fy12 cmm aps cjt final.doc

USAID/DCHA/CMM

Annual Program Statement

FY 12 Conflict Mitigation and Reconciliation Programs and Activities

APS-OAA-12-00001

UNITED STATES AGENCY FOR INTERNATIONAL DEVELOPMENT

Bureau for Democracy, Conflict, and Humanitarian Assistance

Office of Conflict Management and Mitigation (USAID/DCHA/CMM)

1300 Pennsylvania Avenue, N.W. Washington D.C. 20523

ISSUANCE DATE:

January 18, 2012

CLOSING DATE:

March 9, 2012 SUBJECT: USAID/DCHA/CMM Annual Program Statement (APS) for Conflict Mitigation and Reconciliation Programs and Activities (Funding Opportunity No. APS-OAA-12-000001) Pursuant to the Foreign Assistance Act of 1961, as amended, the United States Government (USG), as represented by the U.S. Agency for International Development (USAID), Bureau for Democracy, Conflict, and Humanitarian Assistance (DCHA), Office of Conflict Management and Mitigation (CMM), invites applications for funding from qualified U.S. and non-U.S., non-profit or for-profit non-governmental organizations (NGOs), and international organizations (PIO or IO) to carry out activities that mitigate conflict and promote reconciliation by bringing together individuals of different ethnic, religious or political backgrounds from areas of civil conflict and war in the countries listed below.

The purpose of this APS is to disseminate information to prospective applicants so that they may develop and submit applications for USAID funding. This APS: (A) describes the types of activities for which applications will be considered; (B) describes the funding available and the process and requirements for submitting applications; (C) explains the criteria for evaluating applications; and (D) refers prospective applicants to relevant documentation available on the internet. USAID/DCHA/CMM anticipates awarding multiple grants and/or cooperative agreements as a result of this APS.

Below is the list of eligible countries for which applications may be submitted under this APS.

In preparing applications, please refer to the Mission-specific country and regional guidelines in Attachment 1: List of Eligible Countries and Country-Specific Instructions.

Africa Angola

Burundi

Cote d’Ivoire

East Africa Regional

Ethiopia

Guinea Bissau

Kenya

Rwanda

Senegal

Uganda

Zimbabwe

Asia, Europe, and Eurasia

Bosnia & Herzegovina Burma Cambodia

Georgia

Indonesia Kyrgyzstan

Nepal

Russia

Tajikistan

South America Peru

To be competitive under this solicitation, applications must be fully responsive to all directions in this APS document, as well as to the Mission-specific focus points outlined in Attachment 1.

Table of Contents 61.

APS Scope and Objectives

82.

Award Information

82.1 Program Duration

82.2 Anticipated Funding Available

82.3 Award Size Thresholds

82.4 Anticipated Number of Awards

82.5 Type of Award(s)/Substantial Involvement

92.6 Cost-Sharing (Matching)

102.7 Program Income

102.8 Authorized Geographic Code

112.9 Applicant Conferences

113.

Applicant Eligibility

113.1 Types and Nationalities of NGOs

123.2 Registration as a Private Voluntary Organization (PVO)

123.3 New Partners

123.4 Other USG Agencies

133.5 Public International Organizations (PIOs)

133.6 Applications for Additional/Continued USAID Funding of On-going Programs

133.7 “Responsibility” of Applicant

133.8 Characteristics of Projects that are not Well-Suited to Reconciliation Fund Programming

154.

Application and Submission Requirements

154.1 General Application Instructions

154.2 Format

164.3 Specific Application Instructions

164.3.1 Technical Application

224.3.2 Cost Application

244.3.3 Attachments to Cost Application

244.4 Submission Instructions and Deadlines

244.4.1 Electronic Submission

254.4.2 Application Submission Deadline

254.4.3 Estimated Timeline

264.5 Application Evaluation Process

274.6 Applicant Pools

274.7 Evaluation Criteria (100 points total)

305.

Award and Administration Information

305.1 Pre-award Surveys

305.2 Post-award Reporting

315.3 Other Considerations

315.3.1 Environmental Protection and Compliance

325.3.2 Implementation of E.O. 13224 – Executive Order on Terrorist Financing (March 2002)

325.3.3 USAID Disability Policy – Assistance (December 2004)

346.

Attachments

346.1 Attachment 1: List of Eligible Countries and Country-Specific Instructions

456.2 Attachment 2: Definitions of Cross-Border and Multi-Country Activities

466.3 Attachment 3: USAID Mission and Regional Mission Points of Contact

486.4 Attachment 4: Certifications, Assurances, and Other Statements of the Applicant/Recipient

DCHA/CMM Background

The Office of Conflict Management and Mitigation strives to create programming that effectively prevents, mitigates and manages the causes and consequences of violent conflict, instability and extremism. DCHA/CMM leads USAID’s efforts to identify and analyze sources of conflict, supports early responses to address the causes and consequences of instability and violent conflict, and seeks to integrate conflict mitigation and management into USAID’s analysis, strategies and programs.

