72049219APS00001 Amendment 2.pdf

NFO 72049219APS00001, Amendment #2 Initiatives for Democracy

SUBJECT : Notice of Funding Opportunity (NFO) ANNOUNCEMENT TYPE : Annual Program Statement (APS) NFO NUMBER : 72049219APS00001, Amendment #2

CFDA NUMBER : 98.001

ISSUANCE DATE : April 15, 2019 CLOSING DATE FOR QUESTIONS : April 26, 2019, 3:00PM PhST (Philippine Standard

Time) ISSUANCE DATE OF AMENDMENT #2 : June 10, 2019 CLOSING DATE FOR APPLICATIONS : See specific Addendum/s issued under this APS.

The purpose of Amendment #2 is to complete a sentence in SECTION D: APPLICATION AND SUBMISSION INFORMATION FOR ADDENDUMS ISSUED UNDER THIS APS, in paragraph eight of page 22, so that it now reads: “Full application will be reviewed based on the Evaluation Criteria provided in E.2.a(2).” Please see section highlighted in yellow of the attached APS.

Sincerely, /s/ Sandra Jansen Agreement Officer Regional Office of Acquisition and Assistance

SECTION A: GENERAL PROGRAM DESCRIPTION

A.1 TITLE

The title of this Annual Program Statement is “INITIATIVES FOR DEMOCRACY’.

A.2 INTRODUCTION

The United States Agency for International Development mission in the Philippines (USAID or USAID/Philippines) is pleased to announce the Initiatives for Democracy Annual Program Statement (APS). Through this APS, USAID is soliciting applications for effective and innovative approaches and interventions that contribute to achieving the mission’s high level goal of “Enhanced democratic governance that provides economic and political inclusion and advances social stability.” Specifically, awards made through this APS are expected to build upon past USAID support in the four (4) programming areas of the Initiatives for Democracy-- human rights, media, elections and political participation, and local governance. Total estimated cost of this APS is $30 million, subject to availability of funds.

The scope and objectives of the Initiatives for Democracy contribute to the Philippine Development Plan1 of President Rodrigo Roa Duterte’s administration, 2017-2022, most notably the government’s commitment to:

● Fully engage and empower citizenry and advance participatory governance under Chapter 5 - Ensuring People-Centered, Clean and Efficient Governance;

● Deliver fair and equal justice including efforts to facilitate access to justice and advance human rights under Chapter 6 - Pursuing Swift and Fair Administration of Justice;

● Ensure compliance with requirements set by international human rights standards, under Chapter 18 - Ensuring Security, Public Order and Safety.

This APS also contributes to the country’s pledge to the Sustainable Development Goals, particularly Goal 16, to Promote Peaceful and Inclusive Societies for Sustainable Development, Provide Access to Justice for All, and Build Effective, Accountable Institutions at All Levels.2

A.3 BACKGROUND

The Philippines is a treaty ally and priority partner of the U.S., with a strategic location in the Indo-Pacific region. The U.S. government’s vision for the Indo-Pacific region,3 amplified by the

1 http://www.neda.gov.ph/philippine-development-plan-2017-2022/ 2 https://psa.gov.ph/sdg/Philippines/baselinedata/16%20Peace%2C%20Justice%20and%20Strong%20Institutions http://www.neda.gov.ph/philippine-development-plan-2017-2022/ https://psa.gov.ph/sdg/Philippines/baselinedata/16%20Peace%2C%20Justice%20and%20Strong%20Institutions

Asia Reassurance Initiative Act,4 highlights democratic governance as one of the key pillars of American partnerships in Asia, including the Philippines. Under the U.S. government’s Indo- Pacific vision, the United States seeks to promote transparent and accountable governance practices, bolster the resilience of democratic institutions that are responsive to their citizens, and safeguard democratic values. Democratic governance is envisioned to include deep and prominent civil society engagement, highlighting its role in achieving development and advancing human rights.

Democratic governance is also at the center of the USAID Administrator’s global vision of self-reliance, in which partner countries are better able to plan, finance and implement solutions to its own development challenges. The Journey to Self-Reliance will be best achieved by an open, accountable and democratic government that meaningfully engages an active and diverse civil society and private sector to realize inclusive development.5

One of the oldest democracies in Asia, the Philippines possesses the fundamentals to become a stronger stalwart of democratic governance in the Indo-Pacific. Among the well-documented strengths of the country’s democracy are the continued public preference for democratic rights and freedoms, generally peaceful and credible elections, a substantial degree of decentralization, pluralistic and vigilant civil society and media, a military that respects the constitution, and a legal framework generally supportive of inclusion and equality, especially for women.

Nevertheless, to fully achieve self-reliance, emerging and chronic deficiencies in democratic governance need to be addressed. This includes not only the widely noted democratic backsliding of recent years, but also long-standing constraints to open and pluralistic democratic space. The political and economic spheres are generally elite-dominated, which can limit the impact of interventions to address inclusion. Accounts of government responsiveness and effectiveness are mixed, with marked challenges in public spending and procurement, control of corruption, and service delivery. Local governments’ performance is likewise inconsistent, and many municipalities have struggled to reduce poverty. Independent institutions, such as congress and the judiciary, also face constraints that limit effectiveness in balancing a strong executive branch; congressional seats are dominated by political dynasties, and judicial processes are generally elongated. Pro-democracy groups, particularly civil society and the media, are confronted by old and new threats including political pressure, financial dependence, fragmentation, generational change and political disinformation.

