors, advocates, court staff, and others within the court system. This makes it extremely difficult to effectively convey useful or understandable information about reforms to citizens and makes it nearly impossible to engage the average citizen in supporting or even discussing reforms. It also makes it nearly impossible for the courts to communicate effectively with the public about high-profile or controversial cases.
The U.S. Government - through USAID and the U.S. Department of State - has funded a range of NGO initiatives aimed at educating the public about corruption and inefficiency, demanding justice, and advocating for increased public oversight of the court system. The general public appears to have reached a consensus that corruption and inefficiency in the justice system must be rooted out, and through the past Justice Support Program (JSP) and EROL, USAID has began to improve both
8
transparency and ethics in the courts and prosecutorial systems. However, the public continues to struggle to understand the role that individuals play in contributing to corruption or the logic of ethics when it comes to interaction with government employees. Moreover, there is a growing perception in Kosovo that no transaction or procedure can be accomplished without the use of personal ties or undue influence.
Demands for improved justice will go unheard until citizens are able to identify real deficiencies in transparency and effectiveness and to recognize when those improvements are actually achieved. Specifically, the public and key influencers in society must understand first how the justice system works, including the roles and responsibilities of institutions and actors; and secondly understand how the behavior of individuals within the system or between members of the public and court staff, judges, prosecutors or advocates can undermine fairness, transparency, and efficiency. The public needs help to understand the complex nature of the roles of each justice-sector actor and the sometimes counter-intuitive logic of ethics and conduct as it relates both to justice system personnel and parties or others in contact with the justice system. In other words, in order to combat corruption in the justice system the public must understand and be able to identify not only the standards governing justice officials, but also applicable standards for their own and their representatives’ behavior and the role that their own behavior plays in increasing or decreasing opportunities for corruption.
Under Activity Area (2), USAID intends but is not limited to provide funding to one Primary Recipient organization to pilot an innovative Nationwide Public Awareness Initiative aimed at educating the public about the distinct roles and responsibilities of justice-sector actors, including judges, prosecutors, advocates, and court staff. An educated public that understands the roles and responsibilities of court system professionals (judges, prosecutors, advocates, and court staff) will be better able to navigate the legal system, understand and respond to news reports and reform initiatives, and identify not only abuse and ineffective performance but also positive changes in the justice system. A constructive public awareness campaign will reduce apathy and increase the public’s engagement with the courts and court reforms.
Objectives: The objectives of the initiatives to be carried under Activity Area (2) are to enhance citizens’ understanding of the court system and the roles played by individual professionals in the court system in order to increase constructive public engagement in the justice system and rule of law reforms.
Anticipated Results: By the end of the project period, the recipient organization will have:
Measurably increased public awareness and understanding of the roles and responsibilities of judges, prosecutors, advocates and court staff among target audiences.
Increased public understanding of roles and responsibilities that allows citizens to formulate opinions about current court-related events and proposed court-related reforms.
Improved public understanding of the roles and responsibilities of justice-sector actors and their obligation to act in accordance with basic ethical standards that will serve as a foundation for future activities aimed at changing attitudes and behaviors.
Increased public understanding of ethical interaction with justice-sector professionals that will serve as a foundation for future activities aimed at changing attitudes and behaviors.
Illustrative Initiatives: USAID seeks innovative public awareness initiatives, customized to meet the unique needs and cultural norms of Kosovo society. Initiatives should seek to educate and empower citizens to understand and respond to rule of law and justice-sector reforms as well as day-to-day events in the justice system. Applicants should propose initiatives aimed at maximizing the reach (number and location) of information and achieving a common denominator of understanding among the public of how the court system works and what roles individuals in the court system play. Applicants should not feel confined by illustrative examples provided below and USAID strongly encourages all applicants to propose fresh, new and innovative initiatives when responding to this RFA.
Television programs and broadcast media campaigns
Youth campaigns
New media and social networking
9
Print media campaigns, newspaper Q&A and editorial columns
MONITORING AND EVALUATION OF USAID-FUNDED PROJECT INITIATIVES
Recipients are responsible for following their approved implementation and monitoring and evaluation plans throughout the life of their award. These plans should provide the basis for Recipient’s reporting to USAID during the life of the award. USAID will utilize these plans (including the approved budget plan) to monitor, assess, and evaluate a Recipient’s program and program operations. USAID understands the difficult operating environment in Kosovo, and if necessary, will work with a Recipient to revise plans if mid-program corrections and adjustments are required. However, it is Recipient’s responsibility to inform USAID/Kosovo if implementation issues arise which may affect approved plans.
Additionally, because of the pilot nature of initiatives funded through this RFA the Recipient(s) will be subject to a USAID program evaluation aimed at determining whether similar initiatives should be funded by USAID in the future, and whether such initiatives should be funded through direct awards with USAID. USAID through EROL will work with each Recipient to develop quantitative and qualitative indicators to support this ancillary evaluation activity. In addition to any evaluation conducted for the purpose of assessing the effectiveness of initiatives carried out with grant funds, USAID will conduct an independent evaluation of each Recipient’s Initiatives for the purpose of informing further development of USAID FORWARD activities in Kosovo.
SPECIAL PROVISIONS
ACCOUNTABILITY
The Recipient will be fully responsible for all funds disbursed under the award. Funds will be US Dollar denominated. All grant and sub-grant expenditures may be subject to USAID/Kosovo financial review.
The Recipient will be responsible for all financial reporting, end-use verification, and sub-grant management. Sub-awards must be submitted to USAID for prior written approval.
The Recipient will assist sub-awardees to develop adequate accounting procedures.
LENGTH OF GRANTS
Grant for initiatives under Activity Area (1) will be for a maximum of twelve (12) months from the award’s
start date.
Grant for initiatives under Activity Area (2) will be for a maximum of twelve (12) months from the award’s
start date.
Program performance, available funding, competing program priorities, and local context will determine whether a grant, at USAID’s discretion, can be extended.