DCHA/CMM manages this APS in accordance with a Congressional appropriation to provide a central source of funding for reconciliation. To meet Congressional intent, this APS will support “people-to-people” conflict mitigation and reconciliation programs and activities which bring together individuals of different ethnic, religious or political backgrounds from areas of civil conflict and war in the countries listed in Attachment 1: List of Eligible Countries and Country-Specific Instructions. Programs that provide opportunities for adversaries to address issues, reconcile differences, promote greater understanding and mutual trust and work on common goals with regard to potential, ongoing, or recent conflict will receive consideration for funding under this APS.

The Reconciliation Fund Managed by DCHA/CMM

The first funding opportunity for USAID’s Conflict Management and Mitigation (CMM) Reconciliation Programs Fund was global in scope and launched in 2004. In fiscal year 2011, the program’s total estimated cost was nearly $26,000,000, of which approximately $10,000,000 was designated to support programs in Israel, the West Bank and Gaza. In FY12, there will be two separate funding opportunities: one for Israel, the West Bank and Gaza, and one for the global reconciliation program (estimated total funding $15.5 million). This funding opportunity is only for the global reconciliation program, and covers the countries listed in Attachment 1: List of Eligible Countries and Country-Specific Instructions.

DCHA/CMM Points of Contact

A list of USAID Mission/Regional Mission points of contact is provided as Attachment 3: USAID Mission and Regional Mission Points of Contact. Upon award, the Mission Agreement Officer must appoint an Agreement Officer’s Technical Representative (AOTR) to provide technical and administrative oversight of the specific award.

For any acquisition questions regarding this APS, kindly contact USAID/M/OAA/DCHA/ Ousmane Faye, ofaye@usaid.gov. After the closing time and date for applications (see section 4.4 below), the relevant USAID Mission/Regional Mission Agreement Officer will be the official point of contact for all applicant inquiries.

1. APS Scope and Objectives

The objective of this APS is to make significant strides in the overall goal of conflict mitigation, peace, and reconciliation in selected eligible conflict-affected countries (see Attachment 1: List of Eligible Countries and Country-Specific Instructions). In addition, this APS seeks to contribute to USAID’s developmental objectives in an affected country or countries.

“People-to-people” programs are one approach among many to conflict mitigation. While a diversity of programs and approaches may be considered people-to-people in nature, most entail bringing together representatives of conflict-affected groups to interact purposefully in a safe space. This type of work addresses divisions within a community that may be rooted in group differences such as ethnicity or religion, status, class, or political affiliation. People-to-people projects generally address patterns of prejudice and demonizing that reinforce the perceived differences between groups and hinder the development of relationships among parties to a conflict. The aim is to create opportunities for a series of interactions between conflicting groups in the community to promote mutual understanding, trust, empathy, and resilient social ties.

This funding opportunity is intended to fund conflict mitigation programs with a people-to-people approach, and to derive lessons learned and best practices for future people-to-people programming. Lessons learned will be incorporated into future programs and funding opportunities, and will inform DCHA/CMM’s research agenda for conflict management and mitigation. DCHA/CMM is currently undertaking a global evaluation of grants implemented since 2004 under this APS.

Successful applications under this funding opportunity will describe a people-to-people approach based on a context and conflict analysis that leads to a concrete program change hypothesis. Programs should be based on best practices, build capacity of local partners, and incorporate gender analysis into the proposed approach. DCHA/CMM recognizes that societies prescribe separate and distinct roles for men and women. These roles shape their experiences of and participation in violent conflict. Effective programs are based on a thorough understanding of male and female experiences, and consider how to leverage both groups in mitigating conflict. Successful applicants will incorporate gender into the context analysis, technical narrative, and monitoring and evaluation plan. When the roles of men and women are not relevant to a program’s design, the applicant must demonstrate why its inclusion is not appropriate.

Applications should reflect thoughtful consideration of any risks that may result by bringing together conflicting parties and should provide sufficient explanation of how appropriate safeguards will be put in place to avoid intensifying the conflict or creating harmful situations for participants. It is not satisfactory to simply indicate that the program will do no harm. This fundamental principle dictates that interventions must not place participants at greater risk then they would otherwise face without the intervention. For additional guidance on a ‘do no harm’ approach to conflict mitigation and reconciliation, please see the link to People-to-People Peacebuilding: A Program Guide per footnote below.

USAID supports the Aid Effectiveness agenda, including the New Deal for Engagement in Fragile States endorsed at the 4th High Level Forum on Aid Effectiveness in Busan, South Korea. Central to this agenda is the strengthening of the relationship between state and society and the fostering of legitimate and effective formal and informal institutions. As described in People-to-People Peacebuilding: A Program Guide, and in alignment with the Busan outcome document, effective conflict mitigation and reconciliation programs address both the attitudinal and institutional dimensions of conflict. Therefore, USAID considers the most effective people-to-people projects to be those that explicitly and purposefully create linkages between their immediate objectives and high-level or large-scale peace processes or structural reforms.

