deloitte standard usaid grants manual

USAID CARIBEAN CLEAN ENERGY PROGRAM DELOITTE STANDARD GRANTS MANUAL

Revised submission: January, 2016

This publication was produced for review by the United States Agency for International Development. It was prepared by Deloitte Consulting LLP

USAID Grants Manual

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Table of Contents 1 Overview ............................................................................................................................................... 1

1.1 Introduction .................................................................................................................................. 3

Table 1-1: Road Map to Deloitte’s Grants Manual ........................................................................... 3

1.1.1 Grants Under Contract .......................................................................................................... 3

1.1.2 Relationship to Contract Activities ........................................................................................ 4

1.1.3 Project-Specific Information ................................................................................................. 4

1.1.4 Eligible Recipients ................................................................................................................. 4 1.2 Overview of Grant Processes ........................................................................................................ 4

1.2.1 Grants Administration Staffing ............................................................................................. 4

1.2.2 Outreach and Notification of Grant Opportunities ............................................................... 5

1.2.3 Overview of Grant Application and Award Process .............................................................. 5 Diagram 1-2: Transparent and Efficient Grant Application and Award Process .............................. 5

1.2.4 Pre-Award Survey and Other Checks .................................................................................... 5

1.2.5 USAID Approval and Award .................................................................................................. 7

1.2.6 Monitoring and Reporting .................................................................................................... 7

1.2.7 Financial Administration ....................................................................................................... 8

1.2.8 Grant Close-out ..................................................................................................................... 8 1.3 Project-Specific Information ......................................................................................................... 9

Table 1-3: Summary of Project-specific Information ........................................................................ 9 Appendices ................................................................................................................................................ 9

2 Grants Management Plan ................................................................................................................... 11

2.1 Introduction ................................................................................................................................ 13

2.1.1 Detailed Overview of Grants Program Processes ............................................................... 13 Diagram 2-1: Transparent and Efficient Grant Application and Award Process ............................ 13 Diagram 2-2: Key Steps in the Grant Administration Process ......................................................... 14

2.2 Planning and Standing Up a Grants Program .............................................................................. 14

Table 2-1: Overview of Key Decisions in Planning a Grants Program ............................................. 14 2.3 Grant Solicitation and Award Process ......................................................................................... 15

2.3.1 Types of Grants ................................................................................................................... 15 Table 2-2: Types of Grants .............................................................................................................. 15

2.3.2 General outreach of grant program .................................................................................... 16

2.3.3 APS, Requests for concept papers or grant applications .................................................... 16

2.3.4 Exceptions to Competition .................................................................................................. 17

2.3.5 Establishment of internal evaluation committee ............................................................... 18

2.3.6 Evaluation of grant applications or concept papers ........................................................... 19

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2.3.7 Potential Recipient presentation to evaluation committee ............................................... 19

2.3.8 Response to potential Recipient ......................................................................................... 19

2.3.9 Finalization of grant documentation .................................................................................. 20

2.3.10 For Fixed Amount Awards: Setting Milestones and Structuring Payments ........................ 20

2.3.11 Pre-Award Screening/ Responsibility Determination ......................................................... 21

2.3.12 USAID Approval / Optional Oral Presentations................................................................... 23

2.3.13 Execution of Grant Award ................................................................................................... 24 2.4 Management of Grant Implementation ..................................................................................... 24

2.4.1 Internal grants tracking ....................................................................................................... 24

2.4.2 Kick-off meeting with Recipient .......................................................................................... 24

2.4.3 Technical implementation of grant activities ..................................................................... 24

2.4.4 Reporting and monitoring grant activities .......................................................................... 25

2.4.5 Branding requirements ....................................................................................................... 25

2.4.6 Processing of payments for other than Fixed Amount Awards .......................................... 25

2.4.7 Payment for Fixed Amount Awards .................................................................................... 28

2.4.8 Modifications ...................................................................................................................... 29

2.4.9 Grant Closeout Process ....................................................................................................... 30 Appendices .............................................................................................................................................. 31

References: ............................................................................................................................................. 31

3 Applying for Grants ............................................................................................................................. 33

3.1 Introduction and Summary of Project and Grants Program ....................................................... 35

3.2 Types of Grants ........................................................................................................................... 35

Table 3-1: Types of Grants .............................................................................................................. 35 3.3 Announcements of Grant Opportunities .................................................................................... 36

3.4 Eligibility of Grant Applicants ...................................................................................................... 36

3.4.1 Eligible and Ineligible Organizations ................................................................................... 37

3.4.2 Eligible and Ineligible Types of Projects and Activities ....................................................... 38

3.4.3 Cost sharing ......................................................................................................................... 38 3.5 Applying for Funding ................................................................................................................... 38

3.5.1 Unsolicited Requests ........................................................................................................... 39

3.5.2 Concept Papers ................................................................................................................... 39

3.5.3 Grant Application ................................................................................................................ 39

3.5.4 Evaluations .......................................................................................................................... 41

3.5.5 Pre-award Survey ................................................................................................................ 42

3.5.6 Presentation to / Approval by USAID .................................................................................. 42 3.6 Award / Terms and Conditions ................................................................................................... 43

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3.7 Project Contact Information ....................................................................................................... 43

Appendices .............................................................................................................................................. 44

4 Grant Recipient Handbook .................................................................................................................. 45

4.1 Introduction ................................................................................................................................ 47

4.1.1 Grant Management Lifecycle .............................................................................................. 47

4.1.2 Understanding Your Grant Award ...................................................................................... 47 4.2 Grant Program Start-Up .............................................................................................................. 47

4.3 Delivering and Monitoring Grant Activities ................................................................................ 48

4.4 Reporting Requirements ............................................................................................................. 48

4.5 Financial Administration for other than Fixed Amount Awards ................................................. 49

4.5.1 Bank Accounts ..................................................................................................................... 49

4.5.2 Allowable Costs ................................................................................................................... 50

4.5.3 Unallowable Costs ............................................................................................................... 50

4.5.4 Taxes ................................................................................................................................... 50

4.5.5 Cost Share ........................................................................................................................... 51

4.5.6 Interest Earned and Refunds .............................................................................................. 51 4.6 Financial Reporting and Disbursement of Funds for other than Fixed Amount Awards ............ 51

4.6.1 Advances and Liquidations ................................................................................................. 51

4.6.2 Reimbursement ................................................................................................................... 51

4.6.3 Salary Reimbursement Requirements ................................................................................ 52

4.6.4 Procurement Requirements................................................................................................ 52

4.6.5 Domestic Travel and Transportation .................................................................................. 53

4.6.6 International Travel ............................................................................................................. 53 4.7 Payments under Fixed Amount Awards...................................................................................... 54

4.8 Marking and Branding ................................................................................................................. 54

4.9 Records Requirements ................................................................................................................ 54

4.10 Inventory - Property Management ............................................................................................. 54

4.10.1 Grant Inventory Tracker ...................................................................................................... 55

4.10.2 Physical Inventory ............................................................................................................... 55

4.10.3 Theft of Equipment ............................................................................................................. 55

4.10.4 Title ..................................................................................................................................... 55

4.10.5 Insurance ............................................................................................................................. 55

4.10.6 Maintenance ....................................................................................................................... 56 4.11 Modifications .............................................................................................................................. 56

4.11.1 Extensions ........................................................................................................................... 56

4.11.2 Budget Reallocation ............................................................................................................ 56

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4.11.3 Activity Changes .................................................................................................................. 56 4.12 Audits .......................................................................................................................................... 56

4.12.1 Interim Audits ..................................................................................................................... 57

4.12.2 Final Audits .......................................................................................................................... 57 4.13 Close Out ..................................................................................................................................... 57

Appendices .............................................................................................................................................. 58

Grants Manual Appendices ......................................................................................................................... 59

Section 1 Appendix ................................................................................................................................. 63

Section 2 Appendices .............................................................................................................................. 67

Section 3 Appendices ............................................................................................................................ 169

Section 4 Appendices ............................................................................................................................ 236

USAID Grants Manual

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1 Overview

USAID Grants Manual


USAID Grants Manual


1.1 Introduction This manual presents the processes and procedures that Deloitte Consulting LLP (“Deloitte”) will follow when executing grants under U.S. Agency for International Development (“USAID”) technical assistance contracts that authorize Grants Under Contracts pursuant to USAID Automated Directives System Chapter 302 clause 3.4.13.

Deloitte’s USAID grants manual (“Grants Manual”) has four sections. Each section is designed with particular audience in mind; those sections pertaining to potential applicants and to Recipients are designed to stand alone. The Grants Manual sections are listed in the table below.

Table 1-1: Road Map to Deloitte’s Grants Manual

Section Title Target Audience Purpose

1 Overview Deloitte Summarize the main elements of Deloitte’s Grants Manual, processes and procedures. Includes a summary of Project-specific information.

2 Grants Management Plan

Deloitte Grants Administrator and Deloitte Project Team

Support the Deloitte Project Grants Team in the execution of a Project grants program that is compliant with USAID and Deloitte requirements and meets the technical objectives of the project.

3 Applying for Grants Applicants and Potential Applicants

Orient applicants and potential applicants to the Project grants program, processes, and requirements.

4 Grant Recipient Handbook

Grant Recipients Inform Recipients of rules and regulations governing the awarded grant.

1.1.1 Grants Under Contract Typically, USAID only authorizes a contractor to execute grants under contract when it is not feasible for USAID to accomplish its program objectives through direct contracts and/or direct grant awards, because either the burden of executing a number of small grants is particularly difficult for the USAID mission or the grant program is incidental and relatively small in comparison to other technical assistance being carried out by the contractor.

Deloitte’s Grants Manual recognizes that USAID must remain substantively involved in the grants process, including significant involvement establishment of selection criteria and final approval of the grant recipients. USAID may be less significantly involved when grants are below $ and are incidental to the Deloitte’s technical activities under the USAID contract. The Grants Manual also recognizes that USAID must ensure that the requirements that apply to USAID-executed grants will also apply to grants that Deloitte executes under the contract, and that USAID must retain the right to terminate unilaterally any grant activity in extraordinary circumstances.

Applicable Regulations Deloitte’s Grants Manual applies the following specific regulations:

• Code of Federal Regulations 2 CFR 200 and 2 CFR 700; • USAID Automated Directives System (“ADS”) Chapter 303 “Grants and Cooperative Agreements to

Non-Governmental Organizations”.

USAID Grants Manual


1.1.2 Relationship to Contract Activities Deloitte’s Grants Manual reinforces the goal that grants programs should advance the overall program of technical assistance covered by the contract under which the grant is executed. Individual grants to selected recipients should contribute to the overall goals and objectives established in the USAID contract performed by Deloitte (also referred to herein as “Project”).

1.1.3 Project-Specific Information This Grants Manual covers grants to non-U.S. nongovernmental organizations (for profit or not-for- profit) executed by Deloitte under USAID contracts. Project-specific information—such as grant award limitations, types of grants authorized, specific eligibility criteria, approval levels and authorized USAID approvers—will be included as an appendix to the Grants Manual for each USAID contract performed by Deloitte that contains Grants Under Contract services. The Grants Manual discusses the traditional types of grants as Mini and Small Grants (Simplified grants), Program Grants (Standard grants) and Fixed Amount Awards. Deloitte recommends that projects’ teams use Fixed Amount Awards as a preferred type of grant when possible especially in cases where the costs are certain and where the accomplishment of grant “milestones” is readily discernible. This type of grant focuses on outputs and results and limits the risk for both parties.

1.1.4 Eligible Recipients Eligible Recipients may be non-U.S. non-governmental organizations (NGOs), either for profit or nonprofit, legally established in the host country. Additional Project-specific eligibility criteria may apply. Monetary grants will not be provided to governmental entities or officials (whether from national, regional, district, local or municipal levels) or political organizations. Also ineligible will be organizations whose objectives are not consistent with the broad objectives of the Project or who do not meet applicable requirements or Project specific eligibility criteria.

1.2 Overview of Grant Processes This subsection presents a general overview of the various processes and procedures that Deloitte will follow to execute grants authorized under a contract with USAID in accordance with applicable regulations. Details about each process are provided in Section Two of this manual.

1.2.1 Grants Administration Staffing Deloitte will agree with USAID on adequate grant program staff support for each Project that contains the Grants Under Contract clause. A typical Deloitte staffing configuration will include a Grants Administrator and sufficient number of and time for financial reviewers and technical staff to efficiently and effectively execute the Grants Under Contract program (including grants application process, applications evaluation, and post award monitoring). If the grants staff is hired locally, Deloitte will propose sufficient expatriate oversight from its core grants management specialists for appropriate oversight of the program. The Project Grants Administrator will be required to demonstrate facility with the processes and procedures contained in this Grants Manual. Staff assigned by Deloitte to execute the Project’s Grants Under Contract services is referred herein as “Project Grants Team.”

USAID Grants Manual


1.2.2 Outreach and Notification of Grant Opportunities Typically, grant programs administered under USAID contracts focus on providing support to organizations operating in the host country. To make such organizations aware of grant opportunities, the Project will carry out a range of outreach activities targeted to reach potential recipients. While outreach activities may differ across individual projects, illustrative activities include the following:

• Annual dissemination of the project’s program statement for the grant activity (often called Annual Program Statements and abbreviated as APS), specifying the overall project mission and the grant opportunities to support achievement of that mission.

• Periodic announcements or calls for concept papers for specific topical areas to be addressed within the grants program.

• Specific solicitations (“Requests for Applications”), when a more rigorous competition process is needed to ensure transparency and equity (particularly useful when private sector firms are anticipated to seek an award).

• A grants section on the project website that includes instructions, program statements, announcements, solicitations, training opportunities, awards, grant reports, etc.

• Grant Development Workshops on preparing grant concept papers, applications, administering grant awards, reporting grant results, etc.

1.2.3 Overview of Grant Application and Award Process Deloitte’s objective is to treat the incoming materials (whether concept papers or applications) from potential Recipients in a manner that safeguards transparency and efficiency without undue bureaucracy. Diagram 1 presents an overview of the application and award process.

Diagram 1-2: Transparent and Efficient Grant Application and Award Process

1.2.4 Pre-Award Survey and Other Checks The Deloitte Project Grants Team should take reasonable steps to check that the potential Recipient has the capacity to manage the grant funds and that it is not on any restricted entity or watch list. The Project Grants Team should also check for internal or external conflicts of interest and check that the award is consistent with Deloitte’s mandate to remain independent and objective in performing services for clients.

USAID Grants Manual


Pre-award Survey /Responsibility Determination If the proposed Recipient has had a USAID or other USG Agency grant award within the past five years, the Project Grants Team may make a determination of the Recipient’s capacity to prudently manage the grant (its “responsibility”) through a desk audit or other informal audit as described in the next section, including a review of required certifications and statements, past performance on prior awards, and audits required on the prior awards. If the Recipient has not had a grant award in the last five years, the Project Grants Team must employ a more rigorous review to determine if the Recipient has the necessary organizational systems, experience, accounting and operational controls and technical skills to achieve the objectives of the proposed grant. Section Two includes a template for this review that will cover audited financial statements, cash flow, organizational chart, and existing policies for accounting, personnel, property management and purchasing.

The Grants Team must also review the proposed program description and financial plan as well as make a determination whether the applicant has adequate financial resources (or ability to obtain them), has the ability to meet the award conditions, has satisfactory record of performance, satisfactory record of business integrity, and is otherwise qualified to receive an award under applicable laws and regulations.