PROJECT STAFF QUALIFICATIONS
Applicants should identify and explain the rational for the level of effort (% of total working time or number of days) to be provided for each project-related position, including any labor that will be provided through overhead or indirect costs. If recommended minimum requirements are not met Applicants should explain how proposed staffing will effectively support accomplishment of project goals, objectives, activities, and expected results.
USAID MANAGEMENT, TRAINING AND TECHNICAL ASSISTANCE
USAID management will be provided directly by the USAID/Kosovo. USAID has contracted with Checchi & Company Consulting, Inc., the implementer of the USAID Effective Rule of Law Program, to carry out
10
the solicitation and technical review of grant proposals. USAID/EROL will provide post-award training and technical assistance to Recipients and sub-Recipients.
TIMING
Applicants must be prepared to commence grant-funded activities within 15 days of award, and no later than October 22, 2012.
ELIGIBILITY CRITERIA FOR PRIME GRANT APPLICANTS
Activity Area (1)
In order to ensure that Recipients possess adequate capacity to carry out the activities envisioned under this Request for Applications, the following eligibility criteria will be used to determine applicants’ eligibility to receive an award. Only complete proposals, submitted by eligible organizations, will be considered for award. The following eligibility criteria must be met by the date, upon which a proposal is submitted under the Request for Applications:
Valid organizational registration as a legal entity in Kosovo with the Department of Registration and Liaison of NGOs within the Kosovo Ministry of Public Administration;
Proven organizational experience soliciting, awarding, and overseeing the implementation and financial management of sub-grants totaling at least $100,000;
Complete application, including all required content, annexes, and forms;
Compliance with lobbying and terrorist financing acts;
Good standing with fiscal and taxation authorities in Kosovo
The application should be directly responsive to the terms, conditions, guidelines and provisions of this Request for Applications to be assured of consideration. Applications not conforming to this Request for Applications may be categorized as not meeting the minimum requirements of the RFA, thereby eliminating them from further consideration.
Activity Area (2)
In order to ensure that Recipients possess adequate capacity to carry out the activities envisioned under this Request for Applications, the following eligibility criteria will be used to determine applicants’ e ligibility to receive an award. Only complete proposals, submitted by eligible organizations, will be considered for award. The following eligibility criteria must be met by the date, upon which a proposal is submitted under the Request for Applications:
Valid organizational registration as a legal entity in Kosovo with the Department of Registration and Liaison of NGOs within the Kosovo Ministry of Public Administration;
At least two years of experience implementing public awareness and/or outreach programs;
Complete application, including all required content, annexes, and forms;
Compliance with lobbying and terrorist financing acts;
Good standing with fiscal and taxation authorities in Kosovo
The application should be directly responsive to the terms, conditions, guidelines and provisions of this Request for Applications to be assured of consideration. Applications not conforming to this Request for Applications may be categorized as not meeting the minimum requirements of the RFA, thereby eliminating them from further consideration.
11
SELECTION CRITERIA
OVERVIEW AND GENERAL CRITERIA
The criteria presented below have been tailored to the requirements of this Request for Applications. Applicants should note that these criteria serve to (a) identify the significant matters which Applicants should address in their applications, and (b) set the standard against which all applications will be evaluated. To facilitate the review of applications, Applicants should address all selection criteria in the narrative sections of their applications – preferably in the same order as listed below.
While technical concerns are paramount, cost and USAID budget limitations will be considered as a factor for award.
To the extent necessary (if award is made based on initial applications), negotiations will be conducted with all Applicants whose application, after discussion and negotiation, has a reasonable chance of being selected for award.
Awards will be made to responsible Applicants whose applications offer the greatest value, cost, and other factors considered. The organizations selected for award must undergo a pre-award assessment and be determined to meet the fiscal responsibility, a determination required by USAID regulations prior to being awarded a grant.
The Technical Proposal will be the most important item of consideration in the selection process. It should be specific, complete, and presented concisely. Applicants should review all information in this RFA in depth prior to preparing applications, especially the Technical Proposal, eligibility, and evaluation criteria.
USAID will evaluate each Applicant’s rationale for the proposed strategy and selection of the target audience, the extent to which the implementation plan is realistic, and the likelihood that the project will contribute to the goals and objectives outlined in this RFA. Applicants should take into account evaluation criteria, outlined below under Selection Criteria when completing applications.
The Technical Proposal must set forth in detail the conceptual approach, methodology, and techniques for accomplishment of the stated program objectives. It also must define results and benchmarks for monitoring progress in achieving the results.
SELECTION CRITERIA
The following selection criteria will be used to evaluate all proposals.
TECHNICAL EVALUATION CRITERIA FOR ACTIVITY (1)
Strategic Fit (20 points)
Contribution toward USAID Rule of Law activities designed to improve delivery of justice
Description of sustainability strategy and potential for success
Anticipated impact of proposed initiative
Strategic geographic coverage of initiative
Technical Approach (20 points)
Clear definition of problem statement
Clear definition of goals, objectives and results
Innovative approach
Description of a realistic implementation plan with specific deliverables
A comprehensive and practical monitoring and evaluation strategy
12
Organizational Capacity to manage sub-grants to local organizations (20 points)
Proposed personnel skills and experience to implement the proposed project
Extent to which the applicant organization has demonstrated leadership ability within their sector of expertise and the capacity to provide support and services to other NGOs/citizens.
Past Performance (20 points)
Successful past performance record implementing similar initiatives
Gender considerations (5 points)
Focus on women participants or beneficiaries and its impact
Non-majority considerations (5 points)
Focus on non-majority participants or beneficiaries and its impact
TECHNICAL EVALUATION CRITERIA FOR ACTIVITY (2)
Strategic Fit (20 points)
Contribution toward USAID Rule of Law activities designed to improve delivery of justice
Description of sustainability strategy and potential for success
Anticipated impact of proposed initiative
Strategic geographic coverage of initiative
Technical Approach (40 points)
Clear definition of problem statement
Clear definition of goals, objectives and results
Innovative approach
Description of a realistic implementation plan with specific deliverables
A comprehensive and practical monitoring and evaluation strategy
Organizational Capacity (10 points)
Proposed personnel possess relevant skills and experience to implement the proposed project
Extent to which the applicant organization has demonstrated leadership ability within their sector of expertise.
