72068524RFA00013 Amendment 1_USAID Sahel Resilience Activity - AO (RA) signed.pdf

NOTICE OF FUNDING OPPORTUNITY

USAID Sahel Regional Resilience Activity Amendment#1

USAID/SENEGAL

SAHEL REGIONAL OFFICE (SRO)

NOFO NO.: 72068524RFA00013

JULY 16, 2024

Issue Date: June 7, 2024 Deadline for Questions: June 21, 2024 Closing Date: August 2, 2024 , August 16, 2024 Closing Time: 17:30 GMT (Dakar local time) Subject: Notice of Funding Opportunity (NOFO) No.: 72068524RFA00013 Amendment # 1 Program Title: USAID Sahel Regional Resilience Activity Assistance Listing Number: 98.001

Dear Prospective Applicants:

The United States Agency for International Development (USAID or the Agency) is seeking applications for a Leader with Associate Award (LWA) from qualified entities to implement the above-mentioned program outlined in the subject NOFO.

Eligibility for this award is not restricted. This competition covers both the initial Leader Award and all subsequent Associate Awards.

USAID intends to make a single award to the applicant which best meets the objectives of this funding opportunity based on the merit review criteria described in this NOFO subject to a risk assessment. Eligible entities interested in submitting an application are encouraged to read this NOFO thoroughly to understand the type of activity sought, application submission requirements, and selection process.

Subject to funding availability, USAID intends to provide up to $200,000,000.00 in total USAID funding (LWA including any future Associate Awards) to support the Sahel Regional Resilience Activity. The initial Leader Award is anticipated not to exceed $35M. Associate Awards may not exceed $75M. There will be no initial associate award(s) with the LWA, and there is no guarantee regarding the number or total estimated amount of Associate Awards.

To be eligible for an award, the applicant must provide all information as required in this NOFO and meet eligibility standards in Section C of this NOFO. This funding opportunity is posted on www.grants.gov, and may be amended. It is the responsibility of the applicant to regularly check the website to ensure they have the latest information pertaining to this notice of funding opportunity and to ensure that the NOFO has been received from the internet in its entirety.

USAID bears no responsibility for data errors resulting from transmission or conversion process. If http://www.grants.gov/ you have difficulty registering on www.grants.gov or accessing the NOFO, please contact the Grants.gov Helpdesk at 1-800-518-4726 or via email at support@grants.gov for technical assistance.

USAID may not award to an applicant unless the applicant has complied with all applicable unique entity identifier (UEI) and System for Award Management (SAM) requirements detailed in Section D.6.g. The registration process may take many weeks to complete; therefore, applicants are encouraged to begin registration early in the process.

Please send any questions to the point(s) of contact identified in Section G. The deadline for questions is shown above. Responses to questions received prior to the deadline will be furnished to all potential applicants through an amendment to this notice posted to www.grants.gov.

Issuance of this NOFO does not constitute an award commitment on the part of the Government nor does it commit the Government to pay for any costs incurred in preparation or submission of comments/suggestions or an application. Applications are submitted at the risk of the applicant.

All preparation and submission costs are at the applicant’s expense. Please note that USAID reserves the right to cancel this process at any time without prior notice.

Thank you for your interest in USAID programs.

Sincerely, Robert Almosd Regional Agreement Officer http://www.grants.gov./

TABLE OF CONTENTS

SECTION A: PROGRAM DESCRIPTION 5

SECTION B: FEDERAL AWARD INFORMATION 6

SECTION C: ELIGIBILITY INFORMATION 9

SECTION D: APPLICATION AND SUBMISSION INFORMATION 10

SECTION E: APPLICATION REVIEW INFORMATION 27

SECTION F: FEDERAL AWARD ADMINISTRATION INFORMATION 29

SECTION G: FEDERAL AWARDING AGENCY CONTACT(S) 44

SECTION H: OTHER INFORMATION 45

ATTACHMENT A - PROGRAM DESCRIPTION 48

ATTACHMENT B - USAID BRANDING AND MARKING TEMPLATE 68

ATTACHMENT C - STANDARD PROVISIONS 78

ATTACHMENT D - SAM QUICK START GUIDE FOR NEW FOREIGN REGISTRATION 92

ATTACHMENT E - SAM QUICK START GUIDE FOR NEW GRANTEE REGISTRATION 93

ATTACHMENT F - PAST PERFORMANCE INFORMATION 94

ATTACHMENT G - ILLUSTRATIVE BUDGET TEMPLATE 95

SECTION A: PROGRAM DESCRIPTION

This funding opportunity is authorized under the Foreign Assistance Act (FAA) of 1961, as amended. The resulting award will be subject to 2 CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, and USAID’s supplement, 2 CFR 700, as well as the additional requirements found in Section F.

