Amendment #1 - 72052120RFA00008 Coastal and Marine Habitat Conservation Activity.pdf

Issue Date: June 22, 2020 Deadline for Question: July 2, 2020 Amendment#1 Issue Date: July 31, 2020 Closing Date: August 6, 2020 Closing Time: 1:00 P.M. Local Time

Subject: Amendment #1 Request for Application (RFA):

72052120RFA00008

Program Title: Coastal and Marine Habitat Conservation Activity

Catalog of Federal Domestic Assistance (CFDA) Number: 98.001

Ladies/Gentlemen:

The United States Agency for International Development (USAID) is seeking applications for a Fixed Amount Award (FAA) from qualified entities to implement the Coastal and Marine Habitat Conservation Activity. Eligibility for this award is restricted to non-profit, non-governmental organizations and private institutions of higher education based in Haiti.

USAID intends to make an award to the applicant(s) who best meets the objectives of this funding opportunity based on the merit review criteria described in this Request for Application (RFA) subject to a risk assessment. Eligible parties interested in submitting an application are encouraged to read this RFA thoroughly to understand the type of program sought, application submission requirements and selection process.

To be eligible for award, the applicant must provide all information as required in this RFA and meet eligibility standards in Section C of this RFA. 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 RFA has been received from the internet in its entirety. USAID bears no responsibility for data errors resulting from the transmission or conversion process. If you have difficulty registering on www.grants.gov or accessing the RFA, 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 and System for Award Management (SAM) requirements detailed in Section D.6.f.

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

http://www.grants.gov/ mailto:support@grants.gov

Request for Application (RFA) #72052120RFA00008 Coastal and Marine Habitat Conservation Activity

Please send any questions to the point(s) of contact identified in Section D. 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 request for application 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.

Thank you for your interest in USAID programs.

Sincerely, Sharon M. Baker Supervisory Agreement Officer

TABLE OF CONTENTS

SECTION A: PROGRAM DESCRIPTION 4

SECTION B: FEDERAL AWARD INFORMATION 10

SECTION C: ELIGIBILITY INFORMATION 11

SECTION D: APPLICATION AND SUBMISSION INFORMATION 12

SECTION E: APPLICATION REVIEW INFORMATION 26

SECTION F: FEDERAL AWARD ADMINISTRATION INFORMATION 28

SECTION G: FEDERAL AWARDING AGENCY CONTACT(S) 31

SECTION H: OTHER INFORMATION 32

ANNEX 1 – CERTIFICATIONS AND ASSURANCES 33

ANNEX 2 – SUMMARY BUDGET TEMPLATE 43

ANNEX 3 – STANDARD PROVISIONS 45

ANNEX 4 - ABBREVIATIONS AND ACRONYMS 46

SECTION A: PROGRAM DESCRIPTION

AUTHORITY

Pursuant to the Foreign Assistance Act of 1961, as amended (FAA), the United States Government (USG), as represented by the U.S. Agency for International Development (USAID), Haiti Mission, is seeking to support or stimulate the activities described below, and requests applications from any non-profit, non-governmental organizations and private institutions of higher education based in Haiti (see Section C.1 of this RFA for eligibility) to manage and implement the Coastal and Marine Habitat Conservation Activity.

Administration of Award(s) Resulting from this Notice of Funding Opportunity (NOFO)

The prime award resulting from this RFA will be administered in accordance with the following:

• 2 CFR 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards;

• 2 CFR 700 (USAID’s implementation of 2 CFR 200);

• Chapter 303 of USAID’s Automated Directives System (ADS-303); and

• USAID Mandatory and Required-as-Applicable Standard Provisions for

Fixed Amount Awards to Nongovernmental Organizations.

PROBLEM STATEMENT

Poor management of Haiti’s coastal and marine resources is exacerbated by poverty and the need for productive livelihoods. Overfishing and pollution along with mangrove, coral reef, and other coastal habitat destruction have increased dramatically over the last 50 years as coastal development and population densities have grown. This unsustainable natural resource management has led to plummeting fish catches, coastal zone erosion, and reduced opportunities for economic development based on tourism.