For a non-U.S. organization, the Project Grants Team must ensure that the applicant can meet the requirements of ADS 303mab, Standard Provisions for Non-U.S. Nongovernmental Organizations as part of the risk assessment. For local non-U.S. organizations, the pre-award survey team should follow ADS 303sam, Non-U.S. Organization Pre-Award Survey Guidelines (NUPAS) and Support or conduct a detailed analysis in accordance with locally-established or award-specific criteria that achieve the same objectives as the NUPAS. For additional guidance regarding local non-U.S. organizations pre-award surveys, risk assessments, and specific conditions see ADS 303sam, NUPAS Guidelines and Support.

For Fixed Amount Awards, the Grants Team should use the ADS 303mak, Fixed Amount Award Entity Eligibility Checklist to ensure the intended recipient will be able to comply with ADS 303mat, Standard Provisions for Fixed Amount Awards to Nongovernmental Organizations.

Terrorism Financing and Restricted Entities The Grants Team should reasonably check that USAID grants will not be awarded to individuals or organizations associated with terrorism or otherwise precluded from receiving US Government funding. The team must search for the proposed Recipient organization on the following lists:

• The Specially Designated Nationals (SDN) List administered by the Department of Treasury’s Office of Foreign Assets Control (OFAC) http://www.ustreas.gov/offices/enforcement/ofac/sdn/ Department of State: http://www.state.gov/j/ct/list/index.htm • Foreign Terrorist Organization List (FTO): http://www.state.gov/j/ct/rls/other/des/123085.htm • Terrorist Exclusion List (TEL): http://www.state.gov/j/ct/rls/other/des/123086.htm • Executive Order 13224: http://www.state.gov/j/ct/rls/other/des/122570.htm • Terrorism Designation Page: http://www.state.gov/j/ct/rls/other/des/index.htm

• Excluded Parties List System: http://www.sam.gov. • United Nations Consolidated List (Resolution

1267): http://www.un.org/sc/committees/1267/narrative.shtml

The Project Grants Team should keep with the project files the results of applicant checks performed against these lists. If the proposed Recipient appears on any of these lists, the grant may not go forward and the Grants Administrator should inform the Project leadership, USAID, and Deloitte’s Grants Team. The Project Grants Team will then inform the applicant that it is not eligible for an award.

http://www.ustreas.gov/offices/enforcement/ofac/sdn/

http://www.state.gov/j/ct/list/index.htm

http://www.state.gov/j/ct/rls/other/des/123085.htm



http://www.state.gov/j/ct/rls/other/des/index.htm

http://www.sam.gov/

http://www.un.org/sc/committees/1267/narrative.shtml

USAID Grants Manual


Deloitte Independence In order to ensure that there is no business relationship between the potential Recipient and Deloitte or Deloitte Touche Tohmatsu Limited member firms and its affiliates that might cause an appearance of impropriety, the Project Grants Team will carry out an independence check in accordance with Deloitte internal processes. For Recipients solely existing in the host country, the Team will determine who audits the Recipient. If the auditor is one of the Deloitte Touche Tohmatsu Limited member firms, the team will seek guidance from Deloitte Consulting on a mitigation strategy. If the Recipient is an international or US based NGO, then the team will follow Deloitte’s normal independence review process applicable to subcontractors. In the event there is any potential conflict or appearance of the conflict of interest, Deloitte will inform USAID promptly and will work with USAID to address the issue.

1.2.5 USAID Approval and Award

USAID Approval Consistent with the Grants under Contract clause, Deloitte will obtain USAID’s written approval prior to making a grant award to the Recipient. To secure that approval, the project team will submit to the USAID Contracting Officer Representative (COR) a summary sheet about the grant with any necessary supporting documentation for review and approval. Deloitte will also include a Grant Recipient Selection Memorandum of the selection process, including the reasons for rejections of any applications, if applicable and a detailed Negotiation Memorandum. If appropriate, the potential Recipient may be asked to make a presentation on its proposal for the USAID COR and the Project. The COR must approve the APS or the RFA before release, and may also participate in selection process as a non-voting member. CO approval will be sought according to Section 1.3 Project Specific Information on page 9.

Grant Award Upon USAID’s approval of the Recipient and after review by Project leadership of a grant award checklist, Deloitte will prepare and send to the approved Recipient a grant award document that specifies the grant work-plan, budget, reporting and deliverable schedule, and that:

• reserves USAID’s right to unilaterally terminate the grant; • affirms that neither USAID nor Deloitte assume any liability for any third party claims arising under

the grant; • requires the Recipient to keep books and records for 3 years after expiration of the grant and to make

such records available to USAID and their designees or representatives for review upon request; and • requires the Recipient, at USAID or Deloitte request, to refund any funds received for any costs that

did not meet the terms and conditions of the grant (e.g., that represent reimbursement for any inappropriate or unallowable costs).

1.2.6 Monitoring and Reporting The grant award document will specify the Recipient’s reporting requirements. The Deloitte Project Grants Team will appoint a member of its technical team as “task manager” to be the Recipient’s primary point of contact during the grant period. That team member will receive the appropriate reports and will monitor that results specified in the work-plan are achieved, prior to authorizing any disbursement of funds to the Recipient. The Project will report on the results from the Grant in the Project’s regular reports to USAID.

USAID Grants Manual


1.2.7 Financial Administration Deloitte financial administration processes include several options through which Deloitte can provide the necessary grant funds for the Recipient to carry out the grant activities. These options depend on the type of grant award. Options must balance the Recipient’s need for funds with the capacity of their financial systems, and with Deloitte’s and USAID’s goal that the funds be used for the intended objectives. For large, multi-year grants over $ (called Program Development Grants), Deloitte requires that Recipients open a new bank account for the sole use of the grant funds.

While Deloitte’s processes include the option to disburse advances, experience shows that smaller amounts reimbursed monthly are often a better option for projects where host country organizations are not familiar with managing grants. In these situations, projects may also choose to make payments directly to the Recipient’s vendors. However, projects may choose to disburse advances in situations where host country organizations are familiar with managing grants, or where building a Recipient’s capacity for managing grants and vendor relationships is an important goal of the grants program. All disbursements are closely tied to reporting and Recipient outcomes.

1.2.8 Grant Close-out Prior to completion of the grant, the Deloitte Project Grants Team will send the Recipient a letter that describes the grant close-out process and requirements. Required reports might include a final technical report detailing activities completed, accomplishments and lessons learned during the grant period, and progress towards grant objectives based on indicators presented in the grant application. Once all required documentation is complete, the Deloitte Project Grants Team will process final reimbursements and issue a completion letter reserving the required audit rights.

USAID Grants Manual


1.3 Project-Specific Information The table below summarizes essential information about the Project specific Grants Program.

Table 1-3: Summary of Project-specific Information

Project Name Caribbean Clean Energy Program

USAID Contract No. AID-OAA-I-13-00018/AID-532-TO-15-00003

Contract Clause Authorizing Grants Under Contract

AID-OAA-I-13-00018 H.14 GRANTS UNDER CONTRACT AID-532-TO-15-00003 F.4.3 INNOVATION FUND MANAGEMENT PLAN AND GRANTS MANUAL All grants must be compliant with ADS 302.3.4.13, Grants under Contracts.

Individual Grant Size Limit (as specified in the Contract)

The total value of any individual grant to any organization shall not exceed $ for US Organizations

Eligible Recipients (as specified in the Contract)

US Organizations Non-US Organizations Non-US Regional Organizations*

Types of Grants, Limits, Authorized USAID Approvers

Type COR Limit CO Limit Mini <US$ Small <US >US$ Fixed Amount <US$ >US$ Program Development <US$ >US$ In-kind Grant <US$ >US$

Other Required Approvals 1. COR approval of eligibility and evaluation criteria. 2. COR approval of Grant Awards

Grants Management Information System in use

Yes No

* Non-US organization that are local to the countries in the region and are relevant to the CARCEP implementation

Additionally the specifics for each project’s Grants Program Guide are included in Attachment 1. 1.

Appendices 1.1 Grants Program Guide – Caribbean Clean Energy Program

USAID Grants Manual


USAID Grants Manual


2 Grants Management Plan

USAID Grants Manual


USAID Grants Manual


2.1 Introduction The purpose of this section is to document the step-by-step procedures for the Deloitte Project Grants Team to follow during the pre-award period (including competition), as well as award and post-award grant administration. The procedures are designed to maximize efficiency, consistency, transparency, and alignment of grants with Project objectives. The expectation is that the selection criteria for grants have already been established with USAID as part of the contract’s statement of work or the project work-plan. Detailed instructions and illustrative templates are provided with this manual. In order to avoid duplication, templates are included as an appendix only once in the manual even though they might be referenced multiple times– ideally the template will be found in the section appropriate to the audience most likely to be asked to complete the template.

2.1.1 Detailed Overview of Grants Program Processes The internal grants management function is divided into two main processes: the grant pre-award process and the post-award grant administration process.

The grant pre-award process begins with a solicitation for concept papers or applications, or receipt of unsolicited concept papers, proceeds to the establishment of an internal evaluation committee, actual evaluation against program objectives and other criteria, presentation to USAID as needed, and USAID approval. The entire process generally takes approximately 6 to 8 weeks from start to finish. Diagram 2-1 provides an overview of the grant application, evaluation, and approval steps.

Diagram 2-1: Transparent and Efficient Grant Application and Award Process

The grant administration process begins with the signing of the grant award document by the grant Recipient and includes kick-off meeting with Recipients, internal tracking, monitoring and reporting, processing of payments, and—when needed—modifications. Diagram 2-2 provides an overview of the grant administration steps.

USAID Grants Manual


Diagram 2-2: Key Steps in the Grant Administration Process

No

Yes

No

Yes

No

YesYes

No

Yes

No

Grant Awarded and

Signed

Grants Tracker Updated

Kick-off Meeting with Grantee

Held

Grant Activities

Implemented

Progress Report /

Deliverable Submitted

Progress Report / Deliverable

Reviewed by Task Manager

Approved?

Progress Report /

Deliverable Revised

PDG Advance Needed?

Invoice/Receipts Submitted

Advance Request

Submitted and Approved

Approved? Invoice/Receipts Reviewed

Invoice/Receipts Clarified

Invoice Paid Small/Mini Grant?

Receipts Liquidated/ New Advance

Requested and Approved

Grant Activities

Complete?

Grant Closed

Out

2.2 Planning and Standing Up a Grants Program Upon award of a USAID contract with a grants execution component, the Deloitte Project team should work with Deloitte’s Emerging Markets grants team1 to develop the Project’s Grants Program in accordance with this Grants Manual. The first step — at Project start-up or even as part of a proposal to USAID prior to Project award—is to carefully review the entire Grants Manual including the sections designed for Recipients. While most of the processes, systems, standards, and tools contained in this Grants Manual are standardized across all grants executed by Deloitte under USAID contracts, some elements may vary according to each Project’s needs and specific USAID contract requirements. Based on specific Project needs and contract requirements, the Project should tailor the Project-specific grant documentation, tools and templates for Project use. The project specifics for each Grants Program will be included in a Grants Program Guide provided in Attachment 1.1. Any material changes will need approval from Deloitte Consulting Quality and Risk Management Manager/Partner/Principal/Director assigned to Emerging Markets (see Footnote 1) who may consult Deloitte’s General Counsel’s Office about the proposed changes. Table 2-1 offers an overview of key decision points when planning a grants program. USAID’s approach has evolved as to appropriate grant instruments as reflected in the manual.

Table 2-1: Overview of Key Decisions in Planning a Grants Program

Decision Point Options

Types of grants and ceilings Mini Grant; Small Grant; Program Development Grant; Fixed Amount Award, In-kind Grant. Decision usually made in conjunction with USAID or dictated by the Contract with USAID

Outreach activities Workshops, conferences, training activities Grant Program Announcements Annual program statements, requests for expression of interest, calls for

concept papers, requests for application Grant review and evaluation process

Traditional or expedited process

Applicant Instructions Types of grants, cost share, disposition of rejected applications, etc. Adapting Tools and Templates Grant opportunity announcements; grant solicitations, and grant award

documents

1 Carol Swan, PPD; Kathleen O’Dell, Mariela Tsvetkovska, Renata Petrusevska

USAID Grants Manual


The subsections below provide information and examples to guide the Project team.

If not approved as part of the award process, the Project team should submit the Grants Manual to the USAID Contracting Officer for approval, consistent with the Grants under Contracts contract clause.

If the grant selection criteria are not spelled out in the Scope of Work for the project within the Contract, or in the project work-plan, the Grants Administrator and Chief of Party should work with the COR to outline the selection criteria for the grants program. Criteria might include emphasis on a particular program activity, limitation to local organizations (as opposed to US NGOs), eligibility of local firms, etc. Also, the Grants Administrator should work with the COR to determine a Project-specific protocol about how USAID approval of grant applications will be handled. As noted, on some projects, the most efficient approach is for an oral presentation to be made by the potential Recipient. If so and for projects with larger grants programs, the Grants Administrator should then establish a pre-set, regular date with the USAID COR for potential Recipient oral presentations, depending upon how frequently grants are evaluated. Upon approval by USAID of the Grants Manual, grants management activities can proceed.

2.3 Grant Solicitation and Award Process

2.3.1 Types of Grants The Project team must decide which of the five types of possible grant awards best meet the needs of the Project. Each grant type, summarized in Table 2-2, fills a unique function and purpose and has specific funding and time limits. Although the Project can choose to set a funding ceiling below the maximum, the ceiling cannot be exceeded.

Table 2-2: Types of Grants

Grant Type Grant Purpose Maximum Funding Limit

Maximum Time Limit

Mini Grant (Simplified)

Provide funding for stand-alone activities consistent with both Recipient and Project objectives. Activities do not necessarily have to be part of Recipient’s overall long-range plan.

US$ Up to 90 days

Small Grant (Simplified)

Provide funding for Recipient activities consistent with both Recipient and Project objectives and which contribute to the Recipient’s growth and sustainability.

US$ Up to 1 year

Program Development Grant (Standard)

Provide funding for Recipient activities consistent with both Recipient and Project objectives, and that contribute to the Recipient’s growth and sustainability as part of its long-range plan.

Generally US$ but depends on Contract Need*

TBD

Fixed Amount Award

Provide fixed amount of funding as Recipient achieves each part of a fixed set of program benchmarks.

US$ but depends on Contract Need*

Up to 3 years

In- Kind Grants

Uses grant funding to procure tangible assets for grantees.

TBD

TBD - Not to exceed life of the project

*Higher Amounts Require Deloitte HO Grants Committee approval. Please contact Mariela Tsvetkovska.

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2.3.2 General outreach of grant program The Project team should begin the grant award process by first developing awareness in the community at large of the grant program and its objectives. This may be done through a variety of mechanisms; the Grants Administrator should be creative in determining appropriate ways to raise awareness.

First, in the beginning of the Project and later as needed, the Grants Administrator should train appropriate internal Project members on how the grant award process works and which types of organizations and activities are eligible for grant funding, and should conduct a brainstorming session around how to most effectively use the Project’s grant funds to deliver desired technical results. This should be done in conjunction with annual work-planning so that potential grants can be incorporated into the annual work-plan. Project team members should be encouraged to broadcast the grants program to stakeholders who might be potential Recipients and direct them to the Project website or provide them with grants program information.