Applications that reflect strong local engagement are highly encouraged (i.e., applications submitted by local institutions and/or organizations, applications that include local partners in conducting substantive work, and/or applications that include components focused on strengthening the technical and organizational capacity of local organizations and institutions). USAID also notes that peacebuilding is most effective when locally owned. Applicants that demonstrate their efforts are aligned with governmental peacebuilding priorities, including as outlined in New Deal commitments, are encouraged where applicable.

2. Award Information

1.1 Program Duration

The duration of programs funded under this APS is for a minimum period of 12 months and up to 36 months from the date of award. USAID reserves the right to incrementally fund activities over the duration of the program, if necessary, depending on program length, performance against approved program indicators and availability of funds.

1.2 Anticipated Funding Available

USAID anticipates approximately US$15,500,000 will be available to support the program(s) or activity(ies) described herein, although final funding levels will depend on content, quality number of applications received, needs, availability of funding, and competing priorities.

1.3 Award Size Thresholds

Applications below a minimum amount of US$100,000 or above a maximum amount of US$1,200,000 will not be considered.

applications in the amount of $100,000 to $500,000 will only be considered from local organizations. A local organization applicant must be a local non-governmental organization (NGO) recognized under the laws of the country in which it is domiciled. For specific purposes of this APS, a local NGO does not include subsidiaries, affiliates, or member entities of organizations located outside of, or organized outside of, the host country or region. Local organizations by this definition are not international organizations.

Note: Local applicants may submit more than one application for funding in FY2012 if they chose to do so. Specifically, they may submit an application under this Global APS solicitation in the funding range of $100,000 to $500,000, as well as an application for over $500,000.

1.4 Anticipated Number of Awards

USAID plans to make multiple awards under this APS, subject to the availability of funds. Nevertheless, USAID reserves the right to make a single award, to fund parts of applications, or not to make any awards at all. Issuance of this APS does not constitute an award commitment on the part of the USAID, nor does it commit the USAID to pay for any costs incurred in the preparation and submission of any application.

1.5 Type of Award(s)/Substantial Involvement

USAID anticipates that a grant(s), cooperative agreement (s), will be awarded as a result of this APS.

Depending on the application(s) that is/are received and selected, USAID may decide to be “substantially involved” in the implementation of the program, and therefore award a cooperative agreement(s) instead of a grant(s). Cooperative agreements are identical to grants except that USAID may be substantially involved in one or more of the following areas:

1. USAID approval of the recipient’s implementation plans (limited to not more frequently than annually);

2. USAID approval of specified key personnel (limited to 5 positions or 5% of the recipient’s total team size, whichever is greater);

3. USAID and recipient collaboration or joint participation, which includes one or more of the following:

a. Collaborative involvement of selection of advisory committee members (USAID may also choose to become a member), if applicable;

b. USAID concurrence on the selection of sub-award recipients and/or the substantive technical/programmatic provisions of sub-awards;

c. USAID approval of a program monitoring and evaluation (M&E) plan (to the extent that such information is not included in the application);

d. USAID monitoring to permit direction and redirection because of interrelationships with other projects; and

e. USAID authority to immediately halt a construction activity, if applicable.

Please note: Depending on the application (s) that is/are received and selected, USAID may decide to award a fixed obligation grant (FOG) instead of a grant to all eligible organizations.

1.6 Cost-Sharing (Matching)

1. NGOs

NGOs are not required to include counterpart funding. However, applications that include additional in-kind and/or cash contributions from non-USG sources will be more competitive, since cost-sharing demonstrates a strong commitment to the planned activities and will be rewarded under the “cost-effectiveness” evaluation criterion. Cost-sharing will be subject to 22 CFR 226.23 and the standard provision entitled “Cost Sharing (Matching)” (U.S. NGOs) or the standard provision entitled “Cost-Sharing (Matching)” for non-U.S. NGOs.

2. Public International Organizations (PIOs)

PIOs are not required to include counterpart funding, although applications that include additional in-kind and/or cash contributions from non-USG sources will be more competitive, since they demonstrate a strong commitment to the planned activities and will be rewarded under the “cost-effectiveness” evaluation criterion set forth in Section 4.7 below. While the term “cost-sharing” is not used in USAID grants and cooperative agreements with PIOs, the concept of cost-sharing is manifested by the USAID requirement that USAID must have audit rights, and that the recipient must comply with USAID’s procurement requirements, if USAID will be the sole contributor to a trust fund established by a PIO.

2.7 Program Income

1. NGOs

If the successful applicant(s) is/are a non-profit organization, any program income generated under the award(s) will be added to USAID funding (and any cost-sharing that may be provided), and used for program purposes. However, pursuant to 22 CFR 226.82, if the successful applicant is a for-profit organization, any program income generated under the award(s) will be deducted from the total program cost to determine the amount of USAID funding. Program income will be subject to 22 CFR 226.24 for U.S. NGOs or the standard provision entitled “Program Income” for non-U.S. NGOs.