Past Performance (10 points)
Successful past performance record implementing similar initiatives
Gender considerations (5 points)
Focus on women participants or beneficiaries and its impact
Non-majority considerations (5 points)
Focus on non-majority participants or beneficiaries and its impact
COST EVALUATION CRITERIA FOR BOTH ACTIVITY AREAS (10 POINTS) The cost proposal component of the application will be reviewed to determine whether the costs reflect the Applicant's understanding of the requirements, and whether the costs are consistent with the Technical Proposal.
The cost analysis is intended to meet the three goals outlined below. (1) Verify the Applicant's understanding of the requirement. (2) Assess the degree to which the cost proposal realistically reflects the approaches in the
Technical Proposal. (3) Assess the degree to which the costs included in the cost proposal accurately represent the
work effort included in the Technical Proposal.
13
(4) Assess cost effectiveness, the degree to which the cost proposal is reasonable, allowable and allocable.
14
ANNEX A
APPLICATION FORM
TECHNICAL PROPOSALS MUST NOT EXCEED 10 PAGES
(EXCLUDING ANNEXES AND COVER LETTER)
COVER LETTER AND TECHNICAL PROPOSAL MUST BE SUBMITTED IN ENGLISH
A. COVER LETTER
All proposals shall contain a cover letter with the following information: 1. CONTACT INFORMATION
Full legal name of organization (as per registration certificate)
Full name of applicant (in English)
Project title
Project duration
Project partners (if applicable)
Address of the organization
Office telephone number
E-mail address
Web page
Contact person, title
Contact persons’ e-mail address
Contact persons’ telephone no.
2. ORGANIZATIONAL INFORMATION RELATED TO ELIGIBILITY
Date of registration and registration number:
Attached is a copy of your organization’s formal registration as evidence of valid legal status:
3. CERTIFICATION
Cover letters must contain the following certification
15
“I hereby certify that the information contained herein and attached hereto is complete and accurate to the best of my knowledge” Also include the following information:
Head of Organization
Signature (if submitted in hard copy)
Date and place
B. TECHNICAL PROPOSAL FORMAT
1. EXECUTIVE SUMMARY (1 PAGE)
Briefly summarize as clearly and concisely as possible the key components of your proposal including:
Statement of the problem/need to be addressed by your proposal;
Description of the project’s goals and objectives;
Description of major activities to be implemented;
Funding requirements; and
Description of program sustainability.
2. STATEMENT OF NEED/SITUATION ANALYSIS (1 PAGE)
Describe the problem or need that will be addressed through your project proposal. Include information
about how you became aware of the problem, the extent of the problem/need; who are the people
affected, a summary of any research, studies, etc., already conducted that provide evidence of the need;
what, if anything, has been done by your organization or others to address the problem; why this is an
important issue that needs resolution (what will happen if the problem/need is not addressed).
3. PROJECT DESCRIPTION/TECHNICAL APPROACH (6 PAGES)
3.1. Project Concept
In this section, please address the following:
a. Goal and Objectives: Please name one overall project goal and list the three main project level
objectives to be achieved? Objectives should be clear, specific, measurable, and achievable
within the project time frame.
b. Expected Results: What are the concrete results/changes, both quantitative and qualitative that
this project will have on the situation you are trying to change? Expected results should directly
correspond to specific objectives, project activities and timeline. They should be concrete,
practical and achievable.
c. Assumptions and Risks: What other considerations, which are outside your control, must take place (or not take place) in order for the project to succeed? Identify any potential constraints that could impact project progress.
d. Partnerships (if any): Explain the role of partner organizations in your project. Who are your
partners and collaborators in the project and why have you selected them? Explain how they will
16
be involved in project design and implementation. Please include in the proposal attachment
section any letters of support from partners or other groups with whom you will be forming
strategic alliances.
3.2. Project Implementation
Describe how the project will be implemented. What are the specific actions/activities that you will take to
achieve expected results and program objectives? What are the deliverables? Give a description of the
main phases of the project and the key activities that will be undertaken. Answer the questions: what will
be done where it will be done, when it will be done, and who will be responsible? Provide enough detail to
demonstrate that you have clearly thought out what are the best type of activities to achieve the results,
the logical sequence of implementation, and a realistic timeframe.
3.3. Project Timeline
Using the sample format shown below, provide a timetable of activities by month, showing for each
activity who is the responsible person:
Activity 1 2 3 4 5 6 7 8 9 Person Responsible
Activity 1 Name 1
Activity 2 Name 2
Activity 3 Name 3
3.4. Monitoring and Evaluation Plan A monitoring and evaluation strategy (M&E Strategy) must be submitted with the full proposal. The M&E Strategy will be used to measure progress in the implementation of the project. The organization shall maintain open and effective communication with the EROL Program to ensure that data collection and analysis activities are consistent with the scope of work and that potential problems are addressed in a timely manner.
Describe how you plan to monitor and evaluate your progress in attaining desired programs results and
the effectiveness of project activities in meeting project objectives. State the key indicators that will be
used to:
(a) Determine whether the project is being implemented as planned, how will the data be collected? How
often will monitoring and evaluation take place and who will be responsible for data collection, evaluation,
and preparation of report
(b) Assess and evaluate the effectiveness and impact of project activities?
3.5. Sustainability Plan
Describe how the project activities, results, or benefits will be continued or sustained beyond the end of
the grant funding. Describe the possibilities for replication of the project.
17
4. PROJECT PERSONNEL AND ORGANIZATIONAL CAPACITY (2 PAGES) Describe your staffing plan and project personnel, their role on this project, and relevant experience to manage/implement this project. Describe the extent to which your organization has demonstrated leadership in the area of expertise, and has a successful past performance record implementing similar initiatives. Applicants may choose to present the curriculum vitae (CVs) of key individuals and past performance matrices as annexes to the full proposal. Applicants shall also include a description of the nature of any outside advisors or consultants for project implementation, training or other assistance that will be necessary for the success of the proposed activities and why they are required. Important Note: The Technical Application must not exceed 10 pages in length and shall be written in English, and printed on standard A4 letter size paper. Applicant must use 12 Point Times New Roman Font size, single spaced, with 1-inch margins on both right and left. In hardcopies, the front and backsides of a single sheet are counted as two (2) pages. Pages must be sequentially numbered with the page number on each page. Any pages that exceed the page limitation will not be furnished to the Technical Evaluation Committee.