If the Project will have a website, the Project team should also develop a grants section on that website that includes clear information about eligible organizations and activities, the “Applying for Grants” section of this Grants Manual, concept paper guidelines and other relevant templates, and open Requests for Applications (RFAs). Potential Recipients should be directed to the website as reasonably possible, and the website should be updated regularly to be timely and comprehensive.

The Grants Administrator may also want to work with the technical team to develop a “long list” of potential Recipients in the community through research and networking, and then create an email distribution list of organizations to receive basic information on the grants program, directing recipients to the website for additional details. Likewise, the Grants Administrator may consider using social media outlets such as LinkedIn, depending upon the sophistication level of potential Recipients, to make them aware of the grants program.

Another good outreach method is through informational training sessions on how to apply for a grant. This is generally an effective mechanism for demystifying the grant process to potential Recipients and also to enhance the quality of received concept papers and grant applications, so they are more likely to be responsive to Project requirements. The Grants Administrator should consider holding these in geographically diverse locations to ensure maximum reach within the community.

2.3.3 APS, Requests for concept papers or grant applications Building on the broad outreach within the community at large, the next step may be to develop Annual Program Statements (APS), more targeted calls for concept papers or RFAs. This request is generally done once the annual work plan is finalized and approved so that the potential grants can be complementary to the achievement of specific work plan deliverables. Any APS and RFA should include references to the Standard Provisions to Non-US NGOs from ADS 303.

Annual Program Statement (APS)

Each year, the project may announce its overall expected grants program activities for the coming period. The purpose of the Annual Program Statement (APS) is to disseminate information about the Grants Program objectives and plans for the project year, to provide fair and equal opportunities to all eligible organizations to submit innovative concept papers/applications for grant support through the grants program.

The Grants Administrator should post the APS on the project website, place a summary advertisement in a local newspaper, email a notice to a pre-identified distribution list, and/or use any other means of

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outreach to target a wide, relevant audience. The announcements should include selection criteria consistent with those established with USAID. (See Appendix 2.1 for an APS template.)

Call for Concept Papers A Call for Concept Papers may be used when the Project has a general sense of the sector or technical area it wants to support, but would like to solicit creative suggestions from potential Recipients for specific grant ideas. This allows potential Recipients to submit for consideration concepts that may not be fully developed or that need further refinement. In this way, potential Recipients do not have to go through the lengthier grant application process to get some initial feedback and/or assistance with concept development. At the same time, the Project benefits by getting access to ideas for grant funding it may not have previously considered. This may be especially appropriate on a demand-driven Project where ideas are solicited from NGOs. (See Appendix 2.2 for a template for a Call for Concept Papers.)

Request for Applications (RFA) Under a project a formal RFA is typically used when the technical concept for the grant funds is very specific and well-defined already or when a more rigorous competition process is needed for transparency and equity reasons. RFAs also may be appropriate when commercial organizations are expected to apply, or when the Project wants to provide a very broad opportunity to compete. (See Appendix 2.3 for a template). Obtain USAID COR approval of the evaluation criteria as part of the Call for Concept Paper.

2.3.4 Exceptions to Competition While competition is strongly encouraged and is the usual approach to selecting grantees, it is not always reasonable to compete all grant activities. Grants awarded without competition will be subject to the same rigorous review processes as those awarded through a competitive process and still require approval by the USAID CO. The following exceptions are the most commonly utilized to justify absence of competition; the complete list may be found at ADS 303.3.6.5 Restrictions to Eligibility:

• Unsolicited requests. An unsolicited request is one that comes designed and developed by a potential recipient but is not in response to a specific project request. As stated in Section 3.5.1 of the Applying for Grants volume, it makes more sense for an organization to submit a concept paper, without investing the time and expense necessary to submit a full application. This will allow the Project to determine if the concept fits within the objectives of its grants program. Typically unsolicited requests are evaluated during the next available review cycle but may be held until later if the subject matter deals with an upcoming announcement. Either way, the Project Grants Team will inform the organization of the status and ultimate decision. Award may be made without the benefit of competition if the unsolicited proposal:

o Was submitted solely on the applicant’s initiative, without prior formal or informal solicitation, assistance, or privileged information from an employee of the project or USAID

o Identifies a unique, innovative, or proprietary program o Identifies exclusive or predominant capability on the part of the potential recipient based on

the following criteria: Proprietary capability Specialized facilities or technical expertise An existing unique relationship with the cooperating country or recipients

• Grants to one-of-a kind organizations. Grants may be made to one-of-a-kind organizations after limited or no competition to take advantage of a unique and time-sensitive opportunity. In cases where the project staff identifies such an organization to receive a grant, the Grants Manager will

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ensure that there is no conflict of interest or appearance of conflict of interest. It will undergo the same review and approval procedures as other applications.

• Pre-Qualifying Organizations. In certain cases, it may be appropriate to pre-qualify organizations that, based on the market research, are known to possess the past performance, qualified personnel, managerial talent, or other attribute such as local competition which may be limited to local or regional organizations within a target zone of intervention. In these instances, the RFA is sent to only those organizations that have been pre-qualified. This accelerates the process of grants-making, reduces the number of non-compliant submissions, and enables greater process efficiency. To ensure proper pre-qualification, market research should confirm that the organizations possess attributes generally consistent with the grant design in the following areas:

o Past performance o Experience of both long term and accessible short term personnel o Financial and other resources (e.g. systems, equipment, production facilities, etc.) o Certifications, particularly those required for specific work per local law o Other attributes consistent with the design

• Follow-on for assistance Awards and amendments. A follow-on grant Award is a new or amended Award awarded subsequent to completion of an existing Award, and may continue the activity initiated during implementation of the prior Award or it may further an existing relationship.

The Grants Manager should prepare a justification for use of an exception to restrict eligibility under this section following USAID’s Justification to Restrict Eligibility (JRE) Template and submit it for approval to the COR or the CO depending on the grant amount.

2.3.5 Establishment of internal evaluation committee At least one week prior to the deadline for receipt of concept papers or applications, the Grants Administrator should establish an internal evaluation committee. Depending upon the size of the Project and whether concept papers or full applications are being evaluated, the committee should range from 3 to 5 members: one is the Grants Administrator, one is the technical lead most closely associated with the sector or technical area, and one is an additional technical staff member to provide an outside perspective. If the Project has either geographically diverse branch offices and/or cross-cutting solution teams, the appropriate representative should be included in the evaluation committee when applicable. In addition, in most projects if the committee is evaluating full applications, the expatriate lead overseeing the grants component should be included. The evaluation committee should be an odd number if possible to avoid a “tie.”

The Grants Administrator should distribute guidelines for participation in technical evaluation panels (See Appendix 2.4 for a template.) to the committee members. Grant evaluation committee members may not review an application where they have a potential or real conflict of interest. All Grant evaluation committee members will be required to sign a declaration of impartiality and confidentiality. (See Appendix 2.5 for a template.) In addition, the evaluation committee members must be briefed on the selection criteria established with USAID.

In cases where the Grants Administrator receives unsolicited concept papers, he/she and the relevant technical lead should, at their discretion, determine whether to establish an ad hoc evaluation committee to review the concept paper, or whether to hold the concept paper to be evaluated with others that are expected to be received in response to a formal solicitation.

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2.3.6 Evaluation of grant applications or concept papers Upon receipt of the concept papers or applications, the Grants Administrator will promptly distribute them to the evaluation committee members along with a scoring form and instructions. (See Appendixes 2.6, 2.7 and 2.9 for sample Evaluation Review Scoring Forms.) The Mini and Small Grants are subject to a simplified evaluation method where the evaluators will answer with “Yes” and “No” questions relevant to the goals of the grants. The questions may be tailored (Appendix 2.9) to reflect the specific goals of the grants. For the Standard Grant type the evaluation is more rigorous in order to address the more complex SOWs for Standard grants. The Grants Administrator should establish the evaluation date of the evaluation committee meeting approximately 4 to 8 business days after receipt, depending on the number of submissions, to allow sufficient time for review and scoring prior to the meeting. Evaluation committee members should be reminded of the importance of completing in full their evaluations in advance of the evaluation committee meeting.

The outcome of the evaluation committee is to determine if submissions fall within competitive range (generally 70 points or higher out of 100 for Standard type Grants and 6 out of 6 “Yes” for the Mini and Small Grants) and, if so, whether the evaluation committee would like particular applicants to make an oral presentation prior to final decision. Results of the evaluation process are finalized in a consolidated grant application evaluation scorecard. (See Appendix 2.8 and 2.9).

2.3.7 Potential Recipient presentation to evaluation committee A presentation to the Grant evaluation committee is an optional step, usually only used for concept paper evaluations. Typically, presentations are requested from applicants when submissions require some refining or clarification before the evaluation committee can comfortably make a decision. The Project provides the potential Recipient with a presentation template for consistency and brevity. (A presentation template is available as an appendix to Section 3.) The process is described in more detail in the Section 2.3.10 below.

The committee should use this opportunity to obtain answers to all its questions to facilitate decision-making. For potential Recipients, it can be a very useful learning experience in presentation-making and in clarifying their concept in advance of preparing their full application.

2.3.8 Response to potential Recipient Once the Grant evaluation committee has finalized its work, the Grants Administrator will communicate the decision, comments and/or next steps to the potential Recipient. Applicants may be required to provide additional information and certifications and other statements to ensure the organization has adequate management and financial systems in place and is otherwise a responsible organization.

Possible recommendations may include: Possible conditions may include:

• Fully fund the project • Partially fund the project • Fully fund the project, with conditions • Partially fund the project, with

conditions • Not fund the project

• Financial or programmatic grants management technical assistance before or during the period of the grant

• Amendments to technical areas of the grant • Amendments to the budget • Requirements for additional information prior to the

start of the grant period • Any other conditions deemed necessary

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(See Appendix 2.9 for letter and a feedback template.) The Grant Administrator also keeps the results of the evaluation committee in the grants file.

2.3.9 Finalization of grant documentation If a concept paper is selected through the evaluation process, the Grants Administrator will ask the potential Recipient to prepare and finalize a full application and presentation (if the USAID COR has indicated a preference for oral presentations from Recipients prior to making a grant decision). (The Grant Application is included as an Appendix in Section 3 of this manual.)

2.3.10 For Fixed Amount Awards: Setting Milestones and Structuring Payments

After the Grant evaluation Committee evaluates the concept papers, the selected organizations are invited to submit an application with the minimum necessary information to determine responsibility consistent with the procedures in 2.3.11 and the Fixed Amount Award Entity Eligibility Checklist. The Grants manager will work with the grantee to set milestones and milestone payments, including determining that the total Grand award cost is reasonable. For awards to NGOs with limited or no previous USAID experience, the Grants Manager should, when necessary and as appropriate, assist the organization with refining budgets and implementation plan details for the application.

In preparing the budget, the grantee must provide sufficient cost information for Deloitte to negotiate milestones as well as ensure that the total Fixed Amount Award amount is a reasonable and realistic indication of the actual cost of the effort. A thorough and reasonable cost analysis of the activity is critical to the successful use of the Fixed Amount Award mechanism. Deloitte should work closely with the applicant to include all reasonable and realistic costs the applicant can expect to incur to complete the milestones.

Milestones are for a verifiable product, task, deliverable, or goal of the recipient. The milestones will generally have three parts: (1) a description of the product, task, deliverable, or goal to be accomplished; (2) a description of how the recipient will document the completion of the product, task, deliverable, or goal; and (3) the amount that USAID will pay the recipient for the deliverable. Some milestones may also have dates indicating when the milestone is expected or required to be completed. However, depending on the nature of the activities in the award, a milestone date may not be necessary or appropriate and/or milestone completion may or may not be sequential when dates are estimated/required. The specifics of the milestone timing (and whether or not there is flexibility) should be detailed in the Award Schedule. Additionally, milestone completion dates may be specified such that there are financial incentives for completing by specified date(s). Additional Guidance on Fixed Amount Awards Milestones may be found in USAID’s “Awarding Fixed Amount Award to Non-Governmental Organizations: An Additional Help Document for ADS Chapter 303”.

Depending on the activities funded and milestones established by the Fixed Amount Award, a recipient may procure equipment or personal property in order to accomplish a milestone. The recipient may not procure real property under a Fixed Amount Award. The distinction between whether purchase of the equipment or personal property is a milestone or is one possible means by which the recipient may accomplish a milestone is important for certain aspects of the award. Unless a milestone is itself the purchase of the equipment or personal property, milestones must not list equipment or personal property a recipient may potentially purchase to accomplish the milestone, but the costs of such equipment or personal property may be included in the budget from which milestone payment amounts are estimated

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and negotiated. Regardless of whether the equipment or personal property is listed in or as a milestone, the Fixed Amount Award must state that title to the equipment or personal property vests in the recipient upon acquisition with the condition that the recipient must use the equipment or personal property for the grant as long as it is needed for such.

2.3.11 Pre-Award Screening/ Responsibility Determination Prior to submitting the application to USAID for final approval, the Grants Administrator will make a determination as to the apparently successful applicant’s responsibility and suitability for award, including its ability to prudently manage grant funding, its organizational status, and whether there are any potential conflicts of interest that must be addressed.

Pre-award Survey If the proposed Recipient has had a USAID or other USG Agency grant award within the past five years, the Project Grants Team may make a determination of the Recipient’s capacity to prudently manage the grant (its “responsibility”) through a desk audit or other informal audit as described in the next section, including a review of required certifications and statements, past performance on prior awards, and audits required on the prior awards. If the Recipient has not had a grant award in the last five years, the project team must employ a more rigorous review to determine if the Recipient has the necessary organizational systems, experience, accounting and operational controls and technical skills to achieve the objectives of the proposed grant (ADS 303.3.9).

For Mini Grants, Small Grants and Program Grants the team must use the Pre-Award template. (See Appendix 2.10) for this review that will cover audited financial statements, cash flow, organizational chart, and existing policies for accounting, personnel, property management and purchasing.

The Grants Team must also review the proposed program description and financial plan as well as make a determination whether the applicant has adequate financial resources (or ability to obtain them), has the ability to meet the award conditions, has satisfactory record of performance, satisfactory record of business integrity, and is otherwise qualified to receive an award under applicable laws and regulations.

The Recipient will be asked to complete a survey that outlines its structure and processes as well as any appropriate pre-award certifications, assurance and other statements; the Grant Administrator and/or project accountant should conduct an on-site review at the Recipient’s premises to verify the information in the survey and make a determination based on the review as to whether the grant award may proceed; often the recommendation is that the Recipient will need additional technical assistance from the Project to improve its capacity to carry out the activities.

For a non-U.S. organization, the Grants Administrator should verify whether the applicant can meet the requirements of ADS 303mab, Standard Provisions for Non-U.S. Nongovernmental Organizations as part of the risk assessment. For local non-U.S. organizations, the pre-award survey team should follow ADS 303sam, Non-U.S. Organization Pre-Award Survey (NUPAS) Guidelines and Support or conduct a detailed analysis in accordance with locally-established or award-specific criteria that achieve the same objectives as the NUPAS. For additional guidance regarding local non-U.S. organizations pre-award surveys, risk assessments, and specific conditions (see ADS 303sam, NUPAS Guidelines and Support).