PURPOSE STATEMENT

The purpose of this activity is to improve human wellbeing and reduce the threats to biodiversity by improving agriculture and fishing practices in coastal and marine environments of Haiti.

OBJECTIVES AND EXPECTED RESULTS

Objectives The Coastal and Marine Habitat Conservation activity has four main objectives to achieve the activity purpose. Specifically, the objectives are to:

- To reduce the underlying threats to coastal and marine resources by identifying and supporting agriculture, pisciculture and fishing opportunities of local stakeholders that have positive effects on coastal and marine ecosystems;

- To enhance the resilience of coastal communities to mitigate, adapt to and recover from shocks and stresses in a manner that reduces chronic vulnerability;

- To conserve flora and fauna in select marine protected areas by strengthening governance structures that have the ability to adaptively manage protected areas and ensure long-term conservation; and

- To ensure long-term conservation impact by improving stakeholder knowledge of and capacity to implement sustainable natural resource management strategies.

Results-based Outcome Indicators At a minimum, applicants are required to develop robust indicators that respond to the following US Government standard indicators1:

1. Number of people trained in sustainable natural resource management and/or biodiversity conservation as a result of USG assistance. (EG 10.2-4)

2. Number of people with improved economic benefits derived from sustainable natural resource management and/or biodiversity conservation as a result of USG assistance. (EG 10.2-3)

3. Number of hectares of biologically significant areas under improved management as a result of USG assistance. (Economic Growth 10.3-2)

These outcome indicators and any custom indicators must be further defined and assigned targets in the applicant’s Monitoring, Evaluation and Learning (MEL) Plan. In addition, specific, measurable, achievable, relevant, and time-bound output indicators will be set and defined within the MEL Plan and linked with milestones upon which payments under the grant agreement will be made.

Applicants must also demonstrate the logic of the proposed intervention through a draft “results chain.” A results chain is a best practice for developing and describing the logical connections between activity interventions, desired immediate results, and long-term outcomes in sustainable natural resource management and human wellbeing. The following is an example of one such results chain:

1 Definitions can be found on Economic Growth Standard Indicator Reference Sheets are available at https://www.state.gov/f/indicators/ https://www.state.gov/f/indicators/

BACKGROUND

Many human settlements along the Haitian coast as well as inland populations rely on marine species for a significant portion of their nutritional needs and export earnings. In coastal urban centers which often lack basic services such as sanitation, solid waste management or storm surge barriers, ecosystem-based services such as wastewater purification and coastal protection are especially important to maintain. Moreover, conserved marine and coastal environments allow many opportunities for recreation, preservation of cultural heritage, education, and research.

Lastly, the potential for high-value coastal tourism development depends on well-preserved and relatively clean environments to regularly attract customers.

Sustainably managed coastal and marine resources are essential to human sustenance and socio-economic development. As such, USAID considers it vital to work with the Government of Haiti (GoH), civil society, the private sector, academia, and community-based organizations to promote the fair, efficient, and effective management of coastal and marine zones, both inside and near legally designated protected areas.

A growing human population density and a long history of under-investment in conservation-based agriculture and fisheries have led to unsustainable use of natural resources along the coasts and in the marine zones around Haiti. The living coral cover on its coral reefs is 15 percent, much lower than the mean for the Caribbean (25 percent). The cover of macroalgae on reefs in Haiti - a sign of reduced populations of herbivorous fish species - has been assessed at 30 percent, more than double the Caribbean mean (13 percent)2. Moreover, a comprehensive four ()-year coastal reef survey conducted in Haiti by the organization Reef Check showed very low numbers and sizes of “indicator fish” such as grouper, parrotfish, and snapper. Whereas a healthy reef can produce 15 tonnes of fish per year, when fish do not have a chance to reach reproductive maturity and so do not reproduce before they are caught, a vicious circle of overfishing leads to reduced reproduction.