2. PIOs

If the successful applicant(s) is/are a PIO, any program income generated under the award(s) will be added to USAID funding (and any non-USAID funding that may be provided) and used for program purposes.

1.7 Authorized Geographic Code

1. NGOs

USAID’s rules for the source, origin, and componentry of goods (other than “restricted goods,” as described in ADS 312 [http://www.usaid.gov/policy/ads/300/312.pdf]), and the nationality of suppliers of goods and services (other than delivery services, as described in ADS 314 [http://www.usaid.gov/policy/ads/300/314.pdf]), which are financed by USAID under the award(s) resulting from this APS, are set forth in 22 CFR 228 (http://www.access.gpo.gov/nara/cfr/waisidx_10/22cfr228_10.html). These rules do not apply to procurement by the recipient or sub-recipients with cost-sharing or program income funds. Except as authorized under USAID’s “Local Procurement” rules (see 22 CFR 228.40), or unless a waiver is approved, applicants should assume the authorized geographic code (see 22 CFR 228.03) for the award(s) resulting from this APS is 000 (United States only), unless the total value of goods and services to be procured by the recipient and all sub-recipients, if any, during the life of the award is valued at $250,000 or less, in which case the authorized geographic code is 935 subject to the recipient’s compliance with the order of preference and file documentation requirements set forth in paragraph (b)(1) of the standard provision entitled “USAID Eligibility Rules for Goods and Services.”

2. PIOs Please note that USAID’s procurement rules do not apply to awards to PIOs unless USAID is the sole contributor to a trust fund established by the PIO. If USAID is the sole contributor, the same rules, as prescribed in subparagraph (a) above for NGOs, will apply.

1.8 Applicant Conferences

USAID missions may offer to host a conference for prospective applicants after this APS funding opportunity is posted and before the funding opportunity closes. In any such case, the USAID mission will announce this through its regular public announcement channels, and USAID/DCHA/CMM will post an amendment to the APS on http://www.grants.gov so that all potential applicants are able to look up the time and place for all applicant conferences. Not all USAID missions will offer applicant conferences.

3. Applicant Eligibility USAID will not accept applications from individuals. All applicants must be legally recognized organizational entities under applicable law.

The following types of organizations may apply for funding under this APS.

1.9 Types and Nationalities of NGOs

1.

Non-Governmental Organizations (NGOs)

(1) U.S. and Non-U.S. Non-Profit Organizations Qualified U.S. and non-U.S. private non-profit organizations may apply for funding under this APS. Foreign government-owned parastatal organizations from countries that are ineligible for assistance under the FAA or related appropriations acts are ineligible.

Local organizations are encouraged to apply for funding under this APS. Please note: It is the intention of this APS that only local organizations are eligible to apply for awards in the amount of $100,000 up to $500,000. All organizations are eligible to apply for awards over $500,000 to $1,200,000. A local organization applicant must be a local non-governmental organization (NGO) recognized under the laws of the country in which it is domiciled. For specific purposes of this APS, a local NGO does not include subsidiaries, affiliates, or member entities of organizations located outside of, or organized outside of, the host country or region. Local organizations by this definition are not international organizations. When applying to the APS, local NGOs are required to attach official documentation of their formal status as an NGO in the host country. Local NGOs are not required to register with USAID.

A local organization which is a subsidiary, member entity or affiliate of organizations located outside of the host country is eligible to apply as a qualified non-U.S. not for profit organization for grants in the amount of over $500,000 to $1,200,000.

(2) U.S. and Non-U.S. For-Profit Organizations

Qualified U.S. and non-U.S. private for-profit organizations may apply for funding under this APS. Foreign government-owned parastatal organizations from countries that are ineligible for assistance under the FAA or related appropriations acts are ineligible. Potential for-profit applicants should note that, pursuant to 22 CFR 226.81, the payment of fee/profit to the prime recipient under grants and cooperative agreements is prohibited. However, if a prime recipient has a (sub)-contract with a for-profit organization for the acquisition of goods or services (i.e., if a buyer-seller relationship is created), fee/profit for the (sub)-contractor is authorized.

(3) U.S. and Non-U.S. Colleges and Universities

Qualified U.S. and non-U.S. colleges and universities may apply for funding under this APS. USG and USAID regulations generally treat colleges and universities as NGOs, rather than governmental organizations; hence, both public and private colleges and universities are eligible. Non-U.S. colleges and universities in countries that are ineligible for assistance under the FAA or related appropriations acts are ineligible. Please note however this APS is focused on people-to-people programming that addresses divisions within a community that may be rooted in group differences such as ethnicity or religion, or status as a returning ex-combatant, displaced persons, or refugee. Projects in this arena address the prejudice and demonizing that reinforces the perceived differences between groups and hinders the development of relationships between conflict parties. The aim is to create opportunities for a series of interactions between conflicting groups in the community to promote mutual understanding. Thus, this APS is not intended to fund individual research endeavors.