For Fixed Amount Awards the Grants Team must use the ADS 303mak, Fixed Amount Awards Entity Eligibility Checklist to assess the NGO’s capacity and capabilities for accomplishing the milestones. If the assessment identifies weaknesses or deficiencies in the organization that call into question the ability of the organization to complete the proposed activity, the Grants Team, as part of the risk assessment, should document the weaknesses and deficiencies and describe the mitigation measures to reduce or

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eliminate the risk of failure to the organization. Mitigation measures may include, but are not limited to the following: capacity building technical assistance, including but not limited to financial management and procurement functions; or, increased monitoring visits to confirm adequate progress on milestones.

This will ensure that the intended recipient will be able to comply with ADS 303mat, Standard Provisions for Fixed Amount Awards to Nongovernmental Organizations.

Recipients of grant awards, foreign or domestic, are required to obtain SAM (reference 2 CFR 25), and a Data Universal Numbering System (DUNS) Number for awards higher than $ .

Terrorism Financing or Excluded Entities The Project Grants Team should reasonably check that USAID grants executed by Deloitte will not be awarded to individuals or organizations associated with terrorism or otherwise excluded from receiving US Government funding. The team should check the proposed Recipient against the following lists:

• The Specially Designated Nationals (SDN) List administered by the Department of Treasury’s Office of Foreign Assets Control (OFAC) http://www.ustreas.gov/offices/enforcement/ofac/sdn/

• Department of State: http://www.state.gov/j/ct/list/index.htm

Foreign Terrorist Organization List (FTO): http://www.state.gov/j/ct/rls/other/des/123085.htm Terrorist Exclusion List (TEL): http://www.state.gov/j/ct/rls/other/des/123086.htm Executive Order 13224: http://www.state.gov/j/ct/rls/other/des/122570.htm Terrorism Designation Page: http://www.state.gov/j/ct/rls/other/des/index.htm

• Excluded Parties List System: http://www.sam.gov.

• United Nations Consolidated List (Resolution

1267) http://www.un.org/sc/committees/1267/narrative.shtml

The Project Grants Team should keep on file results of applicant checks performed against these lists. (See Appendix 2.11 for a sample checklist.) If the proposed Recipient appears on any of these lists, the Grant may not go forward. The Grants Administrator should inform the Project Leadership, USAID, and Deloitte’s Emerging Markets Grants Team. The proposed Recipient should be informed that it is ineligible for an award.

Conflicts of Interest In order to ensure that there is no business relationship between the potential Recipient and Deloitte or Deloitte Touche Tohmatsu Limited member firms and affiliates that might cause an appearance of impropriety, the Grants Administrator must carry out an independence check in accordance with Deloitte internal processes. For Recipients solely existing in the host country, the team will determine who audits the Recipient. If the auditor is one of the Deloitte Touche Tohmatsu Limited member firms, the team will seek guidance from Deloitte Consulting on a mitigation strategy. If the Recipient is an international or US based NGO, then the team will follow Deloitte’s normal independence review process applicable to subcontractors. In the event there is any potential conflict, Deloitte will inform USAID promptly and will work with USAID to address the issue.

The Grants Administrator should also reasonably determine that there are no internal conflicts of interest, or appearance of conflict of interest, between the Recipient and any Project Grants Team member or any member of the project leadership team. The Grants Administrator can do this by reviewing the list of







http://www.sam.gov/


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Recipient board members or proposed grant staff members against the Project’s local staffing list, etc. In the event there is any potential conflict, Deloitte will inform USAID promptly and will work with USAID to address the issue.

Certifications for Non-US Non-Governmental Recipients The following Standard Grant & Subcontractor Certifications are required by Deloitte and USAID:

A signed copy of ADS 303mav, Certifications, Assurances, and Other Statements of the Recipient and Solicitation Standard Provisions, which includes:

• Assurance of Compliance with Laws and Regulations Governing Nondiscrimination in Federally Assisted Programs (This assurance applies to Non-U.S. organizations, if any part of the program will be undertaken in the U.S.);

• Certification Regarding Lobbying (22 CFR 227); • Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206,

Prohibition of Assistance to Drug Traffickers); • Certification Regarding Terrorist Financing; and • Certification of Recipient

In addition, the Compliance with Anticorruption Laws Certification is required.

2.3.12 USAID Approval / Optional Oral Presentations Once the Grants Administrator has finalized the pre-screening and the applicant has submitted all final documentation and clarifications, the Grants Administrator will document the grant team’s actions (see Appendix 2.13 for a template) and may include the applicant’s clarifications in the final grant application. The next step is to seek USAID’s approval for award of the grant. The Grant Administrator should send the USAID COR and the CO (depending on the size of the grant) the following documentation:

• Short summary of the grant (see Appendix 2.14 for template). The summary should indicate that project funds are available to cover the grant.

• Completed Grant Application • Grant Recipient Selection Memorandum describing the process and including the reasons for

rejections of any other applications, if applicable. (See Appendix 2.15 for a template.) • Negotiation Memorandum • Request for USAID Approval for Grant Award. Depending upon the USAID COR’s preference,

written approval may be obtained either by electronic mail or by in-person delivery of documents. (See Appendix 2.16 for a template requesting USAID Approval for Grant Award).

If USAID would like an oral presentation by the potential Recipient, the Grants Administrator should schedule the presentation with USAID (usual practice would be to establish a pre-set, regular date with the USAID COR for potential Recipient oral presentations, such as every other Tuesday, or the first Tuesday of every month depending upon how frequently grants are evaluated). The presentation should include USAID, the presenting applicant, the Grants Administrator and Project leadership, and the project’s relevant technical team members. The Grants Administrator (or Project leadership) should open the presentation with an introduction of the applicant to USAID, and a brief discussion of the ground rules for the presentation; the grant’s technical sponsor on the Project team can make a brief introduction of the grant and its relevance to the Project goals and should invite the applicant to start the presentation. After the presentation, the applicant should leave so that USAID and the Project team may have a frank

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discussion and at the conclusion of the discussion, the USAID COR can provide his/her decision on whether or not to approve the proposed grant award. If the decision is to approve, the Grants Administrator can obtain the COR’s written approval at the meeting with the approval request noted earlier.

2.3.13 Execution of Grant Award Upon receipt of USAID’s approval, the Grants Administrator should prepare the grant award document and forward it to the Recipient for signature by an authorized representative and submission to the Project. (See Appendices 2.17, 2.18 and 2.19. for the required Grant Award and a sample transmittal letter.) The Grant Award may not be changed without prior approval from the Deloitte QRM team.

The Grant Award should be reviewed and signed by a Deloitte PPD (PPD may delegate authorization to another senior project staff member to sign on a grant by grant basis and the individual delegation must be retained with each grant).

2.4 Management of Grant Implementation

2.4.1 Internal grants tracking Upon receipt of USAID approval for a grant award, the Grants Administrator enters the project start-up information for the grant into the Grant Tracking Tool. (See Appendix 2.20) He/she also enters all relevant information from the grant award, including Recipients name, grant number, grant name and description, type of grant, grant award amount, technical task manager within the project, start and end dates, and full approved budget by line item. The tool will be used to track grant awards, payments against grants, and budget reallocations, if needed, throughout the life of the Project.

2.4.2 Kick-off meeting with Recipient When the Grants Administrator transmits the Grant Award document to the Recipient, he/she sets a time for a kick-off meeting, generally within one week of award (presuming that Recipient accepts the award terms and signs the grant award document; the kick-off meeting should not take place until the Recipient has returned the signed the Award document). A representative from the Recipient’s accounting department should attend along with the Executive Director and a representative from the Recipient’s programmatic or technical group. The Grants Administrator uses this meeting to review comprehensively all aspects of grant implementation with the Recipient. Together they review the approved budget line item by line item, and the Grants Administrator trains the Recipient on the requirements around invoicing and reporting (see sections below). The Grants Administrator provides each Recipient with various templates to facilitate proper invoicing (see Section 4 of this Manual for the Recipient Handbook) and provides instruction in how they should be completed.

2.4.3 Technical implementation of grant activities During grant solicitation and award, a Deloitte “task manager” is assigned to each potential Recipient. This task manager is the member of the Project’s technical delivery team whose scope is most closely aligned with the activities of the grant. After the Grants Administrator’s kick-off meeting with the Recipient, the Recipient begins to implement activities approved under the grant. During implementation, the Recipient’s primary point-of-contact is the task manager, who monitors the Recipient’s technical delivery and achievement of results.

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2.4.4 Reporting and monitoring grant activities Each Recipient prepares a monitoring and evaluation (M&E) plan as part of its application to measure progress, results, and impact of grant activities. The grant award document should specify a reporting schedule—sometimes deliverable-based and sometimes time-based—and progress against that M&E plan must be included in the periodic reports. Often technical reports are due quarterly, but sometimes more frequently. In cases when Recipients receive advance payments under a Program Development Grant, they must submit a progress report with each submission of receipts. The Grants Administrator provides each Recipient with a report template and reviews it during the kick-off meeting for consistent format and branding. (Samples for Recipients to use are included in Section 4 of this Manual.)

Before processing any payments, the Grants Administrator routes the report to the technical task manager for review and approval prior to issuing payment. The task manager’s role is to monitor whether the grant reported activities achieve the results specified in the grant award and then report to the Project Grants Team (and ultimately USAID) accordingly.

The Grants Administrator and/or task manager provides oversight of the financial and technical management aspects of the award through reviews of reports, correspondence, site visits, or other appropriate means. When necessary, he/she can request or arrange for special audits. The technical monitoring is very important for Fixed Amount Awards type grants because grant activities are based on milestones and are not tied to incur costs. For other than Fixed Amount Awards, on-site visits may be progress assessments, particularly if the Recipient is behind schedule, or they may be procurement inspections. The Grants Administrator or his/her designee should inspect any physical goods (such as machinery, equipment, etc.) that were procured using grant funds prior to payment. In this way, he/she can verify that the items match the submitted receipts and that USAID branding and marking requirements have been followed.

2.4.5 Branding requirements As specified in the grant Award, Recipients must comply with the USAID marking and branding requirements in general and with the Project’s Branding and Marking Plan. If grant funds will be used to support an event such as a conference or training workshop, the Recipient must coordinate with the events/communications point-of-contact on the Project for Recipient’s compliance with applicable marking and branding requirements. Likewise, if grant funds are used in the preparation of a publication or other materials, the events/communications point-of-contact must approve it prior to going to print. If an event or publication is not compliant with USAID marking and branding requirements (for example, does not include appropriate USAID logo/legend) grant funds may not be used to cover the costs of the event or publication.

2.4.6 Processing of payments for other than Fixed Amount Awards Upon receipt of a Recipient invoice, the Grants Administrator reviews it thoroughly for compliance with invoice requirements. Each invoice must include a cover letter detailing the items for which the Recipient is seeking reimbursement and whether the Project should reimburse the Recipient or pay the vendor directly. Each invoice must also include an expenditure report detailing which reimbursable costs should be subtracted from which budget line items. All receipts/vendor invoices must either be in English or be translated into English. Details related to specific requirements and invoices are included below. All invoices must be supported by appropriate receipts and cost justifications, as may be reasonably required by Deloitte to review the reasonableness, allocability, and allowability of the costs for discussion see 2 CFR 200. (Samples for Recipients to use are included in Section 4 of this Manual.)

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Unallowable Costs The following costs are not allowable and not reimbursable costs under a grant:

• Creation of endowments • Any commodity which does not comply with or which is not procured in a manner that complies

with the U.S. Government procurement procedures and regulations • Any previous obligations by USAID to the Recipient • Bad debts of the Recipient • Fines imposed on the Recipient • Penalties imposed on the Recipient • Any expenses related to ceremonies, parties, and celebrations • The purchase of any goods restricted and prohibited under USAID regulations • The purchase of surveillance equipment, military equipment or arms, whether new or surplus,

police or law enforcement equipment, abortion equipment and services, weather modification equipment, fertilizers, luxury goods, and gambling equipment

• Any expenses related to purchases or activities which are illegal under your country or U.S. law • For Fixed Amount Awards: recurrent operational costs of the Recipient, international travel,

construction activities and purchase of any real property.

This list is not exhaustive. If you have a question regarding a specific or unique cost, ask the Grants Administrator for assistance and refer to the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR 200 Subpart E).

Salary Reimbursement Requirements In cases where Recipient salaries are reimbursed with grant funds, the Recipient needs to provide a curriculum vitae and salary history information prior to or with the first invoice. The Grants Administrator approves the rate based on the supporting salary history following the contract requirements relative to salary levels. When submitting an invoice for salary reimbursement, the invoice must include a timesheet, signed by the employee and a supervisor, with daily time entry. In cases when more than one salary is being reimbursed, the Recipient must submit an Excel sheet summarizing the gross salaries and itemized social security/other statutorily mandated social contributions payments paid to each individual.

Procurement Requirements Recipients must provide receipts or vendor invoices for any purchase of goods or services covered by grant funds. In cases where purchases exceed $ Recipients must obtain three quotes, summarize the quotes in a table, and in cases where the least expensive quote is not selected, provide a satisfactory justification on vendor selection and price reasonableness. A sample Negotiation Memorandum is included in Section 4. In most cases, the Recipient’s procurements should be exempt from sales tax as a part of the Deloitte project. The Grants Administrator should provide the Recipient with a letter outlining the exemption; the Recipient will be able to use the letter to obtain the exemption. (See Appendix 2.21 for a template.)

In cases where computer equipment, software, or other information technology is being procured, http://www.usaid.gov/policy/ads/300/303mab. “Procurement of Goods and Services” applies. Items must be new, purchased locally, from a registered company, and come with a warranty. Procurement restrictions apply with respect to certain items in accordance with applicable FAR and AIDAR regulations.

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Travel and Transportation Requirements Grant funds may not be used to cover travel costs of government officials. Therefore, if any Recipient activity under the grant would involve paying for activities, travel, entertainment, or otherwise would involve providing anything of value to a government official, the Grants Administrator must not reimburse the Recipient for such costs until checking with appropriate Deloitte home office officials and then securing USAID waivers to cover such costs.

Grant funds may be used for lodging and/or meals and incidental expenditures (M&IE); both must comply with US Government per diem rates and cost allowability.

Reimbursable Invoices For Mini and Small grants, and some Program Development Grants, Recipients incur costs and then submit receipts for reimbursement, or submit vendor invoices for direct payment by the Project. In cases where a specific deliverable or report must be completed to obtain payment (for example in Fixed Amount Awards), the Grants Administrator forwards the documentation to the technical task manager for approval prior to invoice review. If the receipts cover an event or technical assistance expenditures, the Recipient must include a progress report with the invoice.

The Grants Administrator thoroughly reviews the invoice against the approved budget line items to confirm costs fall within their respective line item maximums, and that costs claimed match up with the respective line item descriptions. He/she also reviews the invoice for compliance with the requirements described above and requests clarification or additional information as needed from the Recipient. (Guidance for invoice reviews is provided in Appendix 2.23.)

Once he/she determines which costs are approved for reimbursement, the Grants Administrator enters the requested amount and payment amount, by line item, in the Grants Tracker. Data base tool. The tool automatically displays the new remaining balances for each line item.

The Grants Administrator then prepares a payment request (either to the Recipient or to the vendor in direct payment situations) and routes it along with all supporting documentation to the designated project management representative for review and approval. After obtaining approval, he/she then provides the payment request to the accounting department so that the payment is made. In cases where international vendors are paid directly (such as for accommodation or conference registration outside the host country), the Project should pay by wire transfer when reasonably feasible. E-payments should be used to the maximum extent possible.