Mangrove forests, which are important breeding habitats for fish and other marine life, are being cut for charcoal or destroyed for agriculture, mussel-culture, or saltpans at alarming rates. The loss of mangroves also reduces the resilience of coastal communities to storm surges and erosion.

Haiti’s first Marine Protected Area, the Three Bays National Park in the NordEst Department, was designated in 2013. With the continued advocacy of local and international civil society groups, 12 additional marine protected areas have been declared by the Ministry of Environment.

According to the Agence Nationale des Aires Protégées, 7.4 percent of the marine territory of Haiti has been identified (i.e., legally designated as a Protected Area) for conservation, a significant progress towards the Aichi Biodiversity Target3 of 10 percent of coastal and marine territory.

2 Reefcheck 2016 3 The Convention on Biological Diversity was signed in 1992. At the 10th Conference of the Parties, held in October 2010, in Aichi Prefecture of Japan, the Biodiversity Targets for 2011-2020 period were adopted. Twenty targets across five strategic goals include addressing the underlying causes of

These encouraging developments must be tempered by the realization that the newly designated areas often lack management structures, law enforcement, or even signage to inform fishers and other users of the area’s protected status.

Local actors supported by international efforts have led to the development of management plans for the Three Bays National Park and sub-sections of the Port Salut-Aquin Marine Protected Area (Les Cayes, Sud Departement). The USAID Caribbean Marine Biodiversity Program (2014 to 2019) was instrumental supporting the former; UN Environment and other groups continue to work assiduously in the South.

The USAID Self-Reliance Roadmap4 uses a suite of metrics to measure commitment and capacity of a country to reach self-reliance, including the ability to manage and preserve the natural environment. The ‘commitment’ of a government and society is defined as “the degree to which a country's laws, policies, actions, and informal governance mechanisms - such as cultures and norms - support progress towards self-reliance.” The Roadmap metric most closely related to the Coastal and Marine Habitat Conservation Activity is “Biodiversity & Habitat Protections,” which measures the extent of marine protected areas, terrestrial biome protection (weighted for both national and global scarcity), representativeness of protected areas, and whether protected areas cover the ranges and habitats of critical species. Haiti ranks lowest among the least globally advanced (“0.01” on a scale to 1.0) among the low and middle-income countries where USAID has a presence.

The source of information for the Self-Reliance Roadmap metric is the Environmental Performance Index for Haiti from the Yale Center for Environmental Law & Policy. In that index, Haiti ranks 174th out of 180 countries globally and a distant last place in the Latin American & Caribbean region5.

biodiversity loss and reducing direct pressures on biodiversity and promoting sustainable use.

https://www.cbd.int/sp/targets/default.shtml 4 More information can be found at https://www.usaid.gov/selfreliance 5 See https://epi.envirocenter.yale.edu/ for calculation methodology.

https://www.cbd.int/sp/targets/default.shtml https://www.usaid.gov/selfreliance https://epi.envirocenter.yale.edu/

APPROACH

The Coastal and Marine Habitat Conservation activity will employ a multidisciplinary approach to address complex natural resource challenges as identified by USAID/Haiti and partners. It will provide short- and medium-term assistance to stakeholders that have vested interests in long-term planning and sustainable exploitation of natural resources in and around a marine protected area of Haiti. Balanced consideration will be given to the nutritional, cultural, ecosystem services, and recreational values of the marine and coastal resources available in a given protected area.

Conservation-based programs around the world have approached the challenge of unsustainable coastal and marine resource management with a variety of solutions including:

1. Providing education and training to help farmers, fishers and other natural resource-dependent groups improve yields/incomes through less environmentally-destructive methods and/or find alternative livelihood opportunities.

2. Supporting the implementation of Marine Area Plans in communes in or near a Protected Area in consultation with and involvement of stakeholders and communities.

3. Funding the implementation of existing and new high-priority marine protected areas with staff skilled in stakeholder engagement and management, equipment, training, housing, visitors center, signage, etc.