3 https://www.whitehouse.gov/briefings-statements/president-trumps-administration-advancing-free-open-indo-pacific-investments-partnerships-economics-security-governance/, https://www.state.gov/secretary/remarks/2018/07/284722.htm and https://www.usaid.gov/news-information/press-releases/jul-30-2018-administrator-mark-green-remarks-indo-pacific-business-forum 4 https://www.congress.gov/bill/115th-congress/senate-bill/2736/text 5 https://www.usaid.gov/sites/default/files/documents/1870/J2SR_Fact_Sheet.pdf https://www.whitehouse.gov/briefings-statements/president-trumps-administration-advancing-free-open-indo-pacific-investments-partnerships-economics-security-governance/, https://www.whitehouse.gov/briefings-statements/president-trumps-administration-advancing-free-open-indo-pacific-investments-partnerships-economics-security-governance/, https://www.state.gov/secretary/remarks/2018/07/284722.htm%20and https://www.state.gov/secretary/remarks/2018/07/284722.htm%20and https://www.usaid.gov/news-information/press-releases/jul-30-2018-administrator-mark-green-remarks-indo-pacific-business-forum https://www.usaid.gov/news-information/press-releases/jul-30-2018-administrator-mark-green-remarks-indo-pacific-business-forum https://www.congress.gov/bill/115th-congress/senate-bill/2736/textasda https://www.usaid.gov/sites/default/files/documents/1870/J2SR_Fact_Sheet.pdfhhh

Initiatives for Democracy Objectives

In line with the U.S. government’s Indo-Pacific vision, this APS will support interventions along four (4) objectives, which will be fleshed out in separately-issued Addendums:

1. Media capacity and independence advanced

A strong and independent media is critical to a well-functioning democracy. By providing access to information, media ensures that citizens are able to make informed and responsible choices. By performing its checking functions, media is integral to transparent and accountable governance. Media also provides an important platform for citizens to exercise the right to freedom of opinion and expression, an essential tenet of liberal democracy.

Press freedom is guaranteed by the Philippine Constitution. Since re-democratization in 1986, the media ecosystem has been dynamic and has played a pivotal role in the country’s politics and governance. There are about 1,300 radio stations, close to 400 television stations, over 1,200 cable television stations, and about 50 newspapers in the Philippines.6 Television enjoys the widest coverage with over 70% of Filipinos watching television at least once weekly,7 and is the most trusted source of political information.8

However, Philippine media, as a democratic institution, is beset with challenges. While the country relatively performed better than ASEAN neighbors against the 2018 World Press Freedom Index,9 its ranking dipped 6 notches from the previous year-- attributable to violence against media actors. The Philippines abuses score under the index is worse than Cambodia, Myanmar and Laos, labeling the country as the deadliest in Asia for journalists. Media ownership is highly concentrated; two of the major broadcast companies account for about 80% of the television audience and close to 50% of the radio listenership.10 Self-regulation is spotty, and among the weaknesses are insufficient mechanisms and disincentives to discipline unethical behavior.11

Among the alarming threats to media are distortions that have been collectively termed “information disorder,” including misinformation, disinformation and “mal-information,” i.e.

genuine information that is shared to cause harm.12 While information fabrication and manipulation are not new, the internet and social apps have changed significantly the way information is produced and distributed: it is now cheaper and widely accessible, faster and

6 https://psa.gov.ph/sites/default/files/PIF%202016.pdf 7 2013 Functional Literacy, Education and Mass Media Survey, Philippine Statistics Authority cited in https://philippines.mom-rsf.org/en/media/tv/ 8 The Philippine Trust Index, 2015 by EON, cited in https://philippines.mom-rsf.org/en/media/tv/ 9 https://rsf.org/en/philippines 10 2016 TV Audience Measurement, Nielsen Philippines, cited in https://philippines.mom-rsf.org/en/media/tv/ 11 https://cmfr-phil.org/media-watch/does-self-regulation-have-a-future-in-the-philippines/ 12 A 2017 Council of Europe report introduces a conceptual framework for tackling information disorder and explains constructs behind the phenomenon, https://rm.coe.int/information-disorder-toward-an-interdisciplinary-framework-for-researc/168076277c https://psa.gov.ph/sites/default/files/PIF%202016.pdfkkk https://philippines.mom-rsf.org/en/media/tv/ccc https://philippines.mom-rsf.org/en/media/tv/jjj https://rsf.org/en/philippinesnnnn https://philippines.mom-rsf.org/en/media/tv/nn https://cmfr-phil.org/media-watch/does-self-regulation-have-a-future-in-the-philippines/mm done in real-time, highly personalized thus less likely to be challenged.13 Digital connectivity opened a vast space for citizens’ voices and engagement; however, the same space is also hijacked to distort public policy debates, limit political dissent, exploit public opinion and divisiveness, and discredit media, as observed in the Philippines.14

The APS invites innovative applications to advance media capacity and independence in three

(3) areas:

Improve the environment for a free press - Capitalizing on the symbiotic relationship between civil society and the media, USAID intends to support a broad and diverse coalition of stakeholders and champions who will work with media organizations to address press freedom issues, including legal threats, abuse and violence. Initiatives may include network strengthening, partnership facilitation and citizen engagement in support of media independence. The APS invites novel ideas that promote adherence to press freedom rights and protections.