1.10 Registration as a Private Voluntary Organization (PVO)

A local or indigenous PVO, which by definition is a non-U.S. PVO operating in the same foreign country in which it is organized, is eligible to receive funding. Local NGOs are not required to register with USAID. In accordance with 2 CFR 203, a U.S. PVO and an “International PVO,” which by definition is a non-U.S. PVO that performs development work in one or more countries other than the country in which it is domiciled, must be registered with USAID to be eligible to receive funding. For more information on registering with USAID as a PVO, please see: http://www.usaid.gov/our_work/cross-cutting_programs/private_voluntary_cooperation/reg.html

1.11 New Partners

USAID encourages applications from new partners. However, resultant awards to these organizations may be delayed if USAID must undertake necessary pre-award reviews of these organizations to determine their “responsibility” as discussed in 3.7. These organizations should take this into account and plan their implementation dates and activities accordingly.

1.12 Other USG Agencies

USG departments and agencies may not apply for funding under this APS.

1.13 Public International Organizations (PIOs)

PIOs are eligible to apply for funding under this APS. Please see Automated Directives Series (ADS) 308 for USAID policy on defining PIOs. http://www.usaid.gov/policy/ads/300/308.pdf

1.14 Applications for Additional/Continued USAID Funding of On-going Programs

On-going projects that demonstrate a significant proposed change in scope or direction in response to a conflict and its contextual analysis, or are an extension of current programs and activities will be eligible for funding. Such programs should clearly explain in their application their progress to date and update the conflict context for their program. Information on current USAID programs can be found at: http://www.usaid.gov and more information about DCHA/CMM programs can be found at: http://www.usaid.gov/our_work/cross-cutting_programs/conflict/.

3.7 “Responsibility” of Applicant In order for an award to be made, the Agreement Officer must make an affirmative determination that the applicant is “responsible,” as discussed in ADS 303.3.9. This means that the applicant must possesses, or have the ability to obtain, the necessary management and technical competence to conduct the proposed program, and must agree to practice mutually agreed-upon methods of accountability for funds and other assets provided or funded by USAID. In the absence of an affirmative “responsibility” determination, an award can ordinarily not be made. However, in rare cases, an award can be made with “special award conditions” (i.e., additional non-standard award requirements designed to minimize the risk presented to USAID of making an award to an NGO for which an affirmative determination of “responsibility” cannot be made), but only where it appears likely that the applicant can correct the deficiencies in a reasonable period.

3.8 Characteristics of Projects that are not Well-Suited to Reconciliation Fund Programming

There are many potential projects searching for resources that will lead to substantial outcomes. However, only a subset of these are a good fit for DCHA/CMM’s reconciliation fund objectives. DCHA/CMM understands that applicants’ time is valuable, and thus wishes to clearly state not only the characteristics of applications that may be likely to receive funding (see evaluation criteria in Section 4.7 but also to clearly state the characteristics of applications that are not well-suited for DCHA/CMM consideration. Examples of activities that are not suitable include:

· Projects that do not clearly include a people -to -people component and clearly articulate this theme throughout the application.

· Projects that are individual research endeavors with limited interaction with in-country stakeholders and/or minimal in-country activities.

· So-called study tour projects that do not clearly articulate why the theory of change is dependent on removing beneficiaries from the conflict context and/or clearly project how these interactions will be sustained in a safe way on return.

· Projects that focus entirely on standard development practice with no reference to the conflict context.

4. Application and Submission Requirements

1.15 General Application Instructions

Applications received by the deadline (see section 4.4.2) will be reviewed for responsiveness to the requirements set forth in this APS, specifically section 4.3.

1.16 Format

1. As detailed further below, the application (composed of the technical and cost sections) is limited to the following page limits: 12 for technical application, 3 for the cost application for amounts under 500k and 5 for amounts over 500k plus the specified attachments below which do not count against the technical or cost application page limit. Additional information will not be accepted or reviewed by the technical evaluation committees.

2. Specified technical application attachments are limited to the following. These attachments do not count towards the 12 page limit for the technical proposal. Please note that no other technical application attachments will be considered under the evaluation criteria:

a. Curricula Vitae for key personnel, including program director or equivalent are required, and are limited to a maximum of three (3) key personnel with a page limit of three (3) pages for each proposed key personnel position.

b. Illustrative first-year activity plan, limited to three (3) pages

c. Monitoring and evaluation plan, limited to three (3) pages

d. Past Performance References, one (1) page maximum per reference (see section 4.3)

e. Proof of qualifying status as a local NGO, if applicable

3. Applications must be submitted in English and in U.S. dollars.

4. Applications should use single-spaced pages with each page consecutively numbered, and use a font not any smaller than Times New Roman Font 12 or a similar size typeset. Applications must have margins of not less than one inch on all sides and must be formatted in the portrait style (not landscape) for all text portions.