4. Building the capacity of government and private sector agriculture extension agents to provide sound advice and equipment to improve farmer and fisher yields through sustainable practices.

5. Assisting in building the capacity of Ministries of Environment and local government staff to better understand, engage with stakeholders, monitor, regulate, or manage marine areas.

6. Drafting and gaining approval for rules/laws to allow the management of protected areas.

7. Developing co-management agreements between local community-based/ non-government organizations and government entities.

8. Training and educating the public, especially youth, to understand the value of marine conservation and resource management that can result in more fish and more jobs.

9. Partnering with other civil society organizations with skills in these areas and considering co-management opportunities throughout the life of the marine protected areas.

10. Creating sustainable ecotourism opportunities by supporting broad-based community management of concessions.

11. Developing innovative long-term solutions to reduce land-based pollution threats to environmental health including solid waste and sanitation.

12. Reducing destructive pressures on mangroves and other important plant species and creating positive incentives for community replanting and management.

GEOGRAPHIC FOCUS AREA

The geographic target of this activity must be within one or several of the following Departments of Haiti: Sud, Nippes, Grand Anse, Sud-Est, and Nord-Ouest. No application for work outside of these departments will be considered for funding. The focus area(s) for interventions under this activity will be inside or within 20 kilometers of a marine protected area as recognized by the Haitian Agence Nationale des Aires Protégées. The proposed interventions must have a direct or indirect link to the health of the natural habitat and biodiversity of species within the Protected Area. Particular attention should be given to coral reefs and mangroves.

THE REMAINDER OF THIS PAGE LEFT BLANK INTENTIONALLY.

SECTION B: FEDERAL AWARD INFORMATION

1. Estimate of Funds Available and Number of Awards Contemplated

USAID intends to award one (1) Fixed Amount Award (FAA) pursuant to this Request for Application. Subject to funding availability and at the discretion of the Agency, USAID intends to provide $500,000.00 in total USAID funding over a three-year period.

2. Start Date and Period of Performance for Federal Awards

The anticipated period of performance is three (3) years. The estimated start date will be on or about the signature of the award.

3. Substantial Involvement

Substantial involvement is not anticipated under this Fixed Amount Award.

4. Authorized Geographic Code

The geographic code for the procurement of commodities and services under this program is 937.

Code 937 includes the United States, the recipient country, and developing countries other than advanced developing countries, but excluding any country that is a prohibited source. See ADS 310.

5. Nature of the Relationship between USAID and the Recipient

The principal purpose of the relationship with the Recipient and under the subject program is to transfer funds to accomplish a public purpose of support or stimulation of the Coastal and Marine Habitat Conservation which is authorized by Federal statute. The successful Recipient 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 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.

https://www.usaid.gov/sites/default/files/documents/1876/310.pdf' https://www.usaid.gov/sites/default/files/documents/1876/310.pdf'

SECTION C: ELIGIBILITY INFORMATION

1. Eligible Applicants

Eligibility for this RFA is restricted to non-profit, non-governmental organizations and private institutions of higher education based in Haiti that meet the criteria of a local entity in ADS 303 and that have not received more than $5 million in the last five (5) years from USAID, as a prime or subcontractor/recipient.

USAID defines a “local entity” as an individual, a corporation, a nonprofit organization, or another body of persons that:

(1) Is legally organized under the laws of; and

(2) Has as its principal place of business or operations in; and

(3) Is majority owned by individuals who are citizens or lawful permanent residents of; and

(4) Is managed by a governing body the majority of who are citizens or lawful permanent residents of the country receiving assistance.

For purposes of this section, ‘majority owned’ and ‘managed by’ include, without limitation, beneficiary interests and the power, either directly or indirectly, whether exercised or exercisable, to control the election, appointment, or tenure of the organization's managers or a majority of the organization's governing body by any means.

These eligibility requirements apply to both the principal applicant and to any sub-awardee.

USAID welcomes applications from organizations that have not previously received financial assistance from USAID.