Bolster capacity of media and other organizations to address disinformation - Funds are dedicated to upskill media practitioners and organizations in effectively debunking information disorder content and sources, and expanding their ability to use multi-platform information delivery. USAID also intends to strengthen media effectiveness in reaching and engaging youth audiences to tackle disinformation. Proponents are encouraged to explore collaborative partnerships with technology companies, innovators, academic institutions, and regulatory bodies to address the issue.

Strengthen self-regulation - Assistance under this component desires to promote the professional standards of media and journalism, reinforce self-monitoring, and improve content quality. USAID has a particular interest in supporting activities to organize and collaborate with the community of social media influencers in improving governance of the digital space.

2. Public support for human rights increased

Respect for human rights is vital to advancing a free, open and rules-based Indo-Pacific region;

it is also a foundational element of democratic governance. Promotion of human rights in the region is exigent at this time, given the growing sentiment of human rights being sidelined in the political agenda of a number of governments.15 In the Philippines, wide-ranging international and domestic reports have raised concerns about the human rights situation in the country. Concurrently, a low level of public discomfort towards abuses has been observed.

A nationwide survey of college students on public issues, including human rights, found that an

13 Ibid.

14 https://newtontechfordev.com/wp-content/uploads/2018/02/ARCHITECTS-OF-NETWORKED-DISINFORMATION- FULL-REPORT.pdf 15 https://www.hrw.org/sites/default/files/supporting_resources/asean_australia0318.pdf https://newtontechfordev.com/wp-content/uploads/2018/02/ARCHITECTS-OF-NETWORKED-DISINFORMATION-FULL-REPORT.pdfbbb https://newtontechfordev.com/wp-content/uploads/2018/02/ARCHITECTS-OF-NETWORKED-DISINFORMATION-FULL-REPORT.pdfbbb https://www.hrw.org/sites/default/files/supporting_resources/asean_australia0318.pdf alarming 41% favored summary execution as a legitimate method of crime control, and 37% supported the idea of isolating HIV afflicted patients.16

USAID intends to support human rights programming in ways that build upon strong foundations in the Philippines. A solid legal and institutional framework, based on the 1987 Constitution, a dedicated national commission with sub-national presence and a deeply engaged community of civil society champions are among the underpinnings of the country’s human rights protection system. The Philippine Supreme Court has ruled on constitutional cases on human rights and related topics. In early April this year, the high court ordered the release of thousands of police records, acting on a petition of civil society groups.17

The APS solicits innovative and tested social behavior change interventions to raise public awareness and support for civil and political rights enshrined in the Philippine Constitution.

Activities are envisioned to be organized in three inter-related components:

Build the evidence base for behavior change strategies - Successful social behavior change interventions are data-driven. This component will support assessments intended to capture and understand Filipino sentiments, knowledge and attitudes on human rights, which will guide the activities of the other two components. USAID also expects the potential partner to dedicate funds for testing proposed communications interventions and monitoring results for adaptive implementation.

Implement social behavior change interventions to increase citizen engagement in support of human rights - USAID seeks creative and strategic approaches to raise citizen awareness and knowledge and inspire positive behaviors to reinforce respect for human rights. Applicants are asked to present their thinking on priority geographic areas, vulnerable groups and scale-up strategies.

Enhance the capacity of communities, civil society and local champions to advocate the advancement of human rights - The desire of social behavior change interventions is positive action. This component will provide sub-grants, primarily to Filipino organizations, and other support for broad and inclusive coalitions to advance their human rights agenda. Applicants are highly encouraged to actively engage a diverse community of local institutions potentially including civil society, faith-based groups, academic institutions, the private sector, government bodies, and other stakeholders.

16 College Experience Survey, https://www.feu.edu.ph/manila/index.php/feu-public-policy-center-does-gen-z-care/ 17 https://www.rappler.com/nation/227214-supreme-court-decision-release-drug-war-documents https://www.feu.edu.ph/manila/index.php/feu-public-policy-center-does-gen-z-care/kkk https://www.feu.edu.ph/manila/index.php/feu-public-policy-center-does-gen-z-care/kkk https://www.philstar.com/headlines/2019/04/04/1907103/government-comply-supreme-court-order-tokhang

3. Political participation enhanced

Globally, while formal electoral processes have progressed, the quality of political participation and other aspects of democracy that make elections more meaningful have declined18. The same trend is observed in the Philippines: V-Dem’s 2018 report places the country among electoral democracies with social inclusion scores lower than some closed autocracies.19 Extant literature on the Philippines attributes the limitations of political processes to weak political parties20, clientelism21 and tenuous checks on a strong executive22 and a hyper-presidential system.23 While civil society is vibrant, its effectiveness in advancing social changes is generally incremental,24 given the obstacles to financial sustainability, effective advocacy and consensus building.25 There is also concern on political apathy, especially among youth. A national survey of college students indicates low levels of self-reported involvement in political and civic activities.26 Over the last few years, many observers have noted democratic backsliding27 in the Philippines.28

Healthy democracies rest on political traditions and processes that enable citizens to influence decisions of the government. The United States is committed to strengthening and consolidating inclusive and accountable democracies in the Indo-Pacific to advance prosperity, rights and the pursuit of freedom, and security of partner countries from external coercion.