Advances and Liquidations For a Program Development Grant, when the Recipient demonstrates a cash flow hardship, the Project may provide the Recipient with advance payments that are subsequently liquidated against actual receipts/vendor invoices. In this case, the Recipient must open a separate bank account for the grant funds. If the advances are likely to total over $ per year per grant, the Recipient must open an interest bearing account; interest from the funds over $ must be returned to the Project (for return to USAID).

Advances and Liquidations may be authorized when the recipient's accounting and financial management systems conform to the accounting principles generally accepted for funds control and accountability required under the Standard Provision, "Accounting, Audit, and Records," and meet the pre-award responsibility requirements in ADS Chapter 303 and ADS 636.

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The Recipient requests an advance using a standard form on which it provides a detailed estimate of the activities and expenditures that are expected during the coming quarter (see Section 4 of this Manual for additional details). Typically an advance is under $ as it is only to represent 30 days of grant activity. (A sample for Recipients to use is included in Section 4 of the Manual.)

The technical task manager and Grants Administrator review and approve the request for an advance, and then route it to the designated project management representative for final approval. Once approved, the Grants Administrator prepares a payment request and submits it with all supporting documentation to the accounting department to prepare the check. The accounting department enters the amount as an advance on the Imprest accounting. (See Appendix 2.24 for guidance on processing advances.)

Once the Recipient has receipts and/or vendor invoices to support approximately 80 percent or more of the advance or within 60 days of receipt of the advance, the Recipient must submit them to the Grants Administrator in order to liquidate the advance. All requirements listed above apply. The Recipient must submit a cover letter, expenditure report, receipts/vendor invoices to back up the expenditures, as well as a progress report covering the advance period. (Samples for Recipients to use are included in Section 4 of the Manual.)

The Grants Administrator and technical task manager review the documents and accompanying report in detail to verify that the receipts match the activities specified in the original advance request; that the receipts are within the budgeted amount; that the receipts fall within the advance period; and that the report highlights the completed activities for the period.

Recipients may submit another advance request at the same time as submitting receipts for liquidation. The remaining un-liquidated amount is deducted from the subsequent advance amount.

2.4.7 Payment for Fixed Amount Awards All requests for payment must correspond to a milestone specified in the Fixed Amount Awards. The Beneficiary’s vouchers must list milestones, not costs, as the product, task, deliverable or objective for which reimbursement is being made. The Grants Administrator will independently verify and document that the milestone has been completed. Documentation may include trip reports of site visits to verify that the recipient completed the milestone(s).

Since Fixed Amount Awards payments are for fixed-amount milestones, Deloitte does not need to, and in fact should not, attempt to verify that the recipient incurred the costs as estimated in making the award. Any actual differences between the estimated costs used to set the milestone payments and recipient’s actual incurred costs cannot be used to adjust the agreed upon amount for the milestone. The documentation required for payment relates to proof that the milestone was completed in the manner of verification required in the Fixed Amount Awards. The specifics of required documentation or verification should be provided in the milestones themselves and detailed in the program description.

Because payment follows verification of milestone completion, the timing of verification should be planned in the award and conducted in administration of the award in a timely manner so as to assist the recipient in receiving payment as soon after completing milestones as possible. Before administrative approval is provided on a voucher for a completed milestone, Deloitte must verify that the milestone, in fact has been completed. At the time of award, the Grants Administrator must develop an internal verification/monitoring plan that details what is acceptable for verification purposes. Verification may, but does not always have to, include physical confirmation or an on-site visit either by the Project Team or a 3rd party, for every activity under a milestone. To a limited extent verification may be done by appropriate analysis of written documents (vouchers, training sign-up sheets), photos, videos, or other

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means designed to ensure activities are satisfactorily completed while at the same time allowing for timely payment to the recipient which then allows them to start work on the next milestone. On-site monitoring should, when feasible, be timed to occur at milestone completion and thus not delay the payment process. Verification for payment purposes must be documented sufficiently for programmatic audit purposes.

2.4.8 Modifications It may be necessary for a Recipient to seek a grant agreement modification, whether due to scheduling issues, budget adjustments, or activity adjustments. The Grants Administrator may authorize non-material modifications (period of performance, change of key personnel, adjustment to the milestone plan, etc.), but material changes in scope and changes to the grant award amount will require USAID authorization/approval. See Appendix 2.25 for Agreement Modification Approval Sample.

Extensions If a Recipient is behind schedule or has experienced a delay of some kind, it may seek an extension of the grant award end date. For Mini and Small grants, the Grants Administrator may extend the period of performance date only up to one year from the grant agreement’s execution date at no additional cost. If the Recipient’s request extends the grant beyond one year and the reason is justifiable, the grant manager must seek USAID COR approval to allow the extension. For Program Development Grants and Fixed Amount Awards, the Grants Administrator may extend the grant end date up to 90 days at no additional cost before the project end date at his/her discretion, without USAID approval. Any extensions with additional funding will require COR or CO approval accordingly depending on the cumulative amount of the grant.

Budget Reallocation Grant budgets are sometimes illustrative. It is not unusual for a Recipient to ask to shift funds from one line item to another, particularly if it is able to implement an activity for less money than originally anticipated for additional activities related to the SOW. Rather than leaving unspent funds, the Recipient might wish to add new activities. To do that, a Recipient must submit a request for budget reallocation with an appropriate justification to the Grants Administrator, and he/she may approve it at his/her discretion upon consultation with the technical task manager. However, to minimize the administrative burden these reallocation requests place on the Grants Administrator, he/she may advise the Recipient at the kick-off meeting that only one reallocation will be approved during the course of the grant period of performance to avoid undue paperwork and to ensure the Recipient is thoughtful in its management of funds. The grant budget may not be increased beyond the award amount without USAID approval: the COR for total grant amount below $ and the CO for total grant amount exceeding $ if applicable.

Activity Changes Occasionally a Recipient may wish to remove an activity entirely and replace it with another one, usually in cases where there has been some change outside of the Recipient’s control (a conference is cancelled, an organization is no longer able to provide free space, etc.). Provided the new activity is related to the same general scope and achievement of results, the Grants Administrator may determine such a change is appropriate upon consultation with the technical task manager and the authorized signatory for the project. However, a material change in scope and any requested change in award level should be approved by the USAID COR and/or CO depending on the grant amount.

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All such extensions, reallocations, activity changes must be documented through a formal modification to the Grant Award and signed by the Recipient. (A sample Grant Modification is provided as Appendix 2.26.) Copies must be kept in the Grants file and noted in Grants Tracker Tool.

Follow-on Awards A follow-on grant is one which continues the work program(s) of an existing Recipient largely in the same format without the need for extensive investment in new design. If the design of the requested follow-on grant is largely different from existing programs, the request is not for follow-on, but rather for a new grant, and it should be treated as an unsolicited proposal. Follow-on awards require TOCOR or TOCO approval accordingly depending on the cumulative amount of the grant.

2.4.9 Grant Closeout Process Prior to the completion date of the grant, the Grants Administrator should begin preparation for closing out the grant, beginning with a letter to the Recipient outlining the close-out process. (See Appendix 2.27 for a template.) The Recipient should provide a completion report that includes a Final Report (See Section 4 of this Manual for a template), a Grant Inventory Tracker and Report, and a final accounting of all project funds. The Final Report should include the following sections:

• A summary of the activity objectives and achievements. • A summary of the activity implementation process, lessons learned and recommendations. • Description of project impact and results, based on the indicators presented in the application

as well as any other anecdotal information, stakeholder or observer commentary. • A discussion of how grant funding contributed to the objectives of the program.

All remaining funds in the grant bank account must be returned to the Project and the Grants Administrator must provide the Recipient with specific instructions. Once the Recipient has successfully completed and submitted all deliverables as required under the referenced Grant Award and subsequent modifications, the Grants Administrator should process final reimbursements and provide the organization with a satisfactory completion letter (see Appendix 2.28 for a template).

The Grants Administrator then completes the Grants File check-list and closes out the grant (see Appendix 2.29 for a template).

For future guidance, please refer to: GUIDANCE ON CLOSEOUT PROCEDURES FOR A&A AWARDS and ADS Chapters 302 and 303.

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Appendices 2.1 Grant Opportunity Announcement Sample 2.2 Call for Grant Concept Papers Template 2.3 Request for Grant Assistance (RFA) Template (includes Fixed Amount Awards Budget) 2.4 Grant Evaluation Committee Guidelines 2.5 Selection Panel Certifications 2.6 Concept Paper Individual Evaluation Scoring Sheet 2.7 Application Individual Evaluation Scoring Sheet 2.8 Application Consolidated Evaluations Scorecard 2.9 Mini Grant and Small Grant Evaluation Score Sheet 2.10 Application Response and Feedback Form 2.11 Pre-Award Questionnaire 2.12 Terrorist and Excluded Entity Check Form 2.13 Grant Award Internal Approvals Sheet 2.14 Grant Summary Template 2.15 Grant Recipient Selection Memorandum Template 2.16 Request for USAID Approval for Grant Award Template 2.17 Grant Award Transmittal Letter Template 2.18 Grant Award Template 2.19. Grand Award Template for In-kind Grants 2.20 Grants Tracker Tool 2.21 Sales Tax Exemption Letter Template 2.22 Contracting Officer Consent Sample 2.23 Grant Payment Review Guidance 2.24 Grant Advances Guidance 2.25 Grant Award Modification Approval Sheet 2.26 Grant Award Modification Template 2.27 Grant Closure Notice to Recipient Template 2.28 Grant Completion Letter Template 2.29 Grants File Checklist Template

References: • Code of Federal Regulations 2 CFR 200, 2 CFR 25 and 2 CFR 700; • USAID Automated Directives System (“ADS”) Chapter 303 “Grants and Cooperative Agreements

to Non-Governmental Organizations”.

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3 Applying for Grants

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3.1 Introduction and Summary of Project and Grants Program Deloitte Consulting LLP (“Deloitte”), under a contract with USAID, executes USAID grants for the specific project. This document provides general information and guidance for organizations interested in applying for a grant under the specific project, including types of grants, types of organizations eligible to receive grants through the program, types of activities that will be considered for grant support, budgetary considerations, grant application options, and key conditions of a grant award.

It is important that potential applicants understand that final approval of grant awards come from USAID; as an agency of the US Government, there are a number of terms and conditions with which any Recipient will have to comply with. Applicants will be carefully evaluated during the application process on whether they are able to comply with these conditions.

3.2 Types of Grants Deloitte considers five types of possible grant awards. Each grant type, summarized in Table 3-1, fills a unique function and purpose in the Project and has specific funding and time limits.

Table 3-1: Types of Grants

Grant Type Grant Purpose Maximum Funding Limit Maximum

Time Limit

Mini Grant (Simplified)

Provide funding for stand-alone activities consistent with both Recipient and Project objectives. Activities do not necessarily have to be part of Recipient’s overall long-range plan.

US$ Up to 90 days

Small Grant (Simplified)

Provide funding for Recipient activities consistent with both Recipient and Project objectives and which contribute to the Recipient’s growth and sustainability.

US$ Up to 1 year

Program Development Grant (Standard)

Provide funding for Recipient activities consistent with both Recipient and Project objectives, and that contribute to the Recipient’s growth and sustainability as part of its long-range plan.

Generally US$ but depends on Contract Needs*

TBD

Fixed Amount Awards **

Provide fixed amount of funding as Recipient achieves each part of a fixed set of program benchmarks.

US$ but depends on Contract Needs*

Up to 3 years

In- Kind Grants

Uses grant funding to procure tangible assets for grantees.

TBD

TBD - Not to exceed life of the project

*Higher Amounts Require Deloitte HO Grants Committee approval. Please contact Mariela Tsvetkovska.

** When used appropriately, a Fixed Amount Award provides several advantages for both the Grant team and the recipient. It focuses on outputs and results, limits risk for both parties, and requires only limited financial and management capacity. Appropriate activities for Fixed Amount Awards include, but are not limited to: Conferences; Studies; Surveys; Workshops; Policy papers; Disaster or humanitarian relief and assistance and/or Technical development assistance when costs can be segregated by milestones. In preparing the for Fixed Amount Awards Applications, the applicant must provide sufficient cost information for the grants team to negotiate milestones as well as ensure that the total Fixed Amount Awards award amount is a reasonable and realistic indication of the actual cost of the effort. A thorough and reasonable cost analysis of the activity is critical to the successful use of the Fixed Amount Awards mechanism.

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3.3 Announcements of Grant Opportunities Deloitte will use a variety of methods to announce the project grant opportunities.

• Annual Grant Program Statements (APS). Each year, the project may announce its overall expected program of activities for the coming period. Organizations may wish to use this statement to evaluate their own plans for the period to determine if there is an overlap.

• Calls for Concept Papers. Deloitte may request from interested organizations summaries of ideas for activities that could be funded by a USAID grant executed by Deloitte in connection with implemented project. Often the Call for Concept Papers will include specific areas in which the project is seeking ideas for grant activities. Successful concepts will be developed into full applications.

• Requests for Grant Applications (RFAs). Deloitte may compete grant opportunities through a Request for Applications. Deloitte, based on selection criteria approved by USAID and subject to other considerations, will evaluate grant applications and propose potential grant recipients to USAID for its approval.

In all cases, organizations are reminded that grant concepts should track closely to the project’s stated goals and objectives as outlined in the first paragraph of this section.

Announcements of project grant opportunities may include any or all of the following public awareness mechanisms:

• Newspaper ads • Radio program ads • Email distribution lists • Conferences, meetings, workshops, or other events • Government coordinating bodies • Networks and member associations • Other suitable mechanisms

The announcement will generally describe the purpose and focus of the grant program, eligibility requirements, the timeline and process, criteria against which submissions will be judged, and where to find additional information.

Announcement of grant opportunities does not constitute any award promise or commitment on the part of Deloitte (or any member of Deloitte Touche Tohmatsu Limited, or any of their affiliates). The project, or USAID, nor does it commit Deloitte (or any member of Deloitte Touche Tohmatsu Limited, or any of their affiliates), Deloitte, or USAID to pay for any costs incurred in the preparation and submission of a grant application or concept paper. All costs associated with the preparation and submission of any concept paper or grant application, as well as any other pre-award grant costs, are the applicant's responsibility and expense.

3.4 Eligibility of Grant Applicants “Eligibility Criteria” will be included in individual Requests for Concept Papers, and Requests for Applications; there are three sets of general eligibility criteria, relating to:

• Organizations that are eligible to apply for a grant • Types of projects and activities eligible for support • Budget and cost share considerations

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3.4.1 Eligible and Ineligible Organizations Non-U.S. nongovernmental organizations (for profit or nonprofit) are eligible organizations for grant awards. For example, these may include:

• Non-Government Organizations (NGOs) • Professional organizations • Research institutions • Commercial organizations

Additional eligibility criteria for organizations may be included in the formal grant announcement or request for applications. These additional criteria may include, without limitation, the following:

• The organization must have demonstrated experience in technical areas relevant to the scope of work or grant focus.

• The organization must have been in existence for more than [specify number of] years. • The organization must currently be implementing activities in the geographic area or technical

area for which it is submitting an application. • The organization has a Board of Directors/ Board of Trustees, [specify number of] full time staff

(including program management, finance/administrative, and monitoring and evaluation staff). • The organization has minimum absorptive capacity and demonstrates the potential to acquire

sufficient capacity to manage programs in a sustainable manner. • The organization has a functional financial system. • The organization’s other relationships, associations, activities, and interests do not create a

conflict of interest or an appearance of conflict of interest that could prevent full impartiality in implementation of the grant activities. For example, the organization may not be a subcontractor to Deloitte for the project implementation.