2. Cost Sharing or Matching

Cost Sharing or Matching is not required, nor may it be proposed.

https://www.usaid.gov/ads/policy/300/303

SECTION D: APPLICATION AND SUBMISSION INFORMATION

1. Agency Point of Contact

Ms. Sharon M. Baker Agreement Officer Email: shbaker@usaid.gov

2. Questions and Answers

Questions regarding this RFA should be submitted to aleon@usaid.gov; ssilva@usaid.gov and usaidhaitioaa@usaid.gov no later than the date indicated on the cover letter. When submitting questions and requests for clarification, please make reference to the specific RFA in the subject line of the email as follows: “Questions RFA Number 72052120RFA00008 Coastal and Marine Habitat Conservation Activity.”

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

3. General Content and Form of Application

A- Technical Application:

The application will consist of a technical and budget application. The application must be specific, comprehensive and concise and must be formatted as follows:

• Language: English or French

• Paper size: Letter size (8.5 x 11 inches)

• Length: No more than 10 single-sided pages

• Type: Times New Roman, 12 point, single-spaced

• Margins: At least one inch on the top, bottom and sides

• Consecutive page numbers

Technical Application: must demonstrate the Applicant’s capabilities and expertise to achieve project results through an integrated set of activities. The application must include the following:

a) Cover Page (not included in the 10-page limit)

b) Program Description

c) Milestone List

d) Key Personnel/Management Plan

e) Institutional Capacity/Past Performance

f) Annexes (not included in the 10-page limit)

i. Summary staffing plan and organizational chart

ii. Resumes/CVs of Key Personnel (maximum 2 pages per person)

iii. Recommendation Letters

iv. Letters of Commitment mailto:aleon@usaid.gov mailto:ssilva@usaid.gov mailto:usaidhaitioaa@usaid.gov

The Technical Approach, Key Personnel/Management Plan, Institutional Capacity/Past Performance sections together must not exceed ten (10) pages.

Cover Page: (not included in the 10-page limit):

The cover page of the application should include: a) Activity title; b) RFA number; c) Name of organization applying for the funding; d) Name of partnering any organization (s) or government agency(ies); and e) Name, telephone number, street address and email address of person (s) who prepared the application, and the corresponding signatures.

Program Description: this section of the application must be consistent with the stated objectives in the Program Description, but provide greater detail:

- Geography: description of and rationale for choosing the target geographic area and population of intervention including the social context (especially related to access to natural resources by different genders), economic, and natural resource management dynamics specifically related to agriculture, fisheries and other coastal resources;

- Strategy: proposed strategy to achieve the activity objectives stated in the Program Description and the rationale for the selection of this strategy based on the geography and socio-economic context describe above;

- Activity Description: description of proposed activities and resources (e.g., human, logistical, material, etc.) required to complete the activities;

- Timeline: month-to-month timeline of activity implementation; and

- Results and Objectives: a narrative and/or graphic framework articulating the logic by which the proposed strategy, activities, and results will achieve the project objectives and goals

Milestone List: this section must describe a list of milestones – defined as significant achievements, outputs, outcomes, or completed activities – that can be independently verified by USAID over the course of the project implementation.

Key Personnel and Management Plan: Key personnel are those individuals whose performance is critical to the success of the Activity as proposed in the Program Description. USAID/Haiti recommends that the Applicant describe three (3) positions that the Applicant believes to be key to the success of the Activity. The Applicant must propose individuals that they deem appropriate for the duties and responsibilities of each position, with requisite skill, knowledge, and experience.

Applicants must submit Curriculum Vitae for each proposed staff member within the key personnel that demonstrate how each individual is best fit for the proposed position. These CVs must not exceed two (2) pages each and must be included as an annex to the application which will not count towards the 10-page count. USAID/Haiti expects these key personnel to be results-oriented and to have the appropriate qualifications and experience to work as a team to manage technically complex project interventions.