The APS calls for applications to expand political participation and civic engagement in the following key areas:

18 https://www.v-dem.net/media/filer_public/3f/19/3f19efc9-e25f-4356-b159-b5c0ec894115/v-dem_democracy_report2018.pdf 19 Ibid 20 Montinola,Gabriella.(1999).Parties and Accountability in the Philippines.Journal of Democracy.10.126- 140.10.1353/jod.1999.0013 21 Hutchcroft, P., & Rocamora, J. (2003). /Strong Demands and Weak Institutions: The Origins and Evolution of the Democratic Deficit in the Philippines. Journal of East Asian Studies, 3(2), 259-292.

22 https://carnegieendowment.org/2019/01/10/philippine-politics-under-duterte-midterm-assessment-pub-78091 23 https://digitalcommons.law.yale.edu/cgi/viewcontent.cgi?article=5170&context=fss_papers 24 Turner, Mark. (2011). How to win friends and influence people: Civic engagement in the Philippines. Public Administration and Development. 31. 10.1002/pad.596.

25 https://www.usaid.gov/sites/default/files/documents/1866/CSOSI_Asia_Regional_Report_3.pdf 26 https://www.feu.edu.ph/manila/index.php/feu-public-policy-center-does-gen-z-care/ 27 For a definition of democratic backsliding see https://www.usaid.gov/sites/default/files/documents/2496/Theories%20of%20Democratic%20Change%20Phase% 201--Democratic%20Backsliding.pdf; and https://www.journalofdemocracy.org/article/democratic-backsliding 28 See for example: https://carnegieendowment.org/2019/01/10/philippine-politics-under-duterte-midterm-assessment-pub-78091 https://www.washingtonpost.com/news/theworldpost/wp/2018/03/20/duterte/?utm_term=.ddb1d8d622d4 https://www.foreignaffairs.com/articles/2018-11-06/after-democracy https://www.foreignaffairs.com/articles/2018-04-16/end-democratic-century https://www.economist.com/international/2018/06/14/after-decades-of-triumph-democracy-is-losing-ground https://www.economist.com/leaders/2018/06/16/lessons-from-the-rise-of-strongmen-in-weak-states http://time.com/5264170/the-strongmen-era-is-here-heres-what-it-means-for-you/ https://www.v-dem.net/media/filer_public/3f/19/3f19efc9-e25f-4356-b159-b5c0ec894115/v-dem_democracy_report2018.pdf https://www.v-dem.net/media/filer_public/3f/19/3f19efc9-e25f-4356-b159-b5c0ec894115/v-dem_democracy_report2018.pdf https://carnegieendowment.org/2019/01/10/philippine-politics-under-duterte-midterm-assessment-pub-78091 https://digitalcommons.law.yale.edu/cgi/viewcontent.cgi?article=5170&context=fss_papers https://www.usaid.gov/sites/default/files/documents/1866/CSOSI_Asia_Regional_Report_3.pdfkkk https://www.feu.edu.ph/manila/index.php/feu-public-policy-center-does-gen-z-care/fff https://www.usaid.gov/sites/default/files/documents/2496/Theories%20of%20Democratic%20Change%20Phase%201--Democratic%20Backsliding.pdf https://www.usaid.gov/sites/default/files/documents/2496/Theories%20of%20Democratic%20Change%20Phase%201--Democratic%20Backsliding.pdf https://www.usaid.gov/sites/default/files/documents/2496/Theories%20of%20Democratic%20Change%20Phase%201--Democratic%20Backsliding.pdfnnn https://www.usaid.gov/sites/default/files/documents/2496/Theories%20of%20Democratic%20Change%20Phase%201--Democratic%20Backsliding.pdfnnn https://www.journalofdemocracy.org/article/democratic-backsliding https://www.journalofdemocracy.org/article/democratic-backsliding https://carnegieendowment.org/2019/01/10/philippine-politics-under-duterte-midterm-assessment-pub-78091 https://carnegieendowment.org/2019/01/10/philippine-politics-under-duterte-midterm-assessment-pub-78091 https://carnegieendowment.org/2019/01/10/philippine-politics-under-duterte-midterm-assessment-pub-78091kkk https://www.washingtonpost.com/news/theworldpost/wp/2018/03/20/duterte/?utm_term=.ddb1d8d622d4kkk https://www.washingtonpost.com/news/theworldpost/wp/2018/03/20/duterte/?utm_term=.ddb1d8d622d4kkk https://www.foreignaffairs.com/articles/2018-11-06/after-democracy https://www.foreignaffairs.com/articles/2018-11-06/after-democracy https://www.foreignaffairs.com/articles/2018-04-16/end-democratic-centuryMMM https://www.economist.com/international/2018/06/14/after-decades-of-triumph-democracy-is-losing-ground https://www.economist.com/international/2018/06/14/after-decades-of-triumph-democracy-is-losing-ground https://www.economist.com/international/2018/06/14/after-decades-of-triumph-democracy-is-losing-ground https://www.economist.com/international/2018/06/14/after-decades-of-triumph-democracy-is-losing-ground https://www.economist.com/leaders/2018/06/16/lessons-from-the-rise-of-strongmen-in-weak-states https://www.economist.com/leaders/2018/06/16/lessons-from-the-rise-of-strongmen-in-weak-states http://time.com/5264170/the-strongmen-era-is-here-heres-what-it-means-for-you/mmm

Promote civic education – USAID intends to support strategic interventions to raise citizen awareness and political participation and reinforce democratic values and traditions. The APS invites innovative proposals to stimulate discourse on public policy issues, which may include technology solutions. Funds will be set aside for partnerships with local organizations, including think tanks, the academe, and the private sector, to foster civic culture that strongly reflects democratic values. With about a third of the Filipino voting population in the youth age group,29 emphasis is placed on youth engagement and promoting their political participation and leadership. Applicants are asked to describe their thinking on priority geographic areas and target population groups.