5. Applications must be submitted electronically, by the application deadline, via email attachment using Adobe PDF, Microsoft Word and/or Excel. Do not submit electronic copies in .zip format.

6. The application must consist of two electronic files, labeled “Country Name-Organization Name-TECHNICAL-APS- OAA-12-000001” and “Country Name-Organization Name- COST-APS- -OAA-12-000001”. Printed hardcopies are not requested nor required by the closing time and due date. (Hard copies and/or supplemental information with live signatures may be requested thereafter by the cognizant Agreement Officer or DCHA/CMM.)

7. The subject line of the email transmitting the application must also contain the following: Country name-Organization name-Project title (for example: “Zambia-Acme Partners-Conflict Mitigation Project”), and the body of the email must contain specific reference to the full title of the application and include full contact information for the applicant.

This APS is the official source document for your application. Oral explanations given before submission of the application will not be evaluated; only the written application will be evaluated. Applicants should retain for their records a copy of the application and all attachments/enclosures which accompany their application. USAID will only consider applications conforming to the prescribed format.

The federal grant process is now web-enabled. Beginning November 1, 2005, the preferred method of distribution of USAID APS’ and submission/receipt of applications is electronically via Grants.gov, which provides a single source for Federal government-wide competitive grant opportunities. This APS and any future amendments can be downloaded from http://www.grants.gov. In order to use this method, an applicant must first register on-line with Grants.gov. If you have difficulty registering or accessing the APS, please contact the Grants.gov Helpdesk at 1-800-518-4726 or via e-mail at support@usaid.gov for technical assistance. Applicants may upload applications to www.grants.gov; however, electronic submissions are required to be e-mailed to CMMAPS@usaid.gov and to the USAID Mission or Regional Mission point of contact as stated in Attachment 3 (Section 6.3) below. DCHA/ CMM will confirm receipt of applications; if your organization has not received an official confirmation your application will not be considered for review. USAID bears no responsibility for data errors resulting from transmission or conversion processes. It is important that interested organizations sign-up for e-mail updates with Grants.gov so that as any future amendments to this APS are posted, alerts will be received.

1.17 Specific Application Instructions

1.17.1 Technical Application

The technical application must contain the following components:

1. Cover page (separate page, not more than one page): The cover page must include the funding opportunity number APS-OAA-12-000001, names of the organizations/institutions involved (with the name of the lead or primary applicant clearly identified), title of the application, USAID Mission or Regional Mission to which the application is being submitted, country name, whether this is a cross-border or multi-country application, and the applicable countries. Any proposed sub-partners should also be listed. In addition, the cover page should clearly state if the applicant is a qualified local organization, provide a contact person for the primary applicant, including the individual’s name, title or position with the organization/institution, mailing address, email address, telephone and fax numbers. Applicants should also clearly state whether the identified contact person has the authority to negotiate on behalf of the applicant, and, if not, the contact information for the appropriate person with authority to negotiate should also be listed.

2. Executive summary (separate page, not more than one page): The executive summary must summarize the key elements of the applicant’s technical application, including, but not limited to, the technical narrative (see next section), and provide NO COST FIGURES other than the total amount of USAID funds requested, and any cost-sharing and/or public-private partnerships leveraging, if applicable.

3. Technical narrative (10-page maximum, excluding any attachment pages as specified within this APS): Applicants are encouraged to organize the narrative sections of their technical applications in the same order as the evaluation criteria and include the major components below. However, applicants are not limited to the following order for purposes of logically sequencing their proposed programs. Please note that gender integration and a ‘do no harm’ approach should be reflected throughout the application, not restricted to a single statement.

The technical narrative will be evaluated in accordance with the evaluation criteria set forth in section 4.7 below and must include the following sections:

Approach and Methodology:

Context & Conflict Analysis. The application must identify the sources of conflict and impediments to reconciliation in a brief context and conflict analysis. A conflict analysis is the systematic study of the profile, causes, actors, and dynamics of conflict. The analysis must touch upon the sources of grievance and resilience, the key actors and resources that could facilitate the transformation of grievances into violence, and any upcoming events which might trigger violence or represent an opportunity to bring adversaries together. The analysis must explicitly examine the separate and distinct way men and women experience the conflict. The context and conflict analysis must also include a brief description of other donor, government, private sector or NGO activities to address the identified problem, including gaps in current programming and response.