See Attachment A

[END OF SECTION A]

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SECTION B: FEDERAL AWARD INFORMATION

1. Estimate of Funds Available and Number of Awards Contemplated

USAID contemplates making one Leader with Associate Award for technical implementation of the Sahel Regional Resilience Program. USAID intends to award one Leader with Associates Award (LWA) Cooperative Agreement pursuant to this NOFO. Subject to funding availability and at the discretion of the Agency, USAID intends to provide $200,000,000.00 in total USAID funding (LWA including any future Associate Award) over a five- year period. The competition covers both the initial Leader Award and all subsequent Associate Awards (total ceiling of $165,000,000.00).

The Total Estimated Amount (TEA) of the leader award is $35,000,000.00. This Leader Award will have an initial budget of $15,000,000.00 and reserve the remaining $20,000,000.00 for additional potential rapid response programming. Out of the $20,000,000.00 reserved for rapid response, $5,000,000.00 will be obligated at the time the leader is awarded for immediate rapid response activities.

“Buy-ins” will be permitted under the LWA. The Sahel Regional Resilience Program LWA allows all USAID operating units to issue Associate Awards for resilience programs. Associate Awards will support activities that fit within the scope of the Sahel Regional Resilience Programmatic Framework. Individual buy-ins for Associate Awards have a ceiling of $75,000,000.00.

2. Expected Performance Indicators, Targets, Baseline Data, and Data Collection

The SRRP LWA will strengthen individual, household, and formal and informal institutions and networks to deliver improved natural resource management and the adoption of sustainable agriculture practices. Over a five-year period, the SRRP aspires to achieve increased food security, income generation, water and sanitation and hygiene, climate adaptation, nutrition and improved conflict mitigation, and enhanced community resilience. The SRRP will ensure that the voices and participation of women and youth are integrated into all activities, recognizing their pivotal roles as catalysts for transformative change. USAID SRRP is designed to address these issues by empowering women and youth to become active contributors to their communities’ development. When appropriate, the Associate Awards will layer, sequence, and integrate programming with humanitarian assistance programming to build resilience and reduce the long-term need for humanitarian assistance. The Leader and the Associate Awards will coordinate with other technical sectors in USAID, such as health and education, wherever possible.

3. Start Date and Period of Performance for Federal Awards

The anticipated period of performance is five (5) years. The estimated start date will be on or about November 2024.

4. Substantial Involvement

USAID recently revised ADS Chapter 303’s guidance on substantial involvement, removing strict limits on the specific aspects of award management through which USAID might be substantially involved. This revision aims, in part, to better enable adaptive management, by allowing Agreement Officer’s Representatives (AORs) to engage in more technical aspects of implementation. In this award, USAID plans to be substantially involved in the following areas, with the intention of delegating each to the AOR (unless otherwise noted):

1. Approval of the recipient’s work plan,

2. Participation in work plan co-creation, “Pause and Reflect” discussions, and any other relevant events and meetings;

3. Review and approval of members of Local Advisory Councils;

4. Review of changes to specified Key Personnel: USAID Agreement Officer (AO) approval, upon AOR concurrence, is required for all positions designated as Key Personnel;

5. Review and approval of subawards, up to the amount of $100,000 and participation in related deliberative processes. Subaward approvals above this threshold require AO approval;

6. Approval of the Monitoring and Evaluation and Learning Plan and Approach;

7. Approval of required reports;

8. Advise the Leader on sub-partner roles when preparing applications for Associate Awards, to be taken into account by the IP as appropriate.

9. Advise the Leader, on the review of Rapid Response applications;

10. Provides technical input and ultimate approval of Rapid Response actions and subawards up to the amount of $100,000. Rapid response actions above this threshold require AO approval.

Please refer to ADS 303.3.11 for further information.

5. Authorized Geographic Code

The geographic code for the procurement of commodities and services under this program is 937 (the United States, the recipient country, and developing countries other than advanced developing countries, but excluding any country that is a prohibited source).

6. Nature of the Relationship between USAID and the Recipient

The principal purpose of the relationship with the Recipient under the subject program is to transfer funds to accomplish a public purpose of support or stimulation of the USAID Sahel Regional Resilience Activity, which is authorized by Federal statute.

The recipient(s) will be responsible for ensuring the achievement of the program objectives and the efficient and effective administration of the award through the application of sound management practices. The Recipient(s) will assume responsibility for administering Federal funds https://www.usaid.gov/sites/default/files/2023-10/303_102323.pdf in a manner consistent with underlying agreements, program objectives, and the terms and conditions of the Federal award.

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SECTION C: ELIGIBILITY INFORMATION

1. Eligible Applicants

Eligibility for this NOFO is not restricted; however, USAID encourages Applicants to incorporate the principles of “Localization” into their applications and consider substantial engagement with local organizations for proposed subawards and Associate Awards.

2. Cost Sharing or Matching

USAID is not requiring cost share for the Leader award though it can be included in Associate Awards. For guidance on cost sharing in grants and cooperative agreements see 2 CFR 200.306 at https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl

3. Other

All applicant organizations are restricted to submitting only one application as the Primary Applicant (Prime). If more than one application is received with the same Prime Applicant, USAID will seek written clarification from the relevant entity regarding which application should be considered for review. If clarification is not resolved within five business days, all applications submitted by the Applicant will be deemed ineligible.