C. COST PROPOSAL FORMAT
1. DETAILED BUDGET, BUDGET NARRATIVE AND BUDGET PROJECTION
The USAID/EROL Program will carefully review the assumptions and associated costs related to your
proposed activity so please take time to prepare a thorough and complete budget (see sample format
attached). A well-prepared budget should clearly support and complement the proposed technical
approach. Sufficient detail should be provided so that someone who is not familiar with your organization
can easily understands how you arrived at the budgeted amounts. The budget should show sufficient
amount of detail so that it is an accurate reflection of your real financial needs. It should also be clear to
those reviewing your proposal how budget amounts were determined and how all expenditures are
needed to achieve expected results. Please use the sample budget format attached to this application.
Proposals will be judged in terms of cost-effectiveness so be careful not to inflate your costs or to include
items that are not necessary for the success of your project. If possible, please use the general and
detailed categories listed below. All costs should be budgeted in U.S. currency. All applicants are required
to provide a cost-sharing contribution in accordance with the terms and conditions of the Request for
Application. Cost sharing may be in the form of cash, in-kind contributions, donations, monies received
from fund-raising activities, volunteer time, or funding from other sources.
Please include a budget narrative (1-2 pages) to provide any further explanation concerning unit costs or
any other appropriate justification in support of your financial proposal. The budget narrative should
describe the nature of individual cost items proposed and include a description of the source of that
particular cost estimate (historical experience, quotes, etc.).
18
2. COST PROPOSAL INDICATORS
When assessing an applicant’s cost proposal, the following indicators will be used:
• Realistic Approach and Completeness—Special attention will be paid to identifying possible
overestimation or underestimation of the budget and to accuracy. The justification must clearly explain
how you have reached specific total figures such as number of staff employed by the program,
percentage of their time devoted to the program, number of business trips, need for purchase of
equipment, fee rates of consultants and consultants’ days of level of effort, etc.
• Clear reflection of program activities—The budget should reflect actual expenses of the planned
activities. They must be clearly stated and detailed in the justification.
• Cost-effectiveness—Program activities should be based on practical and cost-effective
approaches when planning program expenses. USAID/EROL is interested in programs that produce
high impact at a reasonable cost. While developing and justifying the budget you must show that
your program is proposing the most effective solutions for achieving significant positive results.
• Reasonable ratio between administrative and program costs— USAID/EROL will give
preference to those proposals which show a low ratio between administrative and program costs.
High overhead expenses substantially lower the cost effectiveness of programs.
19
BUDGET FORMAT
Applicants must provide a detailed activity budget using the format below. The document is available in
MS Excel, if desired. Please review the RFA to ensure compliance with all proposal requirements and to
gain an understanding of the budget categories.
Category Description Budget
Personel -
Materials and Supplies 0
Travel 0
Communication 0
Other direct Costs 0
Program costs 0
Total expenses
-
Budget
20
ANNEX B
CERTIFICATIONS
REQUIRED CERTIFICATIONS PACKAGE USAID requires that recipients sign the following certifications as a prerequisite to receiving a grant from a U.S. Government source. This applies to organizations receiving grants from the USAID’s Effective Rule of Law (EROL) program. CERTIFICATION REGARDING TERRORIST FINANCING By signing and submitting this application, the prospective recipient provides the certification set out below:
1. The Recipient, to the best of its current knowledge, did not provide, within the previous ten years, and will take all reasonable steps to ensure that it does not and will not knowingly provide, material support or resources to any individual or entity that commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated, or participated in terrorist acts, as that term is defined in paragraph 5.
2. The following steps may enable the Recipient to comply with its obligations. Before providing any material support or resources to an individual or entity, the Recipient will verify that the individual or entity does not (i) appear on the master list of Specially Designated Nationals and Blocked Persons, which list is maintained by the U.S. Treasury’s Office of Foreign Assets Control (OFAC) and is available online at OFAC’s website: http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf or (ii) is not included in any supplementary information concerning prohibited individuals or entities that may be provided by USAID to the Recipient.
3. Before providing any material support or resources to an individual or entity, the Recipient also will verify that the individual or entity has not been designated by the United Nations Security (UNSC) sanctions committee established under UNSC Resolution 1267 (1999) (the “1267 Committee”) [individuals and entities linked to the Taliban, Osama bin Laden, or the Al Qaeda Organization]. To determine whether there has been a published designation of an individual or entity by the 1267 Committee, the Recipient should refer to the consolidated list available online at the Committee’s website: http://www.un.org/sc/committees/1267/consolist.shtml.
4. Before providing any material support or resources to an individual or entity, the Recipient will consider all information about that individual or entity of which it is aware and all public information that is reasonably available to it or of which it should be aware. The Recipient also will implement reasonable monitoring and oversight procedures to safeguard against assistance being diverted to support terrorist activity.