Gender Integration. The program design must recognize gender in a substantive and integrated manner. Recognizing the different cultural roles of males and females, proposals will describe specific approaches for assuring equitable participation and capitalizing on men’s and women’s potential to contribute to conflict mitigation. The program activities should reflect the gender analysis articulated in the context analysis. Applicants should provide a detailed rationale if gender is not relevant to the proposed activity. For more guidance on gender analysis and integration, please see the following references:

· ADS 201.3.9.3 “Gender Considerations” (http://www.usaid.gov/policy/ads/200/201.pdf)

· ADS 201.3.11.6 “Project/Activity Planning Step 2: Conduct Project-level Analysis as Needed” (http://www.usaid.gov/policy/ads/200/201.pdf) Applicants are strongly encouraged to consider the guidance contained in UN Security Council Resolution 1325 on Women, Peace and Security. For additional information, please see http://www.peacewomen.org/security_council_monitor/ and http://www.usaid.gov/our_work/cross-cutting_programs/conflict/in_the_spotlight.html Theory of Change. The applicant must include a program hypothesis that clearly explains the theory or theories of change that underlie the programmatic approach that it has taken in its application. Simply put, a program hypothesis outlines the if-then statement underlying the proposed intervention. In general, a theory of change states what expected (changed) result will follow from a particular set of actions. A simple example would be, “If I add more fuel to the fire, then it will burn hotter.”

As applied to the conflict field, theories of change refer to the assumed connections between various actions and the result of reducing conflict or building peace. The proposed theory of change must be clearly linked to the grievances and resiliencies presented in the conflict analysis.

Each application must have a specific theory of change in its program hypothesis. Applicants are encouraged to look at broader literature on theories of change to inform their own program hypothesis.

People-to-People Approach . Successful applications under this funding opportunity must incorporate the people-to-people approach based on a context and conflict analysis that leads to a concrete program change hypothesis and programmatic solution. Proposed people-to-people activities must address gaps in current responses to a conflict as identified in the context and conflict analysis.

Effective programs should be based on best practices, build the capacity of local partners, and incorporate gender analysis into a proposed approach. Such an approach may include (but is not limited to) the following activities:

· Break down barriers amongst parties through personal contact

· Identify and address issues of mutual concern that establish common ground for cooperation and coexistence

· Seek reconciliation for past violence or ongoing grievances between opposing parties in a conflict

· Strengthen the technical and organizational capacity of local organizations to fulfill the above functions, as appropriate Implementation Plan Implementation. The applicant must demonstrate how the proposed activities build upon one another and are logically sequenced in order to achieve the desired outcome based on the proposed approach and methodology. If the application is for a continuation of a current program, it must articulate progress to date and how continued funding would lead to greater sustainability. The application must identify and address gaps in current responses to the conflict, as identified in the context and conflict analysis and including any gender-related opportunities or constraints or articulate why such constraints do not apply. The application must outline any moments of opportunity where recent or upcoming events provide openings to further reconciliation, where applicable. The applicants should also discuss moments or actions which may derail reconciliation and how the applicant is prepared to address these challenges. The applicant must submit an illustrative first year activity plan which sets out a realistic outline of tasks and deliverables, anticipated time frames, challenges, opportunities and due dates, and persons responsible for achieving each task. The activity plan must include benchmarks for local partner capacity building, if applicable.

Do No Harm: The implementation plan must also explain, in detail, how the program will ensure the safety of all participants and does not put individuals or communities at risk as a consequence of the program. Further, the applicant must explain how the proposed program will not exacerbate tensions in a way that will spark further violence or at least mitigates against any risk of such (do no harm).

Local Engagement and Sustainability. This section must describe strategies that will be employed to sustain the activities beyond USAID funding and contribute to building the capacity of communities to address their own concerns in the future. One way this can be done is through meaningful partnerships with local organizations. Applicants are strongly encouraged to demonstrate a clear understanding of the role that local organizations and institutions are playing or can play in conflict mitigation and peacebuilding. When feasible, it is preferable that local partners are at the forefront of USAID-supported peacebuilding efforts. It is for this reason that funding has been set aside specifically for local organizations. However, even in cases where the primary applicant is not a local organization, it is strongly encouraged that the applicant work closely with local partners on all phases of program design, implementation, and evaluation. Applicants are therefore required to outline how local perspectives have contributed to the conflict analysis as well as the program design, how the applicant will engage with local partners through program implementation and evaluation, and how the applicant will work with its local partners to build both the organizational and technical capacities of the local organizations with which they are engaging, as appropriate. In cases where an applicant (i.e., non-local) was not able to partner with a local organization or institution, does not consider it feasible to do so, or does not consider it in the program’s best interest, the applicant must clearly explain in the proposal why that is the case.

The proposed activity must promote, strengthen and be supported by sustainable local organizations that can champion sound concepts, innovative practices and changes beyond the life of the award. If the application includes partnerships with local organizations, and is over $500,000, the application must include a capacity building plan to include building technical skills in conflict and peace-building as well as organizational management capacity.

Please note that local organizations are not required to develop a capacity building plan unless they are applying for an award over $500,000. However, all applicants are strongly encouraged to develop a capacity building plan as a development best practice.

Organizations applying for funding under this APS up to $500,000 are strongly encouraged to demonstrate how they are fostering the growth of lasting formal and informal peacebuilding institutions beyond the life of the program.