• Recipients of grant awards, foreign or domestic with amounts above $ , are required to obtain SAM registration and a Data Universal Numbering System (DUNS) Number.

The following are ineligible for grant awards:

• Governmental entities or officials (whether from national, regional, district, local or municipal levels, etc.)2

• Individuals • Political organizations

Grants may not be used for religious activities; religious organizations may be eligible if the proposed grant activity is consistent with the Project objectives. State-sponsored universities may be eligible if their charters allow the receipt of grant funds.

If an organization or its key personnel, shareholders, directors or partners appear on any of the following lists, it is automatically ineligible to receive a grant:

• The Specially Designated Nationals (SDN) List administered by the Department of Treasury’s Office of Foreign Assets Control (OFAC) http://www.ustreas.gov/offices/enforcement/ofac/sdn/

• Department of State: http://www.state.gov/j/ct/list/index.htm 2 Grants may be awarded to Local Governments and other regional, district or local level entities) when mandated by the Prime Contract.



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• Foreign Terrorist Organization List (FTO): http://www.state.gov/j/ct/rls/other/des/123085.htm • Terrorist Exclusion List (TEL): http://www.state.gov/j/ct/rls/other/des/123086.htm • Executive Order 13224: http://www.state.gov/j/ct/rls/other/des/122570.htm • Terrorism Designation Page: http://www.state.gov/j/ct/rls/other/des/index.htm • Excluded Parties List System: http://www.sam.gov. • United Nations Consolidated List (Resolution

1267): http://www.un.org/sc/committees/1267/narrative.shtml

3.4.2 Eligible and Ineligible Types of Projects and Activities Only grants that contribute to the stated objectives of the project will be considered for funding. Grants selected for award must demonstrate clear and achievable objectives, a realistic work-plan and acceptable timeline within the stated period, and measurable outcomes. An organization’s proposed grant activities should tie closely to the organization’s own overall mission and strategy and advance its key objectives. Finally, proposed activities under a grant should be able to be reasonably supported by the applicant’s existing administrative structure. The specific set of eligibility criteria will be included in the grant solicitation.

Activities that are not eligible for grant funding include, but are not limited to:

• Promotion of political parties, religion, or lobbying • Fundraising • Revolving credit funds • International travel (without specific approval from the Project and USAID)

3.4.3 Cost sharing To be eligible for a grant award, organizations will be expected to demonstrate they are sharing the costs of the program activity for which they are requesting funding. In grant competitions, the proposed cost share amount may be an evaluation factor and a minimum level of cost share contributions may be required. Recipients are expected to fulfill all cost share commitments.

Cost sharing might include any of the following:

• Labor to carry out grant activities • Payment of non-labor costs associated with grant activities • Leveraged funds from other sources (non-US government) • Equipment and facilities • In-kind donations

3.5 Applying for Funding An organization may submit a response to one of the various grant opportunity announcement mechanisms the Grant Program might employ or the organization may submit an unsolicited request for grant funding. Grant opportunity announcements will contain detailed information about the type of response expected from interested organizations, summarized here, and when/where submissions should be made.





http://www.sam.gov/


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3.5.1 Unsolicited Requests Those organizations that wish to request grant funding without waiting for a specific announcement may do so at any time. However, Deloitte suggests that, in such a case, the organization submit a concept paper, described below, without investing the time and expense necessary to submit a full application. This will allow the Project to determine if the concept fits within the objectives of its grants program. Unsolicited requests should be sent in electronic form to the Project Grants Administrator. Typically unsolicited requests are evaluated during the next available review cycle but may be held until later if the subject matter deals with an upcoming announcement. Either way, the Project Grants Team will inform the organization of the status and ultimate decision.

3.5.2 Concept Papers Prior to developing a full grant application, potential Recipients may be asked to submit a concept paper for review and feedback. Developing a concept paper provides potential Recipients with the opportunity to define and refine their thinking about the proposed project or activity and provides the Program review team with an opportunity to see how well the concept aligns with the Project’s Program’s key objectives and goals.

A concept paper should be short—generally not more than 5 pages. Ideas should be clear, concise, to the point and should provide an overview of what is planned, who will benefit, the results expected. The concept paper should also provide a notional estimate of the proposed budget linked to the components of the activities planned. The suggested Concept Paper outline below is designed to assure that key points have been covered. This summary will form the basis of the grant application should the potential Recipient be invited to the next stage. (A more detailed template is provided in the Appendix 3.1.)

• Cover Page • Background/Statement of Need • Goals and Objectives of Proposed Activities • Summary Description of Proposed Program of Activities • One page budget summary and Cost Share • Summary of Organization’s Background/Eligibility Materials

3.5.3 Grant Application In some cases, the Project’s grant opportunity announcement may request that an organization submit a full grant application. In other cases, organizations whose concept papers are judged to be in line with the Project objectives may be asked to submit a full grant application. A full grant application should explain in greater detail what the organization proposes to do under the grant and how. The application includes the following sections:

Technical Approach

• Cover Page • Background/Statement of Need • Goals and Objectives of Proposed Activities • Narrative Description of Proposed Program of Activities • Implementation Timetable • Monitoring and Evaluation Plan • Management Plan • Corporate Capabilities Statement

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Cost and Management

• One page budget summary/or Fixed Amount Awards Milestones • Detailed Line Item Budget • Detailed Cost Share Contribution • Budget Narrative • Supporting Data for Cost Estimates (payroll records, vendor invoices, biographical data sheets) • Organizational Background • Certificate of Registration or Incorporation • Financial and Management Responsibility • Audited Financial Statements • Mandatory Certifications

(The detailed application is provided in Appendices 3.2 and 3.3 depending on the type of grant)

Applicants should propose a realistic, reasonable, and justifiable budget necessary to implement the proposed grant activities. There should be a clear link between the project work-plan and the budget. Proposed budgets may include a reasonable amount of support for administrative costs including salaries, benefits, equipment and operational expenses but such costs should not exceed 25% of the total grant budget. All budgets should be calculated in local currency; awards will be denominated in US dollars but paid out in local currency.

For Fixed Amount Awards management, because payment follows verification of milestone completion, the timing of verification should be planned in the award and conducted in administration of the award in a timely manner so as to assist the recipient in receiving payment as soon after completing milestones as possible. Before administrative approval is provided on a voucher for a completed milestone, the project must verify that the milestone, in fact has been completed. At the time of award, the Grants Administrator must develop an internal verification/monitoring plan that details what is acceptable for verification purposes. Verification may, but does not always have to, include physical confirmation, or an on-site visit either by the Project Team or a 3rd party, for every activity under a milestone. To a limited extent verification may be done by appropriate analysis of written documents (vouchers, training sign-up sheets), photos, videos, or other means designed to ensure activities are satisfactorily completed while at the same time allowing for timely payment to the recipient which then allows them to start work on the next milestone. On-site monitoring should, when feasible, be timed to occur at milestone completion and thus not delay the payment process. Verification for payment purposes must be documented sufficiently for programmatic audit purposes.

Since Fixed Amount Awards payments are for fixed-amount milestones, Deloitte does not need to, and in fact should not, attempt to verify that the recipient incurred the costs as estimated in making the award. Any actual differences between the estimated costs used to set the milestone payments and recipient’s actual incurred costs cannot be used to adjust the agreed upon amount for the milestone. The documentation required for payment relates to proof that the milestone was completed in the manner of verification required in the Fixed Amount Awards. The specifics of required documentation or verification should be provided in the milestones themselves and detailed in the program description.

Depending on the activities funded and milestones established by the Fixed Amount Awards, a recipient may procure equipment or personal property in order to accomplish a milestone. The recipient may not procure real property under a Fixed Amount Awards. The distinction between whether purchase of the equipment or personal property is a milestone or is one possible means by which the recipient may accomplish a milestone is important for certain aspects of the award. Unless a milestone is itself the purchase of the equipment or personal property, milestones must not list equipment or personal property

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a recipient may potentially purchase to accomplish the milestone, but the costs of such equipment or personal property may be included in the budget from which milestone payment amounts are estimated and negotiated. Regardless of whether the equipment or personal property is listed in or as a milestone, the Fixed Amount Awards must state that title to the equipment or personal property vests in the recipient upon acquisition with the condition that the recipient must use the equipment or personal property for the grant as long as it is needed for such.

At a minimum, applicants should submit the following information to allow the Project to make a determination of financial and management responsibility: (1) organizational chart or other form of organizational overview; (2) completed Pre-Award Survey document; (3) documentation that the applicant has the ability to comply with the award conditions (i.e., audit reports, supporting financial documentation); (4) documentation to demonstrate the applicant’s ability to segregate funds obtained from the award of the project grant from other activities of the organization (note: a separate bank account is required should the Recipient receive advance payments); and (5) required Certifications and Representations.

The applicant must submit the following Standard Grant & Subcontractor Certifications which are required by Deloitte and USAID:

• Certification Regarding Terrorist Financing • The Anti-Terrorism Certification (ATC) • Key Individual Certification - Narcotics Offenses and Drug Trafficking • Certification Regarding Debarment, Suspension, Ineligibility And Voluntary Exclusion – Lower Tier

Covered Transactions Recipients will be required to sign and comply with the content of the above certifications as a part of the grant agreement once funding is approved.

• Non-US Recipient Certificate of Compliance • Anti-Corruption Certification

3.5.4 Evaluations All submissions will be reviewed to check for eligibility and completeness of the submission. All eligible and complete submissions will be reviewed by a Grant evaluation committee. The evaluation will include whether the proposed activities further the Project’s overall goals and objectives. Grant evaluation committees will adhere to a number of guidelines and processes agreed with USAID to avoid potential conflicts of interest and lack of transparency, and to support fair, objective, and consistent review of all applications.

After a submission has been reviewed and evaluated, the Grants Team will notify the organization of the decision. Submissions that are not selected for funding [may/may not] be revised and resubmitted. Submissions recommended for funding must be finalized and all review comments and questions must be addressed to the satisfaction of the Panel. Applicants may be required to provide additional information and certifications and other statements to ensure the organization has adequate management and financial systems in place and is otherwise a responsible organization.

Possible recommendations may include: Possible conditions may include:

• Fully fund the project • Partially fund the project • Fully fund the project, with conditions • Partially fund the project, with conditions • Not fund the project

• Financial or programmatic grants management technical assistance before or during the period of the grant

• Amendments to technical areas of the grant • Amendments to the budget

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• Requirements for additional information prior to the start of the grant period

• Any other conditions deemed necessary

The Grants Team will work with applicants to reasonably facilitate the grant application process and educate the applicants on grant compliance requirements before the grant is awarded. The Grants Team will report to the Project Chief of Party (COP) on this compliance.

All proposed Recipients, grant scopes of work and award amounts must be submitted to USAID for approval. In addition, the applicant may be required to make a formal presentation of their proposed project to USAID. An award will only be made with USAID approval. Applicants should be aware that USAID reserves the right to terminate a grant after award.

3.5.5 Pre-award Survey A due diligence review of the applicant organization is performed as part of the evaluation process. The Project will ask applicants to complete a pre-award survey (see Appendix 3.5) so that the Project may assess whether a potential recipient is able to successfully comply with the financial, management and programmatic requirements of the grant. The potential recipient should be a registered entity and should have an accounting and management system that allows it to produce both accurate and current financial records, and to properly account for all equipment purchased with government funds provided by the project. The recipient should also have sufficient financial and managerial strength to operate successfully and complete the work for which it has been awarded a grant. Potential recipients may be asked to provide information reasonably required by the Project to perform this due diligence. In addition, potential recipients may have to provide any appropriate pre-award certifications, assurances and other statements that may be reasonably requested by the Project. The pre-award review will also include a potential recipient’s check against various lists of entities and individuals who are restricted from receiving U.S. federal funding and a conflict of interest or appearance of the conflict of interest and independence check.

Before a final award determination is made, the Grants Team may conduct an on-site review of an applicant organization to review the organizational policies and procedures and determine whether they meet the stringent requirements for accounting for grant funds under a USAID-funded grants program. The Grants Administrator will review answers to the Pre-Award Survey, as well as other pertinent financial documents, to evaluate the applicant's capacity to comply with the accounting and financial reporting under a USAID-funded grants program. If the Grants Administrator determines that an applicant organization demonstrates a weakness in its grants management capacity, s/he will note this and may recommend corrective measures.

For Fixed Amount Awards the Grants team will use the Fixed Amount Awards Entity Eligibility Checklist (Attachment 3.9) to assess the applicant’s capacity and capability for accomplishing the milestones and the applicant should carefully review the information requested.

3.5.6 Presentation to / Approval by USAID As noted, the project staff must obtain USAID’s approval prior to making any grant award. USAID may request an oral presentation by the potential Recipient in order to get a fuller picture of the proposed activity and the Recipient’s organization. Should USAID request such a presentation, the Project will work with the Recipient to summarize the proposed activity into a standard presentation (see Appendix 3.4).

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3.6 Award / Terms and Conditions The grant award document sets forth the terms and conditions applicable to the Recipient’s grant. The grant award document will be issued to the Recipient upon USAID’s approval of the award. Once signed by the Recipient, the grant award document becomes binding on the Recipient. Grant terms and conditions set forth in the grant award document may be enforced by USAID or by Deloitte.

Upon finalization, the Grants Administrator will arrange for a kick-off meeting with the Recipient.

USAID grants are subject to a number of conditions with which the Recipient will need to become familiar. Recipients must comply with the terms and conditions of the grant specified in the grant award document. In addition, Recipients should understand USAID grants conditions that USAID posts on its website at the following address: http://www.usaid.gov/policy/ads/300/303. Among the provisions:

• Records retention. Recipients must keep the accounting books and other records supporting the grant for 3 years from the end-date of the grant.

• Audits. If a Recipient receives more than US $ in a single year, it must pay for and have an audit carried out in accordance with US Government audit guidelines.

• Separate Bank Accounts. For some types of grants, the Recipient must establish a separate bank account solely for use of grant funds.

• Budgets. Changes to the approved budget must be approved by the Project, who may need to seek USAID approval.

• Termination. USAID may direct Deloitte to terminate the Grant at any time. • Branding and Marking. Deliverables, including event announcements and materials must be

marked with the appropriate USAID logo and/or legend. • Procurement. Procurement of some goods and services and equipment is prohibited or

restricted. • Source and Origin. Nationality restrictions as to the source or origin of goods or services procured

with Grant funds may apply.

3.7 Project Contact Information NAME TELEPHONE EMAIL Kathleen O’Dell +1.614.537.2884 [email protected] Rajiv Weeraratne +1.571.212.2305 [email protected] Ethan Doyle +1.202.213.4666 [email protected] Mariela Tsvetkovska +1.571.249.8621 [email protected]

mailto:[email protected]

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Appendices 3.1 Concept Paper Template 3.2 Application Form for Grant Template 3.3 Application Form for Mini and Small Grants Template 3.4 Grant Presentation Template 3.5 Pre-award Questionnaire Template 3.6 Fixed Amount Awards Entity Eligibility Checklist

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4 Grant Recipient Handbook

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4.1 Introduction Congratulations on your award of United States Agency for International Development (USAID) grant funds under the Deloitte implemented program. Because your grant is funded by USAID, you must comply with a number of U.S. Government regulations in implementing your grant, as well as with the Program requirements.