5. For purposes of this certification:
21
“Material support and resources” means currency or monetary instruments or financial securities, financial services, lodging, training, expert advice or assistance, safe-houses, false documentation or identification, communications equipment, facilities, weapons, lethal substances, explosives, personnel, transportation, and other physical assets, except medicine or religious materials. “Terrorist act” means-(i) an act prohibited pursuant to one of the 12 United Nations Conventions and Protocols related to terrorism (see UN terrorism conventions Internet site: Annex 317 of 18http://untreaty.un.org/English/Terrorism.asp); or (ii) an act of premeditated, politically motivated violence perpetrated against noncombatant targets by subnational groups or clandestine agents; or (iii) any other act intended to cause death or serious bodily injury to a civilian, or to any other person not taking an active part in hostilities in a situation of armed conflict, when the purpose of such act, by its nature or context, is to intimidate a population, or to compel a government or an international organization to do or to abstain from doing any act.“Entity” means a partnership, association, corporation, or other organization, group or subgroup. References in this Certification to the provision of material support and resources shall not be deemed to include the furnishing of USAID funds or USAID-financed commodities to the ultimate beneficiaries of USAID assistance, such as recipients of food, medical care, microenterprise loans, shelter, etc., unless the Recipient has reason to believe that one or more of these beneficiaries commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated or participated in terrorist acts. The Recipient’s obligations under paragraph 1 are not applicable to the procurement of goods and/or services by the Recipient that are acquired in the ordinary course of business through contract or purchase, e.g., utilities, rents, office supplies, gasoline, etc., unless the Recipient has reason to believe that a vendor or supplier of such goods and services commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated or participated in terrorist acts. This Certification is an express term and condition of any agreement issued as a result of this application, and any violation of it shall be grounds for unilateral termination of the agreement by USAID prior to the end of its term. APPLICANT: Name: ________________________ Signature: __________________ Title: ________________________ Date: ____________________
22
CERTIFICATION REGARDING LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal (United States Government) appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all sub awards at all tiers (including subcontracts, sub grants, and contracts under grants, loans, and cooperative agreements) and that all sub recipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Title: _______________________________ Date: _____________________ Name: _______________________________ Signature: ________________
23
ANNEX C
CONTRACTING AND COMPLIANCE CLAUSES
RIGHTS OF THE USAID EROL PROGRAM USAID reserves the right to reject any proposal for reasons mentioned in this RFA, and, unless otherwise specified by the USAID Program or by the Organization, to accept any item in the Proposal. USAID reserves the right to reject any Proposal received from an Organization who has previously failed to perform properly or complete grants/contracts on time, or a proposal received from an Organization who, in the opinion of the USAID Forward Program, is not in a position to perform the scope of work. This RFA, along with any Proposal thereto, shall be considered the property of USAID and the proposals will not be returned to their originators. In submitting a Proposal, the Organization agrees to accept the decision of USAID as to whether the Proposal meets the requirements stated in this RFA. USAID reserves the right to:
Request clarification and/or additional supporting or supplementary data from the Organization;
Arrange interviews with the proposed Organization;
Reject any or all proposals submitted;
Accept any proposal in whole or in part; and
Negotiate with the most favorable organizations. USAID/Kosovo shall not be held responsible for any costs incurred by the organizations in the preparation of their Application in response to this RFA.
GRANT AGREEMENT TERMS AND CONDITIONS
Pursuant to the resulting Grant Agreement, the Grantee shall carry out the activities specified in the
Proposal. The resulting Grant Agreement will define all applicable authorities related to this requirement
and the criteria for fulfillment of the Grant Agreement.
PERIOD OF PERFORMANCE Projects to be funded under this RFA should be implemented for a minimum of three months and a maximum of one year, with the possibility of extending the projects based on availability of funds and performance. COST PROPOSAL AND BUDGET REQUIREMENTS
GRANT SIZE AND LIMITATIONS The USAID anticipates funding grant projects in the range of US $100,000 to $150,000 (or equivalent of that amount in Euros). The total estimated amount available for this RFA is US $250,000. Funding for internal capacity building activities in general management practices, as well as funding for international travel are generally not eligible for grant financing. Administrative costs and salaries directly related to the proposed project are eligible for funding; however, such costs should not exceed 30% of the total amount requested.
24
Grant funds may be used to cover operational or administrative costs of an Organization, such as salaries, honoraria, consulting fees, stipends, travel and per diem, data collection and analysis, communications, document preparation, workshops, equipment, and other costs as approved by USAID. Grant funds provided through this RFA cannot be used to engage in any of the following activities:
Commercial or business ventures;
Religious activities;
Supporting violence or violation of the law;
Partisan political activity;
Support for police or military activities or equipment;
Support for abortion services or equipment;
Promotion, support or advocacy of the legalization or practice of prostitution; and
Provision of resources and/or support to individuals and organizations associated with terrorism.
PROJECTED GRANT EXPENDITURE SCHEDULE Please present a budget projection of monthly expenditures containing the anticipated costs for the first three months of the grant period. These expenditures should be based on real budget figures and represent the Organization’s best effort to estimate actual costs. The projection will be used to define the grant funding mechanism and payment schedule. NEGOTIATIONS AND GRANT AWARD If the above mentioned evaluation merits it, the Technical Evaluation Panel (TEC) will recommend the Application for preliminary award approval. The committee will consider the recommendation, together with all supporting documents, and either approve or not approve the Application. If the Application is not approved by the Technical Evaluation Panel (TEC), it will be returned to the Applicant with a letter specifying reasons why. The Technical Evaluation Panel (TEC) may consider a preliminary approval of an Application contingent on the adaptation to any necessary technical or financial changes to be conveyed to the Organization by USAID prior to a final determination of an award. Upon preliminary approval of the grant award, USAID will invite the Organization in for negotiations. If changes are decided on by the Grants Selection Committee, the Organization will be instructed to revise the final version of the grant before the award. Also, at this time, the USAID designated staff may choose to audit the Organization to ensure the proper financial and administrative systems are in place if deemed necessary.
USAID APPROVAL AND GRANT AGREEMENT
The recommendation or selection of an Application in accordance with established procedures does not guarantee an award. All applicants must demonstrate that they possess, or have the ability to obtain, the necessary management competence to practice mutually agreed upon methods of accountability for funds and other assets provided.
After financial management and responsibility requirements have been satisfied, final negotiations completed, the final proposal and final budget are submitted to USAID as part of the request for approval. Upon USAID’s approval, the USAID’s authorized representative, sign the grant agreement, making it valid. If USAID does not approve the preliminary grant award, the Applicant will be informed by letter specifying reasons why.
The USAID designated staff will prepare a specific grant agreement for each Organization in accordance with the appropriate format for the type of grant agreement approved. All grant agreements must include a program description that identifies the goals and objectives of the grant project, the specific activities to be carried out, and the measurable results to be achieved.