Increase resilience of electoral process – Building upon its prior support for Philippines elections, including technical assistance in automated elections, USAID intends to resume political process activities including voter education, citizen-led campaign finance monitoring and issue-based debates. The desire is to address threats to well-established electoral systems that may include vote-buying, foreign interference in democratic processes, political polarization, disinformation tactics, and generational change. Enhanced public participation in elections will aim to increase political competition and the range of electoral choice in the Philippines.

4. Local governance bolstered

The quality of democratic governance can vary considerably within a country. A 2016 groundbreaking study found that a single type of political system may not uniformly exist throughout a country, and subnational variation is often observed in countries that are ethnically and economically diverse, populous and topographically rugged30 such as the Philippines. Investments to improve subnational democracy may yield dividends, perhaps even greater than national level interventions.

The Philippines 1991 Local Government Code was designed to enable local governments to be self-reliant, able to disperse growth and development. Decades later, the performance of local governments has been variegated,31 with some having more difficulty in addressing development problems than others. A number of localities even display markedly less democratic attributes.

USAID invites insightful applications to bolster local governance through the following:

Increase transparency and accountability – The APS requests ideas to promote democratic local governance through impactful interventions that promote meaningful interaction among government, civil society and the private sector. These can include interventions for

29 http://www.pna.gov.ph/articles/1050625 30 https://www.v-dem.net/media/filer_public/09/13/0913d3dd-5974-4e1d-b168-0986891f415e/v-dem_working_paper_2016_28.pdf 31 https://www.pids.gov.ph/infocus/115 http://www.pna.gov.ph/articles/1050625 https://www.v-dem.net/media/filer_public/09/13/0913d3dd-5974-4e1d-b168-0986891f415e/v-dem_working_paper_2016_28.pdf https://www.v-dem.net/media/filer_public/09/13/0913d3dd-5974-4e1d-b168-0986891f415e/v-dem_working_paper_2016_28.pdf https://www.pids.gov.ph/infocus/115 participatory planning and budgeting and greater citizen and private sector involvement in local legislation and decision-making.

Improve third party oversight of local procurement - A key concern for local governance is procurement, a nexus of economic growth and democratic governance reforms. Local government compliance with procurement regulations is generally low, skills and capacity underdeveloped and corruption risks are high.32 Flawed procurement capacity at the subnational level creates opportunities for greater problems, including the inflow of potentially corrosive capital.33 The APS solicits proposals to increase third party oversight of large-scale, high-risk procurement projects, including both local and national infrastructure projects that can be overseen by the communities affected.

Support policy dialogues to advance local governance and decentralization – irrespective of whether the Philippines formally takes up proposals for a shift to federalism, there is a need to revisit and discuss key provisions of the 1991 Local Government Code. USAID awaits proposals to organize an inclusive, strategic process that will gather reflections on the impact of the local government law and build consensus around changes needed to enable local governments to be more self-reliant. Public dialogues must involve a diverse community of champions, representing national and local governments, a large cadre of civil society and fully engaged private sector.

In all three areas of local governance programming, USAID asks Applicants to present their thinking on prioritization, specifically the filters for targeting local governments to engage, the development issues to tackle, and the selection and mobilization of non-government partners.

The Initiatives for Democracy APS may also be utilized to address other emerging challenges that affect democracy, human rights and governance in the Philippines.

USAID activities and mechanisms in place

The USAID/Philippines Economic Development and Governance portfolio is implemented through support for technical assistance, training, and grants. The following new activities have been awarded since August 2018:

• Access to Justice and Support to Rule of Law in the Philippines, implemented by Freedom House in partnership with the American Bar Association Rule of Law Initiative.

This activity awards grants to local organizations to expand awareness and legal assistance for vulnerable communities and provides technical assistance to judicial institutions on reforms to expedite case resolution.

32http://documents.worldbank.org/curated/en/724191468332667301/pdf/839620PUB020120Box0382124B00PU BLIC0.pdf 33 http://www.eastbysoutheast.com/chinas-fdi-in-the-philippines-problems-and-prospects/ http://documents.worldbank.org/curated/en/724191468332667301/pdf/839620PUB020120Box0382124B00PUBLIC0.pdf http://documents.worldbank.org/curated/en/724191468332667301/pdf/839620PUB020120Box0382124B00PUBLIC0.pdf http://www.eastbysoutheast.com/chinas-fdi-in-the-philippines-problems-and-prospects/

• Philippines Performance Audit Partnership, implemented by the U.S. government Accountability Office (GAO) under a Participating Agency Service Agreement, to train state auditors and conduct high public interest performance audits.