[END OF SECTION C]

https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl

SECTION D: APPLICATION AND SUBMISSION INFORMATION

1. Agency Point of Contact

Primary:

Name: Aminata Diallo Title: Agreement Specialist Street Address: USAID/Senegal, c/o U.S. Embassy, B.P. 49, Route des Almadies, Dakar, Senegal Email: amdiallo@usaid.gov

Alternate:

Name: Robert Almosd Title: Regional Agreement Officer Street Address: USAID/Senegal, c/o U.S. Embassy, B.P. 49, Route des Almadies, Dakar, Senegal Email: ralmosd@usaid.gov

2. Questions and Answers

Questions regarding this NOFO should be submitted in writing to the email addresses of the primary and alternate agency contacts above no later than the date and time indicated on the cover letter, or as amended.

Any information given to a prospective applicant concerning this NOFO will be furnished promptly to all other prospective applicants as an amendment to this NOFO, if that information is necessary in submitting applications or if the lack thereof would be prejudicial to any other prospective applicant.

3. General Content and Form of Application

The Applicant must furnish the information required by this NOFO. Applications must be submitted in two separate parts: (a) Technical Application, and (b) Business (Cost) Application.

This subsection addresses general content requirements applying to the full application. Please see subsections below, for information on the content specific to the Technical and Business (Cost) Applications. The Technical Application must address technical aspects only while the Business (Cost) Application must present the costs, and address risk and other related issues.

Both the Technical and Business (Cost) Applications must include a cover page containing the following information:

● Program/Activity title;

● Name and address of organization(s) applying for the award;

● Name(s) of all proposed partner(s)/sub-recipient(s), if any; (identify if any of the organizations are local organizations, per USAID's definition of 'local entity' under

ADS 303);

mailto:amdiallo@usaid.gov mailto:ralmosd@usaid.gov

● SAM registration confirmation of the prime applicant, and the Universal Entity Identification (UEI) Number for the applicant as well as all proposed sub-recipients (to encourage localization efforts, UEI numbers for local partners are not required at the application stage but will be required at the time of award);

● Contact person name and title, email address, telephone number, and corresponding signatures, and the identification of the alternate contact person;

and

● Identification and signature of the person authorized to sign an award. Any erasures or other changes to the application must be initiated by the person signing the application. Applications signed by an agent on behalf of the Applicant must be accompanied by evidence of that agent's authority.

Applications must comply with the following:

● USAID will not review any pages in excess of the page limits noted in the subsequent sections. Please ensure that applications comply with the page limitations.

● Written in English.

● Use standard 8 ½” x 11”, single sided, single-spaced, 12-point Calibri font, 1” margins, left justification and headers and/or footers on each page including consecutive page numbers, date of submission, and applicant’s name.

● A 10-point font can be used for graphs and charts. Tables, however, must comply with the 12 point Calibri requirement.

● Submitted via PDF format, except budget files which must be submitted in Microsoft Excel.

● The Technical Application must be a searchable and editable PDF format.

● The Cost Application must include an Excel spreadsheet with all cells unlocked and no hidden formulas or sheets. A PDF version of the Excel spreadsheet may be submitted in addition to the Excel version at the Applicant's discretion. However, the official cost application submission is the unlocked Excel version. A Budget Narrative/Justification must accompany the Cost Application.

● Each page must be numbered sequentially, and the application must not be password protected and must not be zipped.

Applicants who include data that they do not want disclosed to the public for any purpose or used by the U.S. Government except for evaluation purpose, should mark the title page with the following legend:

This application includes data that must not be disclosed outside the U.S.

Government and must not be duplicated, used, or disclosed other than to evaluate this application. If, however, a grant is awarded to this Applicant as a result of the submission of this data, the U.S. Government will have the right to duplicate, use, or disclose the data to the extent provided in the resulting grant. This restriction does not limit the U.S. Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets (insert sheet numbers).

Applicants must review, understand, and comply with all aspects of this request. Failure to do so may be considered as being non-responsive and may be evaluated accordingly. Applicants should retain for their records one (1) copy of the application and all accompanying enclosures.

4. Application Submission Procedures

Applications in response to this NOFO must be submitted no later than the closing date and time indicated on the cover letter, or as amended. Late applications will not be considered.

Applications must be submitted by email to amdiallo@usaid.gov with a copy to ralmosd@usaid.gov. Email submissions must include the NOFO number and applicant’s name in the subject line heading. In addition, for an application sent by multiple emails, the subject line must also indicate whether the email relates to the technical or cost application, and the desired sequence of the emails and their attachments (e.g. "No. 1 of 4", etc.). For example, if your cost application is being sent in two emails, the first email should have a subject line that states:

"[NOFO number], [organization name], Cost Application, Part 1 of 2".

Technical application and cost/business applications must be submitted separately. The technical application must not include any cost data or references.

After submitting an application electronically, applicants should immediately check their own email to confirm that the attachments were indeed sent. If an applicant discovers an error in transmission, please send the material again and note in the subject line of the email that it is a "corrected" submission. Do not send the same email more than once unless there has been a change, and if so, please note that it is a "corrected" email.