The following are examples profiles of key personnel. The Applicant may choose different key personnel based on the needs of the proposed Program Description:

- Program Manager

- Coastal and Marine Habitat Conservation Manager

- Agriculture and Fisheries Specialist

Institutional Capacity / History of Performance The Applicant must demonstrate experience and success implementing activities comparable to the activity described in the request for applications. History of performance and institutional capacity information must be provided and should relate the specific technical nature of the activity and the operational context in Haiti. The Applicant must describe lessons learned during these past experiences and how these lessons-learn informed their proposed technical approach.

Annexes (not included in the 10-page limit):

In annexes the Applicant is requested to include:

- Staffing plan and organizational chart including all proposed positions, lines of reporting and communication.

- CVs/Resumes of Key Personnel

- Recommendation Letters from persons or organizations familiar with the past or current work of the Applicant.

- Letter of Commitment from organizations intending to partner with the Applicant in a financial or nonfinancial capacity.

B- Business (Cost) Application

The recipient must provide a budget, budget narrative, adequate cost, and historical or unit pricing data to establish a reasonable cost and the assurance that the recipient will realize no increment above actual cost. Once the award amount is set and is allocated among the milestones, the milestone payments become the fixed amount for each milestone. Therefore, what the recipient actually spends to complete the milestone is irrelevant. As such, it is critical that the award total is thoroughly reviewed and determined reasonable before allocating the specific amounts to the milestones.

While there is no page limit for this section, the Applicant is encouraged to be as concise as possible, but still provide the necessary detail to address the following:

The cost proposal of the application must include a detailed budget in Excel with an accompanying budget narrative which provides the total budget estimates for implementation of the program described in this RFA.

The budget narrative must provide sufficient information to adequately support and explain all proposed costs, i.e., the actual cost basis for the line items in the detailed budget. Provide clear and complete budget narratives with strong justification and specific reasoning for all proposed costs.

• 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, broken out by budget category and by year, for the entire implementation period of the project.

Categories should include, but are not limited to salaries and allowances, fringe benefits (if applicable, travel and transportation, equipment and supplies, subawards, other direct costs, indirect costs, etc.

• Milestone Budget: Because Fixed Amount Awards must be based upon milestones, which outline a verifiable product, task, deliverable, or goal, a milestone budget must also be provided. This should be presented in a new worksheet as part of the overall Excel budget.

See more details further in this document.

The Milestone Budget - Milestones generally include four components: (1) a description of the product, task, deliverable, or goal to be accomplished; (2) a description of how the recipient will provide objectively verifiable evidence/documentation of completion of the product, task, deliverable, or goal (e.g., survey submission, submitting training materials, toolkits or reports);

and (3) the costs associated with achieving the milestone (4) target date for achievement of each milestone. A milestone budget will organize all costs included in the detailed, line-item budget according to milestones and deliverables identified in the project. For a basic outline, please see the below example:

Milestone Milestone

Description Required Deliverable/Output Estimated

Completion Date Amount in US$

[Example: Acceptance of a detailed work plan and monitoring and evaluation plan]

[Example: AOR approved work plan and M&E plan, showing concurrence by Ministry of

Environment]

[Example: Completion of a socioeconomic survey of the target area]

[Example: AOR-accepted socioeconomic survey report, showing evidence of inputs from target community members.]

3 $ 4 $

[Example: Acceptance of Final Report] [Example: AOR approved Final

Report, as described]

TOTAL $

Additional documentation:

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:

http://www.grants.gov/

Instructions for SF-http://www.grants.gov/web/grants/form-instructions/sf-424-instructions.html

Application for Federal Assistance

(SF-424)

https://www.grants.gov/web/grants/forms/sf-424-family.html

Instructions for SF- 424A http://www.grants.gov/web/grants/form-instructions/sf-424a-instructions.html

Budget Information (SF-424A) https://www.grants.gov/web/grants/forms/sf-424-family.html

Instructions for SF- 424B http://www.grants.gov/web/grants/form-instructions/sf-424b-instructions.html

Assurances (SF-424B) https://www.grants.gov/web/grants/forms/sf-424-family.html

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

Required Certifications and Assurances:

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

1) “Certifications, Assurances, Representations, and Other Statements of the Recipient” document found at http://www.usaid.gov/sites/default/files/documents/1868/303mav.pdf

2) Assurances for Non-Construction Programs (SF-424B)

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).