• Marawi Response Project, implemented by Plan International, supports communities directly affected by the Marawi siege to recover from the displacement by improving their economic conditions and fostering cooperation among displaced and host family groups.

• Regulatory Reform Support Program for National Development (RESPOND), is expected to be awarded in April 2019. It will promote market competition through addressing barriers to entry, lower transaction costs, and the reduction of regulatory burden on business. The activity will include assistance to strengthen regulatory oversight, transparency, and accountability mechanisms, including via advocacy of multi-stakeholder coalitions.

• Delivering Effective Government for Competitiveness and Inclusive Growth (DELIVER), currently under procurement. It will advance infrastructure development by providing technical assistance to line agencies for procurement, public financial management, and domestic resource mobilization; supporting public-private partnerships; and facilitating inter-agency coordination. Other focal areas include advancing the competitiveness of small and medium-size enterprises by strengthening value chains, enhancing access to finance, and promoting trade facilitation.

A.4 GEOGRAPHIC AND TARGET POPULATION

In general, activities to be awarded under this APS will be implemented nationwide, unless as otherwise indicated above and in the separate Addendums.

A.5 GUIDING PRINCIPLES

Applicants are requested to incorporate these guiding principles in their proposals:

Gender - Consistent with USAID’s Gender Equality and Female Empowerment Policy34 and related guidance, as well as the Women's Entrepreneurship and Economic Empowerment Act of 2018,35 USAID expects that proposed activities will be sensitive to gender dynamics.

Applicants are asked to explore opportunities to advance gender equality and female empowerment in designing new approaches. This includes pursuing an inclusive approach to foster equality, building partnerships across a wide range of stakeholders, harnessing science, technology, and innovation to reduce gender gaps and empower women and girls, and addressing unique challenges that affect women and men differently.

34 https://www.usaid.gov/sites/default/files/documents/1865/GenderEqualityPolicy_0.pdf; see also ADS 205.

35 https://www.congress.gov/bill/115th-congress/senate-bill/3247/text https://www.usaid.gov/sites/default/files/documents/1865/GenderEqualityPolicy_0.pdfOOO https://www.congress.gov/bill/115th-congress/senate-bill/3247/textOOO

Innovation, adaptation and evidence-based implementation - USAID intends to support activities that utilize data and evidence to inform and carry out interventions with the greatest chance of success. Collecting, measuring and using data and evidence will be important for developing policies and interventions. USAID strongly encourages potential partners to use collaborating, learning, and adapting approaches.36

Capacity-building - USAID supports approaches that strengthen Filipino organizations, including but not limited to national institutions, local government units, and civil society and private sector organizations. The desire is to empower partner local organizations through transfer of knowledge, skills enhancement and systems strengthening. Capacity building can incorporate analysis of how an organization fits into its ecosystem, build capabilities to respond, and incorporate flexibility into the organization’s structure to address challenges and maximize opportunities.

Partnering with local organizations and non-traditional partners - USAID-supported activities are expected to establish partnerships to expand the reach of civil society, private sector organizations, and to better promote collaboration between state and non-state actors in democratic governance. Partners may include local communities, schools and academic institutions, public and private actors, professional societies as well as faith-based, non-governmental, and civil society organizations. USAID seeks to expand partnerships with non-traditional organizations, including private sector entities and others that have not typically received USAID contract or grant funds in the past.

Sustainability and self-reliance - USAID seeks to advance the ability of a country, working across sectors, including government, civil society, citizens, and economic actors, to solve its own development challenges. USAID assistance is oriented to support a country’s own transition towards self-reliance, as reflected in the relative capacities and commitment of key actors and institutions.37 In parallel, USAID aims to reinforce the sustainability of political processes, organizations and institutions, networks and capacities supported under this APS.

Private sector engagement - Consistent with USAID’s Private Sector Engagement Policy,38 USAID expects implementing partners to engage and build relationships with private-sector partners. This may include due diligence to bring in commercial partners that offer unique value. The desire is to explore different forms of private sector engagement, including non-financial collaboration; expand and pilot private sector approaches for greater impact; and share experiences to enhance learning in private sector engagement.

36 https://usaidlearninglab.org/qrg/understanding-cla-0 37 https://www.usaid.gov/selfreliance/ 38 https://www.usaid.gov/work-usaid/private-sector-engagement/policy https://usaidlearninglab.org/qrg/understanding-cla-0LLL https://www.usaid.gov/selfreliance/hh https://www.usaid.gov/work-usaid/private-sector-engagement/policykkk

Resilience and conflict-sensitive assistance - Consistent with USAID’s Resilience policy and related guidance,39 USAID expects that democracy, human rights, and governance programming under the Initiatives for Democracy APS will strengthen resilience outcomes.

Functioning institutions of good governance and democratic accountability are essential to developing a country’s adaptive capacity and its ability to address and reduce risk. Good governance requires institutions and processes that are transparent, accountable, and responsive to the people they serve and that promote positive state-society relationships including a strong civil society and a vibrant private sector. Governance capacity determines the ability of the state to respond effectively to crises and to address the long-term development needs required to effectively address recurrent issues. Furthermore, good governance is crucial to prevent and mitigate conflict, which plays a detrimental role in many of the communities where we are applying a resilience approach and which has, in past efforts to build resilience, stood decisively in the way of sustainable progress.