25
At minimum, the components for the various types of grant agreements include elements outlined successfully in the grant application. The grant agreement will provide that in recognition of the paramount interest of the United States and USAID in grant-making, the parties agree that USAID may, in its sole discretion, supersede any decision, act or omission taken by the USAID Program in respect of any grant made by it, or proposed to be made by it. Notwithstanding any other provision of the grant agreement, USAID retains the right, at all times through the Contracting Officer, to (1) dictate a different decision with respect to the award or administration of any grant; (2) rectify an omission by the USAID Program with respect to the award or administration of any grant; (3) take over the administration of any grant awarded; and/or (4) terminate, in whole or in part, the USAID Program’s authorities under the agreement.
GRANTS ADMINISTRATION
Award administration encompasses all dealings between USAID officials and the recipient from the time the award is made until the end of the support. The specific nature and extent of administration will vary from award to award. It can range from reviewing and analyzing performance reports or performing site visits to more technically developed involvement for high-risk recipients.
Upon notification of grant award, all Organizations are required to attend a grant compliance and financial management workshop conducted by the USAID. This post-award orientation will serve to describe USAID ’s administrative procedures and clarify the roles and responsibilities of the USAID staff who will administer the award. The USAID shall serve as the mandatory control point of record for all official communication dealing with grant administration.
The USAID shall provide for the continuing oversight by appropriate USAID staff of the financial management aspects of the award through reviews of reports, correspondence, site visits, or other appropriate means. When deemed necessary, the USAID designated staff may request or arrange for special audits of Grantees.
Site visits are an important part of effective award management. Joint site visits by senior USAID staff and program officers are encouraged, since they can provide an effective review of the project. A brief report highlighting the findings is recommended. A copy of each report should be placed in the official grant file.
Grants are subject to the provisions established and included in each award. The USAID designated staff, or designee in case of his/her absence, shall determine that the award does not contain administrative approvals that are in conflict with the grant provisions, stated regulations, or policies. The USAID designated staff is responsible for processing all award modifications, suspensions, and termination actions. FINANCIAL MANAGEMENT CAPACITY
USAID will evaluate a Grantee’s financial management capability. USAID may also verify financial responsibility and institutional capacity by inspections of annual financial statements, audit reports, letters from other donors, and/or on-site visits. USAID will ensure, at a minimum that the Grantee’s systems permit them to identify, segregate, accumulate and properly record all costs incurred under the grant.
Payments will be provided in such a way as to minimize the potential for waste or fraud. Payments based upon the recipient’s incremental progress are acceptable. Reimbursement based on presentation of receipts and other justifying documents is the other authorized method of payment. These two methods of cash disbursement are described below:
a. Incremental Payments. In order to qualify for payments, the Organization’s accounting and financial management systems must conform to standards for funds control and accountability required under USAID and Federal regulations (ADS 303.3.9 and 22 CFR 226.20 – 226.22). New Grantees are free to use their existing accounting systems, so long as they meet those applicable
26
standards as set forth in the CFR, the applicable Standard Provisions, and USAIDF’s pre-award determination.
b. Other guiding principles to cash advance disbursements include:
i. Funds shall not be commingled with other recipient owned or controlled funds; and
ii. Advances shall be limited to the minimum amounts needed to meet current disbursement needs and only if a pre-award determination of responsibility has been made.
After the budget has been negotiated and the Grant Agreement has been signed, the Organization shall begin receiving disbursements for each upcoming benchmark in accordance with the agreed payment schedule.
If an Organization’s financial management systems do not conform to standards for receiving incremental payments, the Grantee may still be eligible to receive reimbursements. As benchmarks are achieved, the Grantee can submit the USAID Reimbursement Request form. Each reimbursement shall be identified by the grant number and shall state the total costs for which reimbursement is being requested. The Grantee shall attach all receipts and other appropriate documentation. This type of disbursement mechanism requires that the Beneficiary have adequate cash flow.
LANGUAGE
Reports will be accepted only in English. It is USAID policy that English shall be the official language of all award documents. If an award or any supporting documents are also provided in a foreign language it must be stated in each version that the English language version is the only official version.
TERMINATION AND SUSPENSION
Language must be included in the Grant Agreement giving USAID the right to terminate a grant, in whole or part, or suspend payments, should the Grantee become insolvent during the performance of the award or should the Grantee not meet its responsibilities as set forth in the Grant Agreement. A termination letter will be placed in the Organization’s file and include the following:
The reasons for the termination;
The effective date of termination;
The portion to be terminated; and
The portion remaining (in case of partial termination).
USAID also has the right to terminate the grant activity (activities) unilaterally in extraordinary circumstances. MONITORING, REPORTING, AND AUDITS
A. Technical and Financial Reports
The Grantee shall submit technical performance reports and financial reports subject to the terms and conditions of the Grant Agreement. Technical Reports must summarize progress of the major activities in process during the period in relation to requirements of the scope of work. As part of each Technical Report, the Grantee shall describe progress on performance indicators as planned in the Monitoring and Evaluation Strategy. The Grantee shall also submit a Financial Report in English in accordance with the reporting forms provided by USAID. Grantees must report their cost-share contribution through required financial reports, accompanied by supporting documentation.
The Grantee shall maintain books, records, documents, and other evidence relating to the USAID-sponsored project. Accounting records that are supported by documentation will at a minimum show all costs incurred under the Grant Agreement, receipt and use of goods and services acquired under the
27
grant agreement, costs of the project supplied from other sources, the overall progress of the project, and the cost share obligation from grant recipients.
B. Project Monitoring and Final Report
All Grantees will be subject to regular and periodic monitoring visits and reporting requirements. All projects must submit a final report on activities supported by the grant. The Grantee and USAID will closely monitor overruns in cost/expenditure categories or main line items. If major budget shifts are anticipated or observed, it is prudent to issue a modification to ensure proper monitoring and to avoid overruns. Under certain circumstances, before grants are issued, the Grant Agreement may specify that the Grantee is restricted from transferring funds among cost/expenditure categories. Such a restriction would require the Grantee to get prior approval from USAID before making budget shifts that expect to exceed 10% of the total budget.