Applicants are reminded that email is NOT instantaneous, and in some cases delays of several hours occur from transmission to receipt. Therefore, applicants are requested to send the application in sufficient time ahead of the deadline. For this NOFO, the initial point of entry to the government infrastructure is the USAID mail server. File size must not exceed 25 MB per email.

There may be a problem with the receipt of *.zip files due to anti-virus software. Therefore, applicants are discouraged from sending files in this format as USAID cannot guarantee their acceptance by the internet server.

5. Technical Application Format

The Technical Application must include the following sections and observe the indicated page limitations. Note that sections V. Technical Approach, VI. CLA Approach, VII. Management Approach, and VIII. Localization Approach, described below must not exceed 30 pages combined:

mailto:amdiallo@usaid.gov mailto:ralmosd@usaid.gov

Cover Page (maximum one page–does not count towards technical approach page limit):

The Applicant must provide the title of the proposed activity, name and address of prime applicant, and names of proposed partners and proposed subawards, as applicable on the cover page, etc. Please see L.3.

Table of Contents (maximum one page–does not count towards technical approach page limit) Include major sections and page numbering to easily cross-reference.

List of Acronyms (Optional–does not count towards technical approach page limit).

Executive Summary (maximum two pages–does not count towards technical approach page limit): Briefly provide a high-level overview of the technical application including (a) the proposed vision and goals for the program and (b) the managerial approach and resources that the applicant will bring to bear on the overall management of the program.

Technical Approach: The technical approach must include the following sections:

A. Background B. Activity goals and objectives C. Program Statement outlining major activities to be accomplished linking to expected results with timelines and incorporating all of the elements below, such as environment and gender, and the attached program description.

CLA Approach

CLA section must address:

● How/which approaches and activities will change based on CLA. Specifically, how the

Awardee will adaptively manage the award and make corresponding revisions to the Annual Work Plan, consistent with the “programmatic changes” section of ADS 303.3.18.c.3, “Not all programmatic changes affect the terms of the award itself or require amendments to it…As such, the AOR, as delegated by the AO, may approve revisions to the Awardee’s implementation plan as formally requested by the Awardee and when consistent with ADS 303.3.11’s guidance on technical assistance and substantial involvement).”

● Any proposed actions to strategically collaborate internally and with other implementing partners to conduct joint targeting, collaborative research, etc.

● How knowledge gaps in the theory of change, the technical implementation approach, operating environments, assumptions and risks, will be filled using activities such as, but not limited to, monitoring, research, evaluation and analytical studies

● How knowledge generated by learning will be used to increase efficiency

Management Approach

A. Management Plan B. Staffing Plan C. Key Personnel D. Institutional Capacity and Experience

Localization Approach

USAID expects the Leader to outline a process for identifying and including organizations that meet the USAID definition of “local” (ADS 303) as part of the consortium following the award. In the application, the Leader will identify the types of activities “set aside” for local organizations to advance USAID’s localization objectives. Examples of potential “set aside” activities include assessments, recurrent monitoring surveys, communications support, Associate evaluations, etc.

This should not be construed to limit local organizations to only those activities. The Leader should allow and consider local organizations for the implementation of other Associate Awards across the technical sectors, depending on the level of technical and operational expertise.

Annexes:

A. Organizational Chart B. Staffing Plan (matrix) C. Key Personnel:

i. CVs (maximum 3 pages/key personnel)

ii. Letters of commitment (maximum 1 page/key personnel)

iii. References (maximum 1 page/key personnel) D. Draft AMELP E. Initial Work Plan

Throughout the narrative, the Applicant must describe its understanding of the development challenges relevant to this activity, its underlying problems and root causes; and, describe potential solutions and proposed approaches that are technically sound, evidence-based, feasible, and context-appropriate in order to sustainably achieve the objectives and results outlined in the Program Description. Applicants must provide a clear theory of change that directly leads to the program outcomes/objectives and successful achievement of the program description outlined in the NOFO.

Apart from the guidance in the Program Description–Attachment A, the technical approach also must address the following:

● Environment: The applicant must identify the potential environmental impacts of the proposed activity to be financed by USAID and plan to develop appropriate environmental safeguards to any issues identified in response to the IEE Please refer to ADS 204 available at https://www.usaid.gov/sites/default/files/documents/1865/204.pdf for USAID's Environmental procedures. In addition, the recipient must comply with host country environmental regulations. The Recipient will be responsible for training their staff, grantees, subcontractors, and counterparts on the agreements' environmental requirements and for ensuring they are in compliance with these requirements. In the case the activity has environmental impact, it is the responsibility of the applicant to budget for effective monitoring and mitigation to ensure compliance with 22 CFR 216 throughout the life of an activity.

https://www.usaid.gov/about-us/agency-policy/series-300/303 https://www.usaid.gov/sites/default/files/documents/1865/204.pdf

● Gender: The application should include how and to what extent their proposed activities will impact gender equality. To the extent possible, the analysis should identify:

○ Relevant gaps in the status and anticipated levels of participation of women and men (including age, ethnicity, disability, location, etc.) that could hinder overall activity outcomes.