The purpose of this handbook is to help your organization understand these regulations and the procedures required for the successful administration and financial management of these grant funds. You must carefully read and ensure that your organization complies with the procedures outlined in this handbook, as well as the terms and conditions and the regulations referenced in your Grant Award.

4.1.1 Grant Management Lifecycle The diagram below provides an overview of the different stages in the grant management lifecycle, from the start to the end of the grant program.

4.1.2 Understanding Your Grant Award Your Grant Award is the written document that specifies the approved activities to be carried out under your grant, the terms and conditions that you must follow, the regulations that apply, and the cost-share that you agreed to provide. The award becomes official and binding once the Grant Award document is executed on behalf of your organization. The Grant Award includes a number of references to U.S. Government grant terms, conditions, laws, regulations and USAID policies that apply to your grant. Your organization’s signature on the award document means you agree to comply with all of these terms. If you fail to comply, your grant may be withdrawn or cancelled and you will have to refund any funds that were not used in compliance with the grant award.

We strongly encourage you to read your entire grant award document, including all the attachments and terms and policies included by reference. The Project staff is ready to assist you with any questions you may have. The grant award document, this handbook, and the Project Grants Administrator are your guides for successful administration and compliance with all of the requirements under your grant.

4.2 Grant Program Start-Up After the Grant Award is signed, the project staff will meet with you and members of your organization to go through aspects of the grant. They will review with you your work-plan and budget, including your cost-share, if applicable, and will discuss reporting and financial administration. We suggest that the person responsible for oversight of your grant program and a representative from your accounting department

Grant Award Signed Grant Start-Up Meeting

Grant Management

Activities

End of Grant Activites

The Grant Award is official once signed.

Project staff and Recipient meet to review all steps for grant implementation.

Recipient manages grant activities and requirements under the grant (e.g., monitoring and reporting of grant activities, financial administration of grant funds).

Project Staff and Recipient begin the grant close-out process.

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attend the grant start-up meeting, along with your organization’s Executive Director. This meeting will help you get off to a good start in implementing and administering your grant.

If you are recipient of a Fixed Amount Award and have no or limited prior experience in administering USAID grants, this meeting is a good opportunity to identify and discuss areas where you may need additional help in meeting the grant’s conditions.

4.3 Delivering and Monitoring Grant Activities After your start-up meeting with the project staff, you should begin implementing the proposed activities as specified in your work-plan approved under the award. Implementation of all activities under your grant must comply with the terms and conditions of your grant award. Many of these terms and conditions are explained in further detail in this handbook. If you encounter any problems or delays, you must quickly notify the Grants Administrator.

The monitoring and evaluation (M&E) plan that your organization prepared for the grant application will be used as the basis for measuring progress, results, and impact of grant activities. Your organization is responsible for monitoring and reporting on the progress towards achieving these results or the milestones if your grant is a Fixed Amount Awards.

The project staff will conduct site visits to attend grant-funded events, review project accomplishments, verify management control systems, inspect equipment procured using grant funds, and provide technical assistance as required. The project staff may also visit your organization if grant activities are behind schedule or if there are problems or concerns related to any aspect of your progress reports or financial submissions.

4.4 Reporting Requirements Authorized officer(s) of your organization must sign and submit reports on grant progress and on grant funding to the Deloitte implemented Project not later than 10th day of the following month, unless otherwise specified in your award document. The project staff will conduct a thorough review of all reports and supporting documents submitted by Recipients. You must respond to all project staff queries within the timeframe specified, and in writing where requested.

The purpose of reporting is to share the progress and successes of your grant activities, or to inform Deloitte of issues that may cause delay in delivering the results in your program. Financial reports show your expenditures against your approved budget. In general, grant progress reports should discuss the following:

• Outcomes of the grant activities, including the funds expended during the particular reporting period

• Accomplishments or progress towards results during the reporting period • Potential constraints that might prevent your organization from meeting agreed upon targets and

benchmarks • Progress (activities completed) since the last report • Proposed solutions to new or ongoing problems • Success stories

Financial management (covering items such as budget status, current period expenditures and projections, inventory tracker and cost share tracking) are described in Sections 4.5-4.10 below.

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Appendix 4.1 and 4.2 contain reporting templates for you to use.

4.5 Financial Administration for other than Fixed Amount Awards

The financial management system your organization implements must contain adequate controls, books and records to ensure that:

• You are using a cash accounting system (unless approved for an accrual system as part of your award as a result of the Project’s Pre-Award review).

• You have accounted for all deposits and expenditures related to the grant effectively and accurately.

• You do not exceed approved line items in your budget; if you are getting close, you must request approval from the Grants Administrator to realign the line items in your budget to stay within your grant amount.

• All property and equipment purchased with funds disbursed under the award is properly identified and accounted for and complies with applicable regulations concerning procurement eligibility and allowability.

• All Advance Request Forms are correctly completed. • All financial and other reports are correctly completed and submitted to the Grants Administrator.

4.5.1 Bank Accounts Your organization must set up a separate bank account for each grant to avoid co-mingling USAID grant funds with other funds of your organization. Withdrawal from this account can be made on project activities only. For grants that are US$ or more equivalent in local currency, your organization is required to open a separate interest-bearing bank account for the purpose of depositing and expending grant funds disbursed. You must comply with the following standards in managing this account:

• No other funding shall be deposited into this account and no expenditures shall be paid from this account that is not for Allowable Costs under the Grant Award.

• No funds disbursed under the Grant Award may be transferred to other bank accounts owned by the Recipient that contain funds from any source other than the Project grant funds.

• If an initial deposit is required to open that account, the Recipient may use non-grant funds for this purpose, and the Recipient must withdraw those non-grant funds following receipt of the initial disbursement of funds under the Grant Award.

• To the maximum extent practical, all financial transactions for approved Allowable Costs to be funded under the Grant Award should be paid by check drawn on the required separate, special bank account payable directly to the vendor or payee.

• Charges from the bank and currency exchange fees are Allowable Costs under the terms of the Grant Award. The Recipient, upon the opening of the account for the grant funds, shall provide the names and titles of those Recipient’s employees who have signing authority over this separate bank account to the Grants Administrator.

• Ensure that the financial institution where you open your account is on sound footing.

Copies of grant bank account statements should be submitted with the monthly financial reporting package.

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4.5.2 Allowable Costs Allowable costs may vary from Grant Award to Grant Award. They depend on your approved grant program work plan, on the specifics of your Grant Award, and on U.S. Government regulations (included or incorporated by reference as part of your grant Award document).

It is your responsibility to ensure that costs incurred in carrying out the grant activities are reasonable, allocable and allowable under the terms of the Grant Award. Your organization will be reimbursed for costs that the Grants Administrator, and ultimately USAID, determines to be reasonable, allocable, and allowable in accordance with the terms of the Grant Award. Brief definitions of reasonable, allocable, and allowable costs are provided below.

• Reasonable costs are generally recognized as ordinary and necessary and would be incurred by a prudent person in the conduct of normal business.

• Allocable Costs are costs which are incurred specifically for the award. • Allowable Costs are costs which conform to any limitations in the award and any USG applicable

regulations. For further guidance please refer to 2 CFR 200 and 2 CFR 700 Deloitte retains the right to conduct a financial review, require an audit, or otherwise check adequate accountability of organizations expending grant funds regardless of the audit requirement.

4.5.3 Unallowable Costs The following costs are not allowable and not reimbursable costs under a grant:

• Creation of endowments • Any commodity which does not comply with or which is not procured in a manner that complies

with the U.S. Government procurement procedures and regulations • Any previous obligations by USAID to the Recipient • Bad debts of the Recipient • Fines imposed on the Recipient • Penalties imposed on the Recipient • Any expenses related to ceremonies, parties, and celebrations • The purchase of any goods restricted and prohibited under USAID regulations • The purchase of surveillance equipment, military equipment or arms, whether new or surplus,

police or law enforcement equipment, abortion equipment and services, weather modification equipment, fertilizers, luxury goods, and gambling equipment

• Any expenses related to purchases or activities which are illegal under your country or U.S. law • For Fixed Amount Awards: recurrent operational costs of the Recipient, international travel,

construction activities and purchase of any real property.

This list is not exhaustive. If you have a question regarding a specific or unique cost, ask the Grants Administrator for assistance.

4.5.4 Taxes No sales tax will be reimbursed under any circumstances under grants. Exemption or waiver letters will be provided to you to support expenditures under this grant. Deloitte would not bear liability for the inappropriate use of a sales tax exemption or waiver, which could lead to immediate termination of agreement and possible debarment from further funding from the USG. In the event that the Deloitte

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Program is unable to secure a tax exemption for Recipient’s purchases under grants, the Recipient may be reimbursed based on the specific circumstances and further Grants Manager review.

4.5.5 Cost Share Your Grant award details what cost share is required from your organization in the form of cash or in-kind services. Cost share contributions must meet all of the following criteria:

• Verifiable in your records • Not included as contributions for any other USG federally assisted program • Necessary and reasonable for proper and efficient accomplishment of project objectives • Allowable under the applicable USAID regulations • Not paid by the United States Federal Government under another grant or agreement • Provided for in the approved budget

You will be required to include a cost share status update in the required monthly reports.

4.5.6 Interest Earned and Refunds Interest earned on advances shall be remitted to the Project upon request. You will be required to refund all amounts that you did not spend in accordance with the terms and conditions of the Grant Award.

4.6 Financial Reporting and Disbursement of Funds for other than Fixed Amount Awards

Initial disbursement of funds is made after the completion of the Grant Kick-off Meeting and Project’s receipt of the organization’s Bank Information Form (if applicable) (See Appendix 4.3). Subsequent disbursement is generally made on a monthly basis and depends on submission of financial reports for earlier disbursement and clearing of all queries on those submissions. On receipt of funds, Acknowledgement of Funds Received from Deloitte Form (Appendix 4.4.) must be returned to Deloitte immediately, giving details of the receipt (amount received, source of funds, bank commission, etc.).

4.6.1 Advances and Liquidations Deloitte may provide your organization with advance payments that are subsequently liquidated against actual receipts/vendor invoices. Requests for an advance must include a detailed estimate of the activities and expenditures that are expected during the coming quarter. (A request template is included in Appendix 4.5)

Once the Recipient has receipts and/or vendor invoices to support approximately 80 percent or more of the advance, several items must be submitted to the Grants Administrator. These items include: a cover letter, expenditure report, receipts/vendor invoices to back up the expenditures, as well as a progress report covering the advance period.

Your organization may submit another advance request at the same time as submitting receipts for liquidation. The remaining un-liquidated amount is deducted from the subsequent advance amount.

4.6.2 Reimbursement If your award is other than a Fixed Amount Award, your organization will first incur an expense and then request reimbursement from Deloitte for those expenditures; your request must include appropriate

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receipts and documentation including submission of Progress and Financial reports. Alternatively, you may request that Deloitte pay vendor invoices directly. (See Appendix 4.6 for a sample request.) You are reminded that Deloitte will reimburse only allowable costs (as defined in Section 4.5.3).

Your request for reimbursement must include the monthly financial report as described above (see Appendix 4.2) that includes progress against deliverables. Supporting documentation must reconcile with the approved budget line items to confirm that costs fall within their respective line item maximums, and that costs claimed match up with the respective line item descriptions. Reports on the results achieved are required prior to payment or reimbursement to your organization.

Each invoice must include:

• Cover letter detailing the items for which you are seeking reimbursement and whether the project should reimburse your organization or pay the vendor directly.

• Expenditure report detailing which reimbursable costs should be subtracted from which budget line items.

All receipts/vendor invoices must be in English or be translated into English.

Specific requirements related to salary reimbursement, procurement, and travel and transportation are described in Sections 4.6.3, 4.6.4, and 4.6.5 below.

Invoices submitted to the project for reimbursement will be reviewed by the Grants Manager for compliance with applicable requirements. Deloitte reserves the right to withhold reimbursement pending timely submission of monthly progress/narrative reports or during review of any invoices/receipts that, in Deloitte’s view, need further review or clarification before being approved for payment. Once expenses are approved, Deloitte may send the payment to your organization or to the vendor in direct payment situations.

4.6.3 Salary Reimbursement Requirements In cases where you have been approved to use grant funds to pay salaries, you must include a curriculum vitae and biographical data sheet with your grant application. The Grants Administrator approves the rate based on the supporting salary history in accordance with Deloitte’s contract with USAID. When submitting an invoice for salary reimbursement, you must include a timesheet, signed by the employee and supervisor, with daily time entry. In cases where more than one salary is being reimbursed, you must submit an Excel sheet summarizing the gross salaries and social security payments paid to each individual.

4.6.4 Procurement Requirements All procurements you make with grant funds must be consistent with your budget and work-plan and with the regulations provided in your grant award. Your organization must provide receipts or vendor invoices for any purchase of goods or services covered by grant funds. In cases where purchases exceed the following is required:

• Obtain a quote from three different vendors. • Summarize the quotes in a table. • Indicate the proposed vendor selected. In cases where the least expensive quote is not selected,

provide a full justification on vendor selection. • Demonstrate that the vendor is “responsible” and verify that the vendor is not on an U.S.

Government watch lists. •

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These procedures for three quotes also cover the procurement of services (such as translation, accounting, and legal services). In some cases, the project may procure goods or services on behalf of your organization or pay vendors directly for items procured for your grant activities.

In cases where computer equipment, software, or other information technology is being procured, http://www.usaid.gov/ads/policy/300/303mab “Procurement of Goods and Services” applies. Items must be new, purchased locally, from a registered company, and come with a warranty. Limitation or restrictions apply with respect to purchase of goods with USAID funds.

Consult the Grants Manager if you have any questions about procurement requirements.

4.6.5 Domestic Travel and Transportation If the approved grant budget includes domestic travel, your organization is eligible for reimbursement of travel expenses such as transportation, lodging, meals, and incidental expenses. Your organization is responsible for ensuring that all per diem allowances are calculated correctly in accordance with USAID regulations and consistent with your organization’s policies. If necessary, you may request technical assistance from the Grants Administrator about your policies.

Some examples of transportation expenses that may be reimbursed separately include:

• Local transportation related to grant activities. This does not include taxis to/from work. • Reimbursement for use of a personal vehicle for specific grant activities (pre-approval required);

the traveler must complete a mileage log specifying the travel route and purpose.

Recipients traveling on grant funds are expected to exercise good stewardship in incurring expenses. Recipients must pay out of their own funds for excess costs incurred for personal preference or convenience (unnecessary routes, delays, luxury accommodations/services, or other costs exceeding established per diem rates).

All travel expenses should be noted on a travel expense form that should be submitted with requests for reimbursement. (See Appendix 4.7 for a template.)

4.6.6 International Travel In the event that your Grant Award includes activities that require international air travel, whether to send local counterparts overseas or to bring an international advisor to the country where the grant activities are taking place, the project staff must obtain USAID TO Contracting Officer approval before the travel.

Approved International Travel has three components: airfare, lodging and meals (both parts of “per diem”). Guidelines for each are noted below:

Airfare: Flights must be in coach class and must conform to the Fly America act. Your Grants Administrator can provide additional information.

Lodging Per Diem: Lodging costs must be within the limits set by the U.S. Department of State for the particular city and are only reimbursed upon presentation of an official hotel receipt.