C. Grant Project Audits
Grantees must be audited if they received grant funds exceeding certain thresholds as stipulated by USAID regulations. The thresholds include USAID funds received from all USAID sources, not just USAID funds received through USAID Forward grants. USAID may require that Grantees that spend less than the above thresholds be audited. USAID reserves the right to arrange for an audit at any time.
In some cases, USAID may decide to cover costs of an audit through a grant, particularly for large grants. This might happen when the pre-award responsibility determination demonstrates that the Organization is on the right track, but would benefit from regular audits to help the Organization focus on ensuring its financial and accounting systems function properly.
Grantees are required to adhere to USAID regulations, including requirements to maintain records for a minimum of three years to make accounting records available for review by appropriate representatives of USAID.
RECORDS
The Grantees shall maintain financial records, supporting documents, statistical records, and all other records pertinent to the award in accordance with generally accepted accounting principles formally prescribed by the U.S., the cooperating country, or the International Accounting Standards Committee (an affiliate of the International Federation of Accountants) to sufficiently substantiate charges to this award. Accounting records that are supported by documentation will at a minimum be adequate to show all costs incurred under the grant, receipt and use of goods and services acquired under the grant, the costs of the program supplied from other sources, and the overall progress of the program. Unless otherwise notified, the Grantee’s records which pertain to this agreement shall be retained for a period of three years from the date of submission of the final expenditure report and may be audited by USAID and/or its representatives. PUBLICATIONS AND MEDIA RELEASES
This provision is applicable when publications are financed under the award.
The Grantees shall provide USAID at least two copies of all published works developed under the award with lists of other written work produced under the award.
Except as otherwise provided in the terms and conditions of the award, the author or the recipient is free to copyright any books, publications, or other copyrightable materials developed in the course of or under this award, but USAID reserves a royalty-free nonexclusive and irrevocable right to reproduce, publish, or otherwise use, and to authorize others to use the work for Government purposes.
28
MARKING
All Grantees must mark appropriately all overseas programs, projects, activities, public communications, and commodities partially or fully funded by a USAID grant or cooperative agreement or other assistance award or sub-award with the USAID Identity, of a size and prominence equivalent to or greater than the recipient’s, other donor’s, or any other third party’s identity or logo.
To ensure that the marking requirements “flow down'' to sub-recipients of sub-awards, USAID will include the USAID-approved marking provision in any USAID funded sub-award, as follows:
As a condition of receipt of this sub-award, marking with the USAID Identity of a size and prominence equivalent to or greater than the recipient’s, sub-recipient’s, other donor’s or third party’s is required. In the event the recipient chooses not to require marking with its own identity or logo by the sub-recipient, USAID may, at its discretion, require marking by the sub-recipient with the USAID Identity.
Any ‘public communications’, as defined in 22 C.F.R. 226.2, funded by USAID, in which the content has not been approved by USAID, must contain the following disclaimer:
This study/report/audio/visual/other information/media product (specify) is made possible by the generous support of the American people through the United States Agency for International Development (USAID). The contents are the responsibility of [insert recipient name] and do not necessarily reflect the views of USAID, the United States Government, or Checchi.
In certain cases, USAID and/or the Grantee may be exempted from USAID marking requirements. Further details regarding such exemptions and waivers can be found in the Mandatory Standard Provisions for both US and Non-US, Nongovernmental Recipients. AMENDMENTS AND EXTENSION
Subject to the terms and conditions of the Grant Agreement, no additional competition is needed to amend an existing or follow-on award for the same activity that is a minor and administrative change, does not change the obligated amount or the purpose of the grant, is satisfactory to the Grantee, and is promptly transmitted to USAID.
Approval by the relevant grants committees and prior written approval by USAID is required for amendments to existing awards that involve any substantial change, extension, or expansion of previously approved grant activities.
The Grants Manager serves as the mandatory control point of receipt for all official communication that would constitute an amendment to the award. Amendments will be made by formal modifications to the basic award document.
GRANTEE RESPONSIBILITIES
Each grant agreement will include a clause that states: “The Grant recipient has full responsibility for the conduct of the project or activity supported under an award and for adherence to the award conditions. Although the recipient is encouraged to seek the advice and opinion of USAID on special problems that may arise, such advice does not diminish the recipient’s responsibility for making sound technical and administrative judgments and should not imply that the responsibility for operating decisions has shifted to USAID. The recipient is responsible for notifying USAID about any significant problems relating to the administrative or financial aspects of the award.” CONFLICT OF INTEREST
In the review and implementation of grants, USAID reserves the right to investigate an application or a grant due to any real or perceived conflict of interest. An employee or other involved party may have a
29
conflict of interest if the party has a direct or indirect personal interest, financial or otherwise, in the outcome of a grant action, such as award, oversight, amendment, or termination.
In the event that USAID determines that conflict of interest exists, USAID may disqualify an application, terminate a grant, or recuse a staff member. A staff member who does not reveal a potential conflict of interest when it becomes apparent will be subject to disciplinary action, up to and including termination. GRANT FILES AND CLOSEOUT
USAID reserves the right to conduct financial reviews or audits, and to otherwise ensure the adequate accountability of organizations expending US government funds. The grant files will contain the essential documents to demonstrate that the grant was successfully completed and that funds were spent prudently with costs justified.
PROCUREMENT PROCEDURES PROCUREMENT STANDARDS
USAID will establish standardized written procurement procedures for Grantees. These procedures shall provide, at a minimum, that:
The Grantee will avoid purchasing unnecessary items;
Where appropriate, USAID or the Grantee will determine whether lease and purchase alternatives is the most economical and practical procurement; and
The Grantee will document a price or cost analysis in its procurement files in connection with every procurement action. Price analysis will be accomplished in various ways, including the comparison price quotations submitted, and market prices, together with discounts. Cost analysis is the review and evaluation of each element of cost to determine if it is reasonable, allocable, and allowable.
For procurement elements or awards greater than $10,000, further requirements may apply as found in the Procurement of Goods and Services clause from the Standard Mandatory Provisions for Non-U.S., Nongovernmental Recipients.