○ Possible differential effects the activity might have on men and women; and opportunities to promote women's empowerment.

○ How women will be engaged throughout the activity.

○ The applications should provide a strategy and action plan for addressing identified gender inequalities. Please refer to USAID's Gender Equality and Female Empowerment Policy.

6. Management Approach

Applicants must submit a management and staffing plan that specifies the composition and organizational context of the entire implementation team (including home office support if any and sub-awardees) and specify clear lines of supervision, accountability, decision-making and responsibility including management of sub-awards, with defined lines of management, authority, technical responsibility, including oversight and quality control.

Management Plan The management plan should describe how the management approach will be adaptive and how managers will provide feedback to multiple stakeholders, have the ability to be flexible, and be responsive during implementation.

The management plan must explain how expertise in both gender and youth is incorporated within senior leadership, who is responsible for each of these areas, and how leadership of these areas will occur within the proposed organizational chart. The application must demonstrate technical staffing expertise in presenting a staffing plan that includes an overall matrix. This matrix will reflect all proposed positions (including key personnel) projected to implement all program components and cross cutting elements. It will clearly demonstrate excellent technical expertise in monitoring and evaluation, as well as financial monitoring and compliance.

The management plan should also describe the proposed geographic location of the Leader Award and how the Leader will flexibly coordinate activities throughout the Sahel.

Staffing Plan In the staffing plan, Applicants must indicate the number of positions, their functions, whether they will be local or expatriate hires. The staffing plan must include an approach and timeline to ensure rapid and efficient start-up of both operational and technical aspects of the program. Applicants must also outline a clear scheme on partnerships and collaboration with a diverse range of actors.

In the staffing plan, the Applicant must demonstrate a solid understanding of key technical and organizational requirements and an appropriate mix of skills, while avoiding excessive staffing. The staffing plan should clearly show how the individuals, skills and proposed staffing mix are appropriate for achieving the program’s objectives and supports implementation at all levels. It must identify other significant full or part-time technical professional staff, consultants (if any), and implementing sub-partners, and describe how they will complement the skills and expertise of the team.

Key Personnel USAID is looking for the following core capabilities in the applicant’s proposed staffing plan:

● Leadership and Project Management

● Specialization in Collaboration, Learning and Adaptation

● Specialization in coaching local organizations in management and financial systems

● Demonstrated understanding of Disaster Risk Management

● Specialization in Monitoring and Evaluation and Learning

● Demonstrated expertise in women empowerment, gender equality and social inclusion.

USAID seeks a staffing strategy that reflects the core capabilities described above. USAID encourages applicants to propose key personnel who reflect the unique needs, capabilities, and management structure best suited to implementing their proposed program. At a minimum, the Chief of Party (or equivalent) must be key personnel. Other key personnel positions may be negotiated with the Apparently Successful Applicant prior to award. No more than five key personnel positions may be proposed. The applicant is to include CVs, letter of commitment signed by each key personnel that he/she will provide services for the entire period of performance of the award, and a minimum of three references (no family members) who can attest to the person’s knowledge, skills and abilities that will lead to successful activity implementation.

The applicant must have a well-thought out strategy for ensuring gender, age, disability status and ethnic diversity of its staff. One of this activity’s primary goals is to promote enhanced gender and youth engagement. As such, the applicant must demonstrate actions to ensure its entire staff is well-versed in gender equality and women’s empowerment as well as Positive Youth Development principles and approaches. Cultural and attitudinal changes among beneficiaries will be difficult to achieve if implementing staff do not themselves understand and value those changes.

Institutional Capacity and Experience

The Applicant must provide a concise description of their organization, and all proposed sub-recipients/associates, including reasons for their inclusion as proposed sub-recipients/associates and other organizations if it is a consortium. Within the application, the Applicants must provide summary information about significant past and current activities/projects, for themselves and each sub-recipient/associate, related to the set of activities and responsibilities specified in this NOFO.

Separately, history of performance information must be provided using the form provided as Attachment F and described below in the Annexes section. USAID reserves the right to contact references other than those provided in the application.

7. Business (Cost) Application Format

The Business (Cost) Application must be submitted separately from the Technical Application.

While no page limit exists for the full cost application, applicants are encouraged to be as concise as possible while still providing the necessary details. The business (cost) application must illustrate the entire period of performance, using the budget format shown in the SF-424A.