In terms of conflict-sensitivity, USAID expects implementers to identify sources of social conflict, design activities to reflect the social conflict analysis and impact of trauma on staff and beneficiaries, identify risks of implementation being affected by specific social conflict issues or contributing to tensions, develop sound strategies for minimizing these risks, and identify opportunities for reinforcing peaceful outcomes (increased dialogue or constructive collaboration between divided groups, improved coping strategies, less violence, etc.).

A.6 AUTHORIZING LEGISLATION AND APPLICABLE REGULATIONS AND POLICIES

The Foreign Assistance Act of 1961, as amended, is the authority for this APS and any resulting award from each Addendum issued under it. Applicable policies of ADS 303 and all Standard Provisions will apply to all awards made under this APS.

For U.S. organizations, 2 CFR 700, 2 CFR 200, and ADS 303maa, Standard Provisions for U.S.

Non-governmental Organizations, are applicable.

For non-U.S. organizations, ADS 303mab, Standard Provisions for non-U.S. Non-governmental Organizations, will apply.

[END OF SECTION A]

39 https://www.usaid.gov/resilience https://www.usaid.gov/resiliencePPP

SECTION B: FEDERAL AWARD INFORMATION

B.1 Estimate of Funds Available and Number of Awards Contemplated

Subject to the availability of funds, USAID intends to make at least four (4) awards as a result of the separately-issued Addendums to this APS. The range of dollar values for each award will be indicated in each Addendum.

USAID reserves the right to fund any or none of the applications developed under each Addendum.

USAID likewise reserves the right to fund activities incrementally over the duration of said awards, if necessary, depending on the availability of funds, the level of performance against approved indicators, and their continued relevance to USAID programs.

B.2 Anticipated Start Date and Period of Performance for Federal Awards

Awards under the Addendums to this APS will be for a maximum period of sixty (60) months.

Because award selection will be made on a rolling basis depending on the specific Addendum, start dates will vary per award.

B.3 Types of Awards

Under an APS, the resultant award is an assistance instrument, either a grant or a cooperative agreement, whose principal purpose is for USAID to transfer funds to the recipient in order to accomplish a public purpose of support or stimulation. Under this APS, USAID will support the broad goals and objectives stated in Section A, and the specific goals and objectives stated in each separately-issued Addendum.

USAID intends to award one (1) cooperative agreement per Addendum.

B.4 Nature of the Relationship between USAID and the Recipient

Under each Addendum, the successful recipient will be responsible for ensuring the achievement of activity objectives as well as the efficient and effective administration of the award through the application of sound management practices. The recipient will assume responsibility for administering Federal funds in a manner consistent with underlying agreements, program objectives, and the terms and conditions of the Federal award. The recipient has the primary responsibility for employing its own unique combination of staff, facilities, and experience, as well as necessary organizational and management techniques in order to assure proper and efficient administration of the resulting award.

B.5 Selection of Instrument

In support of the priorities of the 2017-2022 Philippine Development Plan and the Philippines’ long term vision – Ambisyon Natin 2040, and in line with the U.S. government’s Indo-Pacific vision and the Asia Reassurance Initiative Act, USAID aims to enhance democratic governance in the country in order to promote economic and democratic inclusion and advance social stability. USAID’s design work is informed by market research based on recent publications, publicly available information and key informant interviews. This market research confirms the continued presence of strong civil society organizations and other non-government institutions which have clear democratic governance-related mandates and objectives and the capacity to implement additional programs in their respective sectors. Given these considerations, it would be best for USAID to support organizations that will carry out their own projects for their intended beneficiaries. Some USAID guidance and direction would be needed to ensure that USAID support is implemented in accordance with funding priorities and that they achieve expected results.

B.6 Substantial Involvement

In a cooperative agreement, USAID will remain substantially involved over the life of the award, to assist the recipient in achieving the expected outcomes and results of the program.

Substantial involvement under the proposed award may include the following:

a. Approval of the recipient’s implementation plan. Annual implementation plans with supporting budgets, and subsequent revisions thereto, are subject to prior written approval by USAID’s Agreement Officer’s Representative (AOR) before any substantive work for each year of the award is executed.

b. Approval of key personnel. The key positions will be identified in each Addendum.

These personnel are subject to prior written approval by the Agreement Officer (AO).

c. USAID and recipient collaboration or joint participation. The recipient’s successful accomplishment of program objectives will benefit from USAID’s technical knowledge.

Thus, the AO authorizes the collaboration or joint participation of USAID and the recipient on the program. Areas for collaboration may include but are not limited to:

1) Geographic targeting. Prior written USAID AOR concurrence is required on final decisions concerning the geographic targeting of Initiatives for Democracy activities.

2) Approval of the recipient’s Activity Monitoring, Evaluation and Learning Plan

(AMELP). In consultation with USAID through the AOR, the recipient will develop the AMELP which will align with the monitoring and reporting framework, and other relevant reporting mechanisms required by USAID/Philippines. During the first ninety (90) from award date, the recipient will work closely with the AOR to establish major milestones, program monitoring indicators, as well as baseline data and performance targets which will demonstrate successful achievement of the results expected from this activity.

3) Monitoring the activity. USAID will monitor activities to ensure they are supporting

Mission purpose, to share best practices and capture lessons learned and will authorize direction and/or redirection of interventions specified in the Program Description due to U.S. foreign policy objectives and priorities, as well as interrelationships with other programs, including those of USAID’s. Monitoring includes but will not be limited to site visits; reviewing terms of reference, quarterly and other types of reports, deliverables and other products; and participating in technical meetings, as appropriate.