Performance Monitoring and Evaluation Plan This section should provide a description of Applicant’s approach to monitoring and evaluation which the program will utilize and why this approach is appropriate. When considering evaluation, the application should understand the USAID Evaluation Policy released in January 2011 which states USAID’s renewed focus on evaluation as a complementary and reinforcing relationship with other efforts to focus projects on achieving measurable results.

Performance monitoring plans should be designed to measure the direct and near-term consequences of project activities with a goal to inform management and implementation approaches. Each performance monitoring and evaluation plan should include the following components in this plan:

· A list of the types of baseline data that must be collected to demonstrate impact of the program;

· The process by which the indicators will be developed and how monitoring processes and results will be used to inform project management decisions;

· The ways in which impact will be evaluated at the end of the activity including how impact will be attributed to the activity;

· The measurement and data management methods used to collect and analyze indicator data (data sources, frequency of data collection, and methods for collecting and reporting data);

· A plan for collecting and responding to the concerns of program beneficiaries/constituents and other stakeholders.

Results must be clearly articulated and directly correspond to the stated goals and objectives outlined in the technical application and directly correlated to the theory of change. Monitoring and evaluation methods must be specific, measurable, realistic and applicable to the goals and objectives. Plans must also include gender-sensitive indicators and sex-disaggregated data as appropriate.

The monitoring plan, if appropriate, should include indicators for local partner capacity development, including a baseline assessment using an established organization capacity assessment tool or framework. As appropriate, applications by non-indigenous organizations or corporations also should include a plan with appropriate benchmarks for transferring the responsibilities for the technical and substantive elements of the program to local partners.

Proposed indicators should move beyond collecting data on just inputs and outputs for their program, and propose relevant outcome and impact indicators (or proxies) to measure and track the effect of the program on the parties involved and the potential for conflict. The monitoring plan incorporates indicators for local partner capacity building. For more information on developing indicators, including gender-sensitive indicators, please see the following reference:

· ADS Chapter 203: Assessing and Learning (http://www.usaid.gov/policy/ads/200/203.pdf)

The application must also include plans and resources for evaluation. Evaluation is the systematic collection and analysis of information about the characteristics and outcomes of programs and projects as a basis for judgments to improve effectiveness, and/or inform decisions about current and future programming. In keeping with USAID policy, evaluations should be

· Integrated into the design of projects;

· Unbiased in measurements and reporting;

· Relevant to the most important questions regarding project performance, accountability and learning;

· Based on the best methods, taking into consideration time, budget, and other practical considerations;

· Oriented toward reinforcing local capacity, for example by relying on evaluation specialists from partner countries; and,

· Transparent, with clear commitments to full and active disclosure of finding.

Institutional Capabilities and Past Performance Organizational and Team Capabilities: The application must briefly describe the applicant’s organizational history and experience. If partners are proposed, their organizational history and experience should be described and the applicant should demonstrate that the partner organization has been consulted and has agreed to participate in the proposed activities. The applicant should demonstrate success in supporting peace and reconciliation activities, people-to-people activities, or positive experience working with the proposed target population in its respective geographic area.

The composition and organizational structure of the proposed project team must be well described, including team member titles, roles and requisite technical expertise. The team, as backed by the overall organization, should be well matched to the approach and methodology.

The applicant should provide sufficient information on the technical and managerial experience of the project director as well as other relevant project management staff identified by the applicant. The applicant must provide experienced, qualified personnel in relevant disciplines and areas for project management and professional staff positions and include an organogram of project staffing.

Evaluation of Past Performance References

DCHA/CMM will review past performance references to evaluate the extent to which the applicant demonstrates the successful implementation of other projects similar in magnitude, complexity, objectives and contexts. Despite the presence of this evaluation criterion, newer organizations and applicants with little or no prior related grant awards are highly encouraged to apply for DCHA/CMM awards and are eligible for consideration, notwithstanding a lack of past performance references. USAID reserves the right to obtain past performance information from all relevant sources, including those not named in applicant‘s proposal.

When past performance information is present, applicants shall furnish award numbers and other details with contact information for no more than three similar projects funded over the past three years by USAID, or any other government entity or third party source. The details shall include the following: name of the organization or agency which funded the project(s), award number, point of contact‘s name, mailing address, email address and phone number, and the overall dollar value of the project. The applicant must include information on any problems encountered, and the applicant’s corrective action(s). Applicants must not provide general information on their performance. Applicants may describe any quality awards or certificates that indicate exceptional capacity to conduct the program described in this APS.

USAID must consider the information provided, and may use past performance information obtained from sources other than those identified by the applicant, in the evaluation of the applicant’s past performance, and must determine the relevance of similar past performance information. It is recommended that the applicant alert the contacts that their names have been submitted and that they are authorized to provide past performance information when requested. Past performance information may be used for responsibility determination.

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