Prior to award, applicants may be required to submit additional documentation deemed necessary for the Agreement Officer to assess the applicant’s risk in accordance with 2 CFR

200.205. Applicants should not submit any additional information with their initial application.

The Cost Application must contain the following sections (which are further elaborated below this listing with the letters for each requirement):

a) Cover Page (See above for requirements)

b) SF 424 Form(s)

The applicant must sign and submit the Cost Application using the SF-424 series. Standard Forms can be accessed electronically at www.grants.gov or using the following links:

Form Name Adobe Form

Form Instructions

Application for Federal Assistance (SF-424) PDF Instructions

Budget Information for Non-Construction Programs (SF- 424A)

PDF Instructions

Assurances for Non-Construction Programs (SF-424B) PDF Instructions

Failure to accurately complete these forms could result in the rejection of the application.

c) Required Certifications and Assurances https://apply07.grants.gov/apply/forms/sample/SF424_4_0-V4.0.pdf https://apply07.grants.gov/apply/forms/instructions/SF424_4_0-V4.0-Instructions.pdf https://apply07.grants.gov/apply/forms/sample/SF424A-V1.0.pdf https://apply07.grants.gov/apply/forms/instructions/SF424A-V1.0-Instructions.pdf https://apply07.grants.gov/apply/forms/sample/SF424B-V1.1.pdf https://apply07.grants.gov/apply/forms/instructions/SF424B-V1.1-Instructions.pdf

The applicant must complete the following documents and submit a signed copy with their application and for any proposed subawardee:

(1) “Certifications, Assurances, Representations, and Other Statements of the Recipient” document found at https://www.usaid.gov/ads/policy/300/303mav

(2) Assurances for Non-Construction Programs (SF-424B) (see link in the above table)

(3) Certificate of Compliance: Please submit a copy of your Certificate of Compliance if your organization's systems have been certified by USAID/Washington's Office of Acquisition and Assistance (M/OAA).

d) Budget and Budget Narrative

The Budget must be submitted as one unprotected Excel file (MS Office 2000 or later versions) with visible formulas and references and must be broken out by project year, including itemization of the federal and non-federal (cost share) amount, if applicable. Files must not contain any hidden or otherwise inaccessible cells. Budgets with hidden cells lengthen the cost analysis time required to make an award and may result in a rejection of the cost application. The Budget Narrative must contain sufficient detail to allow USAID to understand the proposed costs. The Applicant must ensure the budgeted costs address any additional requirements identified in Section F, such as Branding and Marking. The Budget Narrative must be thorough, including sources for costs to support USAID’s determination that the proposed costs are fair and reasonable.

The Budget must include the following worksheets or tabs, and contents, at a minimum:

● Summary Budget, inclusive of all program costs (federal and non-federal), broken out by major budget category and by year for activities implemented by the Applicant and any potential sub-applicants for the entire period of the program.

● Detailed Budget, including a breakdown by year, sufficient to allow the Agency to determine that the costs represent a realistic and efficient use of funding to implement the applicant’s program and are allowable in accordance with the cost principles found in 2 CFR 200 Subpart E.

● Detailed Budgets for each sub-recipient, for all federal funding and cost share (if applicable), broken out by budget category and by year, for the entire implementation period of the project.

The Detailed Budget must contain the following budget categories and information, at a minimum:

1) Salaries and Allowances – Must be proposed consistent with 2 CFR 200.430 Compensation

- Personal Services. The Applicant’s budget must include position title, salary rate, level of effort, and salary escalation factors for each position. Allowances, when proposed, must https://www.usaid.gov/ads/policy/300/303mav be broken down by specific type and by position. Applicants must explain all assumptions in the Budget Narrative. The Budget Narrative must demonstrate that the proposed compensation is reasonable for the services rendered and consistent with what is paid for similar work in other activities of the applicant. Applicants must provide their established written policies on personnel compensation. If the Applicant’s written policies do not address a specific element of compensation that is being proposed, the Budget Narrative must describe the rationale used and support market research.

2) Fringe Benefits – (if applicable) If the Applicant has a fringe benefit rate approved by an agency of the U.S. Government, the Applicant must use such rate and provide evidence of its approval. If an Applicant does not have a fringe benefit rate approved, the Applicant must propose a rate and explain how the Applicant determined the rate. In this case, the Budget Narrative must include a detailed breakdown of all items of fringe benefits (e.g., superannuation, gratuity, etc.) and the costs of each, expressed in U.S. dollars and as a percentage of salaries.

3) Travel and Transportation – Provide details to explain the purpose of the trips, the number of trips, the origin and destination, the number of individuals traveling, and the duration of the trips. Per Diem and associated travel costs must be based on the applicant’s normal travel policies. When appropriate please provide supporting documentation as an attachment, such as company travel policy, and explain assumptions in the Budget Narrative.

4) Procurement or Rental of Goods (Equipment & Supplies), Services, and Real Property –

Must include information on estimated types of equipment, models, supplies and the cost per unit and quantity. The Budget Narrative must include the purpose of the equipment and supplies and the basis for the estimates. The Budget Narrative must support the necessity of any rental costs and reasonableness in light of such factors as: rental costs of comparable property, if any; market conditions in the area; alternatives available; and the type, life expectancy, condition, and value of the property leased.

5) Subawards – Specify the budget for the portion of the program to be passed through to any subrecipients. See 2 CFR 200.330 for assistance in determining whether the subtier entity is a subrecipient or contractor. The subrecipient budgets must align with the same requirements as the Applicant’s budget, including those related to fringe and indirect costs.