4) Approval of sub-awards. Per 2 CFR 200.308, all sub-awards (whether contracts40 or sub-grants) not included and approved in the original cooperative agreement, will require prior written AO approval. In addition, substantive provisions of sub-awards require prior written AOR concurrence.

d. Agency authority to immediately halt a construction activity. USAID retains the authority to immediately halt any construction that may be undertaken under this activity.

For purposes of this activity, “construction” means: construction, alteration, or repair

(including dredging and excavation) of buildings, structures, or other real property and includes without limitation, improvements, renovation, alteration, and refurbishment.

The term includes, without limitation, roads, power plants, buildings, bridges, water treatment facilities, and vertical structures.

No new construction activities are authorized under this activity.

B.7 Authorized Geographic Code

The authorized geographic code for the procurement of services and commodities under this APS is 937. Code 937 is defined as any area or country including the recipient country (Philippines), but excluding any country that is a prohibited source per USAID regulations. There are currently no prohibited source countries, but the list is updated regularly and can be found at: http://www.usaid.gov/sites/default/files/documents/1864/310mac.pdf.

40 Except contracts for the acquisition of supplies, materials, equipment or general support services http://www.usaid.gov/sites/default/files/documents/1864/310mac.pdf

B.8 Title to Property

Under any cooperative agreement awarded under any Addendum to this APS, title to property financed by USAID will vest in the recipient, and will be subject to the USAID Standard Provision for U.S. Non-Governmental Organizations or Non-U.S. Non-Governmental Organizations, whichever is applicable.

[END OF SECTION B]

SECTION C: ELIGIBILITY INFORMATIION

C.1 Eligible Applicants

This funding opportunity is open to all eligible U.S. and non-U.S. nongovernmental organizations (other than those from foreign policy restricted countries), including but not limited to foundations, academic organizations, media organizations or associations, for-profit private enterprises, and consortia. Individuals are not eligible to participate in this APS or in any of the Addendums.

USAID welcomes organizations that have not previously received financial assistance from

USAID.

Pursuant to 2 CFR 200.400(g), it is USAID policy not to award profit under assistance instruments such as cooperative agreements. Pursuant to 2 CFR 700.13(A)(1), Prohibition against Profit, no funds will be paid as profit to any for-profit entity receiving or administering Federal financial assistance as a recipient or sub-recipient, and as such, for-profit organizations must waive profits and/or fees to be eligible to submit an application.

Applicants must have established financial management, monitoring and evaluation processes, internal control systems, and policies and procedures that comply with established U.S.

government standards, laws, and regulations.

Applicants must have a valid DUNS41 number to submit an application. They also must be registered and is active in SAM42, unless excepted by USAID from those requirements under 2 CFR 25.110(b) or (c), or has an exception approved by USAID under 2 CFR 25.110(d). Actual registration is not necessary during the application and review process. However, after the review, the applicant determined by the AO as the ASA under an Addendum, must have successfully registered and have an active registration in SAM before an award can be made.

Federal awarding agencies may not make an award to an applicant until it has fully complied with all applicable DUNS and SAM requirements. If an applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make an award, the Federal awarding agency may determine that the applicant is not qualified to receive the award and use that determination as a basis for making giving the award to another applicant.

The SAM registration process may take many weeks to complete. Therefore applicants are encouraged to begin the process early.

41 DUNS numbers can be obtained free of charge from http://fedgov.dnb.com/webform.

42 The U.S. government’s System for Award Management (SAM) is at www.sam.gov.

http://fedgov.dnb.com/webform http://www.sam.gov/

The Applicant, must continue to maintain an active SAM registration with recent information at all times during which it has an active Federal award or an application or plan under consideration by USAID.

For applicants who have previously registered in SAM and have not renewed: they must renew and maintain an active SAM registration during the time their applications are under consideration by USAID or any Federal awarding agency, or during an active Federal award.

C.2 New Partners

a. Potential New Implementing Partners

USAID encourages applications from potential new implementing partners in support of the Agency’s interest in fostering a larger assistance base, diversifying the partner base, and expanding the number and sustainability of development partners.43

Note though that resultant awards to new organizations may be significantly delayed when USAID undertakes necessary pre-award reviews of these organizations to assess risk in making award to them. Non-U.S. Organization Pre-award Survey Guidelines and Support are available at http://www.usaid.gov/sites/default/files/documents/1868/303sam.pdf.

b. Pre-Award Risk Assessment

In order for an award to be made, the AO must make a positive “risk assessment” as required in ADS 303.3.9. This means the applicant must possess or have the ability to obtain, the necessary management and technical competence to plan and carry out the proposed program. The applicant also agrees to practice mutually agreed-upon methods of accountability for funds and other assets provided or funded by USAID.

In the absence of a positive risk assessment, an award cannot ordinarily be made. However, in rare cases, an award can be made with “Specific Conditions” (i.e., additional non-standard award requirements designed to minimize USAID’s risk in making an award to an organization for which a positive risk assessment cannot be made), but only when it appears likely that the applicant can correct the deficiency within a reasonable period.

43 See USAID A&A Strategy at https://www.usaid.