Meals and Incidentals Per Diem: The meals and incidental portion of the per diem allowance is payable without itemization of expenses or receipts. But there are some circumstances when a traveler is not eligible for the full per diem amount. If meals are provided by the U.S. Government, a conference, or a business meeting, then the traveler is not entitled to the full per diem for meals on that travel day. The traveler would be entitled to per diem only on the meals he/she had to pay for on that day.

http://www.usaid.gov/ads/policy/300/303mab

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4.7 Payments under Fixed Amount Awards All requests for payment must correspond to a milestone specified in the Fixed Amount Award. Your vouchers must list milestones, not costs, as the product, task, deliverable or objective for which reimbursement is being made. The Grants Administrator will independently verify and document that the milestone has been completed. Documentation may include trip reports of site visits to verify that the recipient completed the milestone(s).

4.8 Marking and Branding Activities funded by the grant must comply with the USAID marking and branding requirements, as specified in the Grant Award. All physical property procured or built with grant funds and all printed materials (brochures, websites, advertisements, etc.) developed with grant funds must clearly show the USAID logo with writing clearly stating that the activity is funded by USAID. Grant funded publications or other materials must be approved prior to going to print. If grant funds will be used to support an event such as a conference or training workshop, you must coordinate with the Grants Administrator to ensure it is in compliance with all branding regulations.

If an event or publication or other activity is not compliant with USAID branding requirements (for example does not include a USAID logo), grant funds may not be used to cover those costs.

4.9 Records Requirements Your organization is expected to assume full responsibility for effective and proper administration of the grant funds. This includes keeping books, records, and other documentation including, but not limited to the following:

• Disbursements: You must keep documents that support any disbursements you made of grant funds, such as copies of checks, payroll records, vendor invoices and receipts of payment. If payments are made in cash and not by check, you must obtain receipts from the individual to whom the cash payment was made. A Witness’ signature is recommended for cash payment.

• Deposits: You must keep copies of records of deposit relative to the grant, including deposit slips, bank statements and other pertinent information.

• Monthly bank reconciliation: You must keep the originals of your monthly bank statements and reconciliations.

In addition to maintaining accounting records, it is a good practice to maintain a master file of all grant program related documents such as the signed Grant Award, programmatic reports, correspondence related to grant activities, monitoring and evaluation documents, and any other supporting documentation deemed important to the grant program. You must keep this documentation for three years after the end of the grant in case of an audit by USAID or Deloitte.

4.10 Inventory - Property Management Your organization is required to maintain inventory records of all equipment or other assets purchased with grant funds in the Grant Inventory Tracker provided as part of the Financial Report in Appendix 4.2.

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4.10.1 Grant Inventory Tracker The Recipient must enter into the Tracker each purchase of equipment and/or furniture with grant funds having a unit cost of US$ or more. Each entry into the tracker must be supported by a receipt supporting the purchase. Each entry in the Tracker must include:

• Inventory number assigned by your organization (e.g., Grant XYZ 001; Grant XYZ 002) • Item description • Manufacturer’s serial number • Manufacturer’s model number • Source of the equipment (vendor) • Where title vests (your organization) • Unit cost (in Lempira and USD) • Quantity & total cost (in Lempira and USD) • Acquisition date or purchase order number • Location of item (where in the organization is this item used/stored) • Condition of item • Date of last inventory • Disposition type (this column is for use at the end of the grant program)

The Recipient must update the Grant Inventory Tracker as each purchase is made and must provide a copy of the Tracker to the Grants Manager in order to continue to receive additional disbursements of the grant funds.

4.10.2 Physical Inventory At least once a year, but preferably every six months, your organization must perform a physical inventory of all equipment, furniture, and other significant inventory items purchased with grant funds. This involves visually identifying each item, verifying that each item has been tagged, and updating the Grant Inventory Tracker. These physical inventories should continue until the termination date of the grant.

4.10.3 Theft of Equipment You must report any theft of equipment to the police immediately. You must also notify the Grants Manager of the theft and attach a record of the police report to the semi-annual inventory reconciliation memo and the annual report that you submit to the Grants Administrator.

4.10.4 Title One condition of the Grant Award is that your organization will own and hold title to any equipment purchased with grant funds. Equipment acquired with grant funds may only be used for the grant activities. At the end of the grant, you must request instructions from the Grants Administrator as to the disposition of the equipment. If the grant is terminated for any reason, you will be required to return all equipment to the project within 30 business days.

4.10.5 Insurance Losses from fire, theft, or irreparable damage to the equipment are unfortunate possibilities. Your organization should anticipate the possibility and obtain insurance where appropriate. The cost of this insurance is an allowable cost under the grant and should be included in your grant application budget.

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If the amount of equipment procured with grant funds is significant enough to be covered by an individual policy, your organization should acquire reasonably priced insurance for that equipment and charge it to the grant. However, smaller amounts of equipment should be covered under your own policy and not charged to the grant. For example, if your organization has purchased 1 or 2 computers with grant funds but has 15 others procured separately, you are expected to cover the 1 or 2 computers under your own policy and not charge the cost to the grant. If you have any questions about whether insurance costs should be charged to your grant, you should contact the Grant Administrator.

Your organization should also protect the space where you are keeping the equipment to prevent theft and damage. This protection may include, but is not limited to, the installation of adequate locks on the doors or windows, and an electronic security system.

4.10.6 Maintenance You are responsible for ensuring that the equipment purchased with grant funds is adequately maintained, including regular service, protection from extreme temperatures, dust, etc.

4.11 Modifications It is not uncommon for you to need to ask for a modification to the Grant Award, perhaps to cover changes in scheduling, budget adjustments, or activity adjustments. All extensions, reallocations, activity changes must be documented through a formal modification to the Grant Award and signed by the representative designated by your organization. The guidance below describes the types of modifications that can be made under the Grant Award.

4.11.1 Extensions If your program activities are behind schedule, or you have experienced a delay of some kind, your organization may request an extension of the Grant Award end date. You need to be aware, however, that most awards cannot be extended beyond a year from the start date.

4.11.2 Budget Reallocation Often you will find as you implement the grant that you may need to shift funds from one line in your budget to another as a result of changes from when you submitted your application. Deloitte understands this and will work with you to rebalance the lines if reasonably practical. You need to first submit a request for reallocation with your justification to the Grants Manager. A budget reallocation is not an increase in funds.

4.11.3 Activity Changes From time to time you may to wish to change an activity and replace it with another one because of some change outside of your control (e.g., a conference is cancelled, an organization is no longer able to provide free space). The new activity will need to advance the same grant goals and objectives and contribute to achieving the same results that the grant was designed to achieve. Submit your request and justification to the Grants Administrator.

4.12 Audits As a recipient of grant funds from USAID, your organization is subject to a number of possible audits as outlined below. The audit may be a limited scope audit review, a final activity audit, or an organizational

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audit. These may take place at any time up to three years after the submission of the Grant Completion Report. Under the terms of the Grant Award, and as noted earlier, you are obligated to maintain all project records for at least that length of time, in such a way that they may be easily accessible to the representatives of the Project Team, other Deloitte personnel or USAID, or any auditors commissioned for the purpose of examining those records.

The purpose of an audit is to confirm that your organization is in substantial compliance with the terms of the Grant Award. An audit may be done at any time, with advance notice to you. In the event of an audit, Grantees must:

• Respond promptly to findings/observations raised in the audit reports; • Prepare an action plan to address audit findings and follow up on its implementation.

4.12.1 Interim Audits The limited scope review, or interim audit, is a modestly scaled audit conducted to verify that your organization has systems and procedures in place to properly process and record financial transactions, to ensure that the terms and conditions of the grant are met, and to detect any improper use of grant funds.

4.12.2 Final Audits A final audit may be performed at the end of the grant program term or up to three years after the end of the grant. This may be routine, or may be performed specifically to address issues of noncompliance that may have been noted during the course of an interim review, as well as any additional issues that Deloitte has identified. The Project and USAID reserve the right to recover funds from the Recipient based on audit recommendations.

4.13 Close Out Prior to completion of the grant, the Grants Administrator will send your organization a letter that describes the grant close-out process and required reporting, including a Final Report, Financial Report and Final Inventory. The Technical Report (see Template in Appendix 4.8) should contain the following sections:

• A summary of the activity objectives and achievements • A summary of the activity implementation process, lessons learned and recommendations • Description of project impact and results, based on the indicators presented in the application

as well as any other anecdotal information, stakeholder or observer commentary • A discussion of how grant funding contributed to the objectives of the program

Grant funds may not be used after the Grant end-date. All remaining funds in the grant bank account must be returned to the Project in accordance with specific instructions from the Project as part of the close-out. Once your organization has successfully completed and submitted all deliverables as required under the referenced Grant Award and subsequent modifications, Deloitte will process final reimbursements and provide your organization with a satisfactory completion letter.

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Appendices 4.1 Progress Report Template 4.3 Financial Report Template 4.3 Bank Information Form 4.4 Acknowledgment of Funds Form 4.5 Advance Report Request 4.6 Request for Direct Payment by Project of Vendor Invoices 4.7 Travel Expense Form 4.8 Final Report Template

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5 Grants Manual Appendices

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Summary of Appendices: Section 1 Appendices 1.1 Caribbean Clean Energy Program Grants Program Guide

Section 2 Appendices Illustrative Sample Templates for Project Implementation 2.1 Annual Program Statement Template 2.2 Call for Grant Concept Papers Template 2.3 Request for Grant Assistance (RFA) Template (includes Fixed Amount Awards Budget) 2.4 Grant Evaluation Committee Guidelines 2.5 Selection Panel Certifications 2.6 Concept Paper Individual Evaluation Scoring Sheet 2.7 Application Individual Evaluation Scoring Sheet 2.8 Application Consolidated Evaluations Scorecard 2.9 Mini Grant and Small Grant Evaluation Score Sheet 2.10 Application Response and Feedback Form 2.11 Pre-Award Questionnaire 2.12 Terrorist and Excluded Entity Check Form 2.13 Grant Award Internal Approvals Sheet 2.14 Grant Summary Template 2.15 Grant Recipient Selection Memorandum Template 2.16 Request for USAID Approval for Grant Award Template 2.17 Grant Award Transmittal Letter Template 2.18 Grant Award Template 2.19. Grant Award Template for In-kind Grants 2.20 Grants Tracker Tool 2.21 Sales Tax Exemption Letter Template 2.22 Contracting Officer Consent Sample 2.23 Grant Payment Review Guidance 2.24 Grant Advances Guidance 2.25 Grant Award Modification Approval Sheet 2.26 Grant Award Modification Template 2.27 Grant Closure Notice to Recipient Template 2.28 Grant Completion Letter Template 2.29 Grants File Checklist Template

USAID Grants Manual


Section 3 Appendices Illustrative Sample Templates for Project Implementation 3.1 Concept Paper Guidelines Template 3.2 Concept Paper Template 3.3 Application for Grant and Guidelines Template 3.4 Application Form for Mini and Small grants 3.5 Grant Presentation Template 3.6 Pre-award Questionnaire Template 3.7 Fixed Amount Awards Entity Eligibility Checklist

Section 4 Appendices Illustrative Sample Templates for Project Implementation 4.1 Progress Report Template 4.3 Financial Report Template 4.3 Bank Information Form 4.4 Acknowledgment of Funds Form 4.5 Advance Report Request 4.6 Request for Direct Payment by Project of Vendor Invoices 4.7 Travel Expense Form 4.8 Final Report Template

USAID Grants Manual


Section 1 Appendix The Caribbean Clean Energy Program (“USAID CARCEP”)

Project Summary

The USAID Caribbean Clean Energy Program (“USAID CARCEP”) (# AID-532-TO-15-00003) purpose is to assist the countries of the Caribbean – with particular emphasis on Jamaica and the Eastern Caribbean - in establishing effective policy and regulatory environments, as well as incentives, for greater energy efficiency and for low-emission growth in the energy sector. Attracting public- and private-sector investment in clean energy development is a closely related objective.

The project focuses on five major tasks:

1. Improve Enabling Environment for Clean Energy Development

2. Optimizing Variable Renewable Energy Integration

3. Accelerating Private Sector Clean Energy Investment

4. Energy Efficiency Benchmarking in the Hotel and Tourism Sector

5. Coordination and Promotion of USAID and USG Inter-Agency Activities in the Energy Sector and Sharing Lessons Learned with other Island Nations

Grants Program

CLEAN ENERGY INNOVATION FUND

The USAID Caribbean Clean Energy Program includes a Clean Energy Innovation Fund component as a tool to use to augment interventions detailed in the tasks above. The purpose of the Innovation Fund is to be a flexible means to encourage participation and/or collaboration of local entities toward the achievement of USAID Caribbean Clean Energy Program’s Components and Tasks. The Fund will be utilizing grants that will be structured to encourage leveraged funding from other non-USG resources, or parallel funding of similar activities that support the achievement of common results. The Clean Energy Innovation Fund will be used primarily as a means to support Task 3.

We will use the Clean Energy Innovation Fund to help reduce identified risks by funding proposals that strategically remove barriers to project development, accelerate clean energy financing, and support EE uptake. We will deploy a portfolio of funding options, depending upon the type of activities and results desired according to the Work Plan that includes both traditional grant making models to more innovative mechanisms that pay only once an outcome is achieved.

Grant funds will support a process of constructive engagement and planning between communities, indigenous NGOs, local institutions, the private sector, and other relevant government agencies to work collaboratively in implementing the activities under this scope of work. Deloitte will make every attempt to work with local partners that have proven experience in the results areas. The grants may be awarded to NGOs, academic institutions, and/or small- and medium-scale enterprises that may include national or international organizations. To the extent possible, Deloitte will use national organizations.

Clean Energy Innovation Fund Grants will be linked to indicators included in USAID CARCEP’s Monitoring and Evaluation Plan.

USAID Grants Manual


Specific Contract’s Requirements:

Deloitte will follow strictly the Contract Clauses that pertain to grants Under Contract, specifically:

F.4.3 INNOVATION FUND MANAGEMENT PLAN AND GRANTS MANUAL (extract from Contract AID-532-TO-15-0003)

The Contractor may utilize the Innovation Fund to augment activities that are implemented by the Contractor within the various Components and Tasks. The Contractor must prepare and submit appropriate mechanism to utilize the Fund in support of activities under this Task Order with the preferred methods of grants.

If grants are selected as the mechanism, the COR must approve the selection and funding level of grant recipients. The total value of any individual grant must not exceed . Grant funds must support a process of constructive engagement and planning between communities, indigenous NGOs, local institutions, the private sector, and other relevant government agencies to work collaboratively in implementing the activities under this scope of work. Within 60 days from mobilization the Contractor must submit a grants manual and grant project implementation plan for COR review and CO approval.

The Contractor must make every attempt to work with local partners that have proven experience in the results areas. The grants may be awarded to NGOs, academic institutions, and/or small- and medium-scale enterprises that may include national or international organizations.

To the extent possible, USAID encourages the use of national organizations. The Innovation Fund Management Plan and Grants Management Plan must describe in detail the manner in which grant activities will support the objectives of USAID’s CARCEP program, how grantees will be selected, and how the grants will be administered once awarded.

All grants must be compliant with ADS 302.3.4.13, Grants under Contracts.

H.14 GRANTS UNDER CONTRACT (extract form AID-OAA-I-13-00018)

This contract provides in Section C that the Contractor may be required to execute grants on behalf of USAID.

For Grants under Contract (GUC), the General Counsel or Regional Legal Advisor and the Contracting Officer must provide clearance/approval. Written approval from the Head of the Contracting Activity must be obtained at the task order level.

The HCA approval is required to authorize USAID direct contractor to execute