6) Construction – Not applicable to this award.

7) Other Direct Costs – This may include other costs not elsewhere specified, such as report preparation costs, passports and visas fees, medical exams and inoculations, as well as any other miscellaneous costs which directly benefit the program proposed by the applicant.

The applicant should indicate the subject, venue and duration of any proposed conferences and seminars, and their relationship to the objectives of the program, along with estimates of costs. Otherwise, the narrative should be minimal.

8) Indirect Costs – Applicants must indicate whether they are proposing indirect costs or will charge all costs directly. In order to better understand indirect costs please see Subpart E of 2 CFR 200.414. The application must identify which approach they are requesting and provide the applicable supporting information. Below are the most commonly used Indirect Cost Rate methods:

Method 1 - Direct Charge Only Eligibility: Any applicant.

Initial Application Requirements: See above on direct costs.

Method 2 - Negotiated Indirect Cost Rate Agreement (NICRA) Eligibility: Any applicant with a NICRA issued by a USG Agency must use that NICRA.

Initial Application Requirements:

If the applicant has a current NICRA, submit your approved NICRA and the associated disclosed practices. If your NICRA was issued by an Agency other than USAID, provide a copy of the NICRA and the current contact information for the approving Agency.

Additionally, at the Agency’s discretion, a provisional rate may be set forth in the award subject to audit and finalization. See USAID’s Indirect Cost Rate Guide for Non Profit Organizations for further guidance.

Method 3 - De minimis rate of 10% of modified total direct costs (MTDC) Eligibility: Any applicant that has never received a NICRA.

Initial Application Requirements:

Costs must be consistently charged as either indirect or direct costs but may not be double charged or inconsistently charged as both. If chosen, this methodology once elected must be used consistently for all Federal awards until such time as a non-Federal entity chooses to negotiate an indirect rate, which the non-Federal entity may apply to do at any time.

The applicant must describe which cost elements it charges indirectly vs. directly. See 2 CFR 200.414(f) for further information.

Note: On April 22, 2024, OMB announced a final rule revising the OMB Guidance for Federal Financial Assistance. The final rule will become effective as of October 1, 2024.

According to the OMB announcement, the new rule under “2 CFR 200.414(f) De minimis rate” will state that “recipients and subrecipients that do not have a current Federal negotiated indirect cost rate (including provisional rate) may elect to charge a de minimis rate of up to 15 percent of modified total direct costs (MTDC).” Applicants may submit a de minimis rate of 15%, but, this rate will become effective only as of October 1, 2024.

https://www.usaid.gov/partner-with-us/resources-for-partners/indirect-cost-rate-guide-non-profit-organizations https://www.usaid.gov/partner-with-us/resources-for-partners/indirect-cost-rate-guide-non-profit-organizations

Method 4 - Indirect Costs Charged As A Fixed Amount Eligibility: Non U.S. non-profit organizations without a NICRA may request this, but approval is at the discretion of the AO.

Initial Application Requirements:

Provide the proposed fixed amount and a worksheet that includes the following:

● Total costs incurred by the organization for the previous fiscal year and estimates for the current year.

● Indirect costs (common costs that benefit the day-to-day operations of the organization, including categories such as salaries and expenses of executive officers, personnel administration, and accounting, or that benefit and are identifiable to more than one program or activity, such as depreciation, rental costs, operations and maintenance of facilities, and telephone expenses) for the previous fiscal year and estimates for the current year.

● Proposed method for prorating the indirect costs equitably and consistently across all programs and activities of using a base that measures the benefits of that particular cost to each program or activity to which the cost applies.

If the applicant does not have an approved NICRA and does not elect to utilize the 10% de minimis rate, the Agreement Officer will provide further instructions and may request additional supporting information, including financial statements and audits, should the application still be under consideration after the merit review. USAID is under no obligation to approve the applicant’s requested method.

9) Cost Sharing (if proposed) – USAID is not requesting a cost share. A cost share component may be requested in Associate Awards and will be outlined in the Associate Award request from USAID.

e) Prior Approvals in accordance with 2 CFR 200.407

Inclusion of an item of cost in the detailed application budget does not satisfy any requirements for prior approval by the Agency. If the applicant would like the award to reflect approval of any cost elements for which prior written approval is specifically required for allowability, the applicant must specify and justify that cost. See 2 CFR 200.407 for information regarding which cost elements require prior written approval.

f) Approval of Subawards

The applicant must submit information for all proposed subawards that it wishes to have approved at the time of award. For each proposed subaward the applicant must provide the following:

● Name of organization

● Identification as a subawardee

● Identification as local or international and attestation that it complies with the USAID’s definition of “local” found in ADS 303

● Unique Entity Identifier (UEI)

● Confirmation that the subrecipient does not appear on the Treasury Department’s Office of Foreign Assets Control (OFAC) list

● Confirmation that the subrecipient does not have active exclusions in the System for

Award Management (SAM)

● Confirmation that the subrecipient is not listed in the United Nations Security designation list

● Confirmation that the subrecipient is not suspended or debarred

● Confirmation that the applicant has completed a risk assessment of the subrecipient, in accordance with 2 CFR 200.332(b)

● Any negative findings as a result of the risk assessment and the applicant’s plan for mitigation.