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 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 supporting 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 http://www.grants.gov/web/grants/form-instructions/sf-424-instructions.html http://www.grants.gov/web/grants/form-instructions/sf-424-instructions.html https://www.grants.gov/web/grants/forms/sf-424-family.html http://www.grants.gov/web/grants/form-instructions/sf-424a-instructions.html http://www.grants.gov/web/grants/form-instructions/sf-424a-instructions.html https://www.grants.gov/web/grants/forms/sf-424-family.html http://www.grants.gov/web/grants/form-instructions/sf-424b-instructions.html http://www.grants.gov/web/grants/form-instructions/sf-424b-instructions.html https://www.grants.gov/web/grants/forms/sf-424-family.html http://www.usaid.gov/sites/default/files/documents/1868/303mav.pdf include a detailed breakdown comprised 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 sub-tier 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 – If applicable

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 the 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.

Method 4 - Indirect Costs Charged as A Fixed Amount Eligibility: Non U.S. non-profit organizations without a NICRA may request, 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 percent 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.

Cost Sharing – Not applicable in accordance with 2 CFR 200.201(b)(2).

https://www.usaid.gov/sites/default/files/documents/1868/OCC_A_Guidefor_NonProfit_Indirect_CostRate_Oct31_16_Version1.01.pdf

a) 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.

b) Approval of Subawards

The applicant must submit information for all 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

• DUNS Number

• 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 200.331(b)

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

c) Dun and Bradstreet and SAM Requirements

USAID may not award to an applicant unless the applicant has complied with all applicable unique entity identifier (DUNS number) and System for Award Management (SAM) requirements. Each applicant (unless the applicant is an individual or Federal awarding agency that is exempted from requirements under 2 CFR 25.110(b) or (c), or has an exception approved by the Federal awarding agency under 2 CFR 25.110(d)) is required to:

1. Provide a valid DUNS number for the applicant and all proposed sub-recipients;

2. Eligible parties who are not yet registered in SAM are allowed to submit their application.

However, they should conform with the registration process before USAID makes an award. SAM is streamlining processes, eliminating the need to enter the same data multiple times, and consolidating hosting to make the process of doing business with the government more efficient (www.sam.gov).

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.

http://www.sam.gov/

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.

DUNS number: http://fedgov.dnb.com/webform SAM registration: http://www.sam.gov

Non-U.S. applicants can find additional resources for registering in SAM, including a Quick Start Guide and a video on how to obtain an NCAGE code, on www.sam.gov, navigate to Help, then to International Registrants.

d) History of Performance

The applicant must provide information regarding its recent history of performance for all its cost-reimbursement contracts, grants, or cooperative agreements involving similar or related programs, not to exceed five years, 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 five years; and

• Name of at least two (2) 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.

e) Branding Strategy & Marking Plan

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

1. Branding Strategy – Assistance (June 2012) http://fedgov.dnb.com/webform

a. Applicants recommended for an assistance award must submit and negotiate a "Branding Strategy," describing how the program, project, or activity is named and positioned, and how it is promoted and communicated to beneficiaries and host country citizens.

b. The request for a Branding Strategy, by the Agreement Officer from the applicant, confers no rights to the applicant and constitutes no USAID commitment to an award.

c. Failure to submit and negotiate a Branding Strategy within the time frame specified by the Agreement Officer will make the applicant ineligible for an award.

d. The applicant must include all estimated costs associated with branding and marking

USAID programs, such as plaques, stickers, banners, press events, materials, and so forth, in the budget portion of the application. These costs are subject to the revision and negotiation with the Agreement Officer and will be incorporated into the Total Estimated Amount of the grant, cooperative agreement or other assistance instrument.

e. The Branding Strategy must include, at a minimum, all of the following:

1) All estimated costs associated with branding and marking USAID programs, such as plaques, stickers, banners, press events, materials, and so forth.