1. ALLOWABLE COSTS/ELIGIBILITY RULES FOR GOODS AND SERVICES
Expenses incurred under the grants program must meet the following criteria in order to be eligible for reimbursement:
Reasonable: Those costs that are generally recognized as ordinary and necessary and would be incurred by a prudent person in the conduct of normal business.
Allocable: Those costs that are incurred specifically for the award.
Allowable: Those costs that conform to any limitations in the award.
It is USAID’s goal to ensure that costs incurred are in accordance with the applicable set of Cost Principles under the Mandatory Standard Provision for Non-U.S., Non-Governmental Recipients (Allowable Costs). USAID will determine which costs are allowable, allowable with prior approval, or unallowable, for Non-U.S. Non-Governmental Beneficiaries.
The following guidelines will be used during the budget review stage of grant proposal evaluation, before the grant agreement is approved, to determine if a questionable cost is allowable:
30
Review OMB Circular A-122, Attachment B, a list of “Selected Items of Cost” which describes what is and is not allowable, or allowable under what circumstances (for example, “alcoholic beverages: Costs of alcoholic beverages are unallowable”).
Review ADS 312 “Eligibility of Commodities” for more information if an item to be procured is a restricted good or service.
Determine whether the costs are reasonable, allocable, and allowable.
Contact the USAID for review and decision when appropriate.
Prior to incurring a questionable cost, obtain USAID’s written determination on whether the cost will be allowable.
The Grantee will also adhere to the list of ineligible goods and services clause from the list in ADS 312 “Eligibility of Commodities”. The following restricted goods and services shall not be procured without the prior approval of the Agreement Officer:
Agricultural commodities;
Motor vehicles;
Pharmaceuticals;
Pesticides;
Used equipment;
U.S. Government-owned excess property; and,
Fertilizer.
The Required as Applicable Provision entitled USAID Eligibility Rules for Goods and Services shall apply to all standard form grants issued under this program. SOURCE, ORIGIN, AND NATIONALITY
The authorized geographic code for EROL is 000 (United States) and Kosovo. EROL is designed to adhere to these requirements.
2. EQUIPMENT
Equipment is defined as any tangible personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. If the grant budget includes equipment the Provision for Non-U.S. Non-Governmental Recipients (Title to and Use of Property, Recipient Title) will be incorporated into the Grant Agreement.
Under the Fixed Obligation Grant, USAID must approve the purchase of equipment under $5,000, and applicable provisions must be included in the grant format. In turn, the USAID Contracting Officer must also approve such a purchase. The purchase of equipment with a value exceeding $5,000 is not authorized under a Fixed Obligation Grant.
The Grantee is required to use and maintain the equipment for the purpose of the award in accordance with the applicable standard provision summarized below:
The recipient is required to maintain equipment records that include the description of the equipment, the source of the equipment, the title holder, the serial number or other identification, the acquisition date, the cost of equipment, the location, use, and condition of the equipment, and any ultimate disposition data including the date of disposal and the sale price of the equipment.
The recipient is required to take an annual physical inventory of the equipment and reconcile the results with the equipment records and submit a copy of the physical inventory to USAID.
In the grant agreement, the Grantee will agree to indemnify USAID designated Officers, including cost of defense, for any claim made against them arising out of the Grantee’s performance of this grant agreement. This indemnity shall be in excess of USAID's insurance policies, but not limited
31
by the scope of such policies. USAID do not assume liability for third party claims for damages arising out of any grant.
SUPPLIES
Supplies are all property, excluding equipment. In accordance with the applicable Standard Provisions, title to supplies and other expendable property shall vest in the Grantee upon acquisition. TRAVEL
Grantee must obtain USAID Contracting Officer approval to use grant funds in support of international travel where applicable and necessary. Guidance will be followed as set forth in the Required as Applicable Standard Provision for Non-U.S. Non-Governmental Recipients (International Air Travel and Transportation).
For Beneficiaries receiving cash disbursements for travel, the Standard Provision (referenced above) must be followed and incorporated in to the grant agreement.
APPLICABLE REGULATIONS 1. GRANTS TO KOSOVO NON-GOVERNMENTAL ORGANIZATIONS
The requirements for this type of award are contained in several applicable federal regulations and USAID administrative standards. These regulations include:
Mandatory Standard Provisions for Non-U.S., Nongovernmental Recipients;
Required as Applicable Standard Provisions for Non-U.S., Nongovernmental Recipients, http://www.usaid.gov/policy/ads/300/303mab.pdf ADS 303, http://www.usaid.gov/policy/ads/300/303.pdf;
OMB Circular 122 “Cost Principles for Non-Profit Organizations,” http://www.whitehouse.gov/omb/circulars/a122/a122.html;
Section 579 Reporting on Payment of Foreign Taxes, http://www.usaid.gov/policy/ads/300/updates/iu3-0314.pdf. 2. GRANTS TO U.S. NON-GOVERNMENTAL ORGANIZATIONS
The requirements for this type of award are contained in several applicable federal regulations and USAID administrative standards. These regulations include:
Mandatory Standard Provisions for U.S., Nongovernmental Recipients;
Required as Necessary Applicable Standard Provisions for U.S., Nongovernmental Recipients, http://www.usaid.gov/policy/ads/300/303maa.pdf; ADS 303, http://www.usaid.gov/policy/ads/300/303.pdf;
OMB Circular 122 “Cost Principles for Non-Profit Organizations,” http://www.whitehouse.gov/omb/circulars/a122/a122.html; 22 CFR Part 226, in particular 226.20 through 226.28, http://www.usaid.gov/policy/ads/cfr.html#22;
32
Section 579 Reporting on Foreign Taxes, http://www.usaid.gov/policy/ads/300/updates/iu3-0314.pdf.
USAID will screen applications to ensure compliance with all eligibility requirements prior to forwarding the materials as necessary. All grants awarded under USAID’s grant program shall include the following standard clause: “The Recipient is reminded that U.S. Executive Orders and U.S. law prohibits transactions with, and the provision of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of the recipient to ensure compliance with these Executive Orders and laws.”
This provision must be included in all sub-awards issued under this agreement. The Grantees will also be required to sign the certification regarding terrorist financing.