Per 2 CFR 200.407, USAID requires prior approval of subawards made by the prime recipient.

USAID does not require prior approval of subsequent subawards or grants made by subawardees since USAID’s relationship is with the prime recipient.

In accordance with good practice #8 from USAID’s Locally Led Programs indicator, the prime recipient must “demonstrate good faith efforts to maximize subawards to local organizations.”

g) Unique Entity Identifier (UEI) and SAM Registration

Applicants must obtain a Unique Entity Identifier (UEI) and register in the System for Award Management (SAM) (https://sam.gov/) in order to be eligible to receive federal assistance, such as grants and cooperative agreements. Unless an exemption applies (see ADS 303maz), applicants must be registered in SAM prior to submitting an application for award for USAID’s consideration.

Each applicant (unless the applicant is an individual or entity that is exempted from UEI/SAM requirements under 2 CFR 25.110) is required to:

1. Provide a valid UEI for the applicant and all proposed subrecipients;

2. Be registered in SAM before submitting its application.

3. Continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency.

The registration process may take many weeks to complete. Therefore, applicants are encouraged to begin the process early. If an applicant has not fully complied with the requirements above by the time USAID is ready to make an award, USAID may determine that the applicant is not qualified to receive an award and use that determination as a basis for making an award to another applicant.

https://www.usaid.gov/sites/default/files/2023-07/Public%20Copy%20of%20Locally%20Led%20Programs%20PIRS_1.pdf https://sam.gov/ https://www.usaid.gov/about-us/agency-policy/series-300/references-chapter/303maz https://www.usaid.gov/about-us/agency-policy/series-300/references-chapter/303maz

Applicants can find additional resources for registering in SAM, including a Quick Start Guide and a video, on https://sam.gov/.

Note: to encourage localization efforts, UEI numbers for local partners are not required at the application stage but will be required at the time of award.

h) History of Performance (Past Performance Information - Attachment F)

The Applicant (prime only) must provide information regarding recent (not to exceed three years) its history of performance on any cost-reimbursement contracts, grants, or cooperative agreements with no maximum limit on the number of referenced awards as long as they are recent, relevant (not to exceed ten years), and involving similar or related programs as follows:

● Name of the Awarding Organization;

● Award Number;

● Activity Title;

● A brief description of the activity;

● Period of Performance;

● Award Amount;

● Reports and findings from any audits performed in the last three years; and

● Name of at least two updated professional contacts who most directly observed the work at the organization for which the service was performed with complete current contact information including telephone number, and e-mail address for each proposed individual.

If the applicant encountered problems on any of the referenced Awards, it may provide a short explanation and the corrective action taken. The applicant should not provide general information on its performance. USAID reserves the right to obtain relevant information concerning an applicant’s history of performance from any sources and may consider such information in its review of the applicant’s risk. The Agency may request additional information and conduct a pre-award survey if it determines that it is necessary to inform the risk assessment.

Applicants should use the format provided in Attachment F: Past Performance Information of the NOFO to document the detailed information as requested.

Branding Strategy & Marking Plan

The apparently successful applicant will be asked to provide a draft Branding Strategy and Marking Plan to be evaluated and approved by the Agreement Officer and incorporated into any resulting award.

Branding Strategy Standard USAID branding and marking will apply to this activity. Branding and marking requirements for cooperative agreements are explained in 22 CFR 226. In accordance with the requirements discussed in 22 CFR 226 and ADS 320, implementing partners will acknowledge USAID as the activity donor both verbally and in writing in all documents and media, as well as https://sam.gov/ https://www.usaid.gov/sites/default/files/2022-12/320.pdf during meetings, public events and technical assistance sessions with government stakeholders, local partners, and beneficiaries.

Naming This activity should be named in a manner that will help all audiences understand the purpose of our work. The name should be clear, concise, and represent the work of USAID. As noted in the USAID Graphic Standards Manual and Partner Co-Branding Guide. This activity should adhere to the following guidelines:

● Names should include a basic description of the project in simple language. Activities should use local language names when possible, or in French where a local language name is not feasible

● Names should not include abbreviations or acronyms

● Names may include USAID in the name, if appropriate

Marking Plan After technical evaluation of application for USAID funding, the USAID Agreement Officer will request the Applicant to submit a Marking Plan, defined in 22 CFR 226.2. The Marking Plan may include requests for approval of Presumptive Exceptions. All estimated costs associated with branding and marking USAID programs, such as plaques, labels, banners, press events, promotional materials, and the like, must be included in the total cost estimate of the grant or cooperative agreement or other assistance award, and are subject to revision and negotiation with the Agreement Officer upon submission of the Marking Plan.

Required communications materials In addition to a Branding Strategy and Marking Plan, Recipients will be required to submit the following communications materials on a timeline specified by USAID, using guidance explained in USAID’s Graphic Standards Manual and Partner Co-Branding…