2) The intended name of the program, project, or activity.

(i) USAID requires the applicant to use the “USAID Identity,” comprised of the USAID logo and brandmark, with the tagline “from the American people” as found on the USAID Web site at http://www.usaid.gov/branding, unless Section VI of the NOFO or APS states that the USAID Administrator has approved the use of an additional or substitute logo, seal, or tagline.

(ii) USAID prefers local language translations of the phrase “made possible by (or with) the generous support of the American People” next to the USAID Identity when acknowledging contributions.

(iii) It is acceptable to cobrand the title with the USAID Identity and the applicant's identity.

(iv) If branding in the above manner is inappropriate or not possible, the applicant must explain how USAID's involvement will be showcased during publicity for the program or project.

(v) USAID prefers to fund projects that do not have a separate logo or identity that competes with the USAID Identity. If there is a plan to develop a separate logo to consistently identify this program, the applicant must attach a copy of the proposed logos. Section VI of the NOFO or APS will state if an Administrator approved the use of an additional or substitute logo, seal, or tagline.

3) The intended primary and secondary audiences for this project or program, including direct beneficiaries and any special target segments.

4) Planned communication or program materials used to explain or market the program to beneficiaries.

(i) Describe the main program message.

(ii) Provide plans for training materials, posters, pamphlets, public service announcement, billboards, Web sites, and so forth, as appropriate.

(iii) Provide any plans to announce and promote publicly this program or project to host country citizens, such as media releases, press conferences, public events, and so forth. Applicant must incorporate the USAID Identity and the message, “USAID is from the American People.”

(iv) Provide any additional ideas to increase awareness that the American people support this project or program.

5) Information on any direct involvement from host-country government or ministry, including any planned acknowledgement of the host-country government.

6) Any other groups whose logo or identity the applicant will use on program materials and related materials. Indicate if they are a donor or why they will be visibly acknowledged, and if they will receive the same prominence as USAID.

f. The Agreement Officer will review the Branding Strategy to ensure the above information is adequately included and consistent with the stated objectives of the award, the applicant's cost data submissions, and the performance plan.

g. If the applicant receives an assistance award, the Branding Strategy will be included in and made part of the resulting grant or cooperative agreement

2. Marking Plan – Assistance (June 2012)

a. Applicants recommended for an assistance award must submit and negotiate a “Marking Plan,” detailing the public communications, commodities, and program materials, and other items that will visibly bear the “USAID Identity,” which comprises of the USAID logo and brandmark, with the tagline “from the American people.” The USAID Identity is the official marking for the Agency, and is found on the USAID Web site at http://www.usaid.gov/branding. Section VI of the NOFO or APS will state if an Administrator approved the use of an additional or substitute logo, seal, or tagline.

b. The request for a Marking Plan, by the Agreement Officer from the applicant, confers no rights to the applicant and constitutes no USAID commitment to an award.

c. Failure to submit and negotiate a Marking Plan within the time frame specified by the Agreement Officer will make the applicant ineligible for an award.

d. The applicant must include all estimated costs associated with branding and marking

USAID programs, such as plaques, stickers, banners, press events, materials, and so forth, in the budget portion of the application. These costs are subject to the revision and negotiation with the Agreement Officer and will be incorporated into the Total Estimated Amount of the grant, cooperative agreement or other assistance instrument.

e. The Marking Plan must include all of the following:

1) A description of the public communications, commodities, and program materials that the applicant plans to produce and which will bear the USAID Identity as part of the award, including:

i. Program, project, or activity sites funded by USAID, including visible infrastructure projects or other sites physical in nature;

ii. Technical assistance, studies, reports, papers, publications, audiovisual productions, public service announcements, Web sites/Internet activities, promotional, informational, media, or communications products funded by

USAID;

iii. Commodities, equipment, supplies, and other materials funded by USAID, including commodities or equipment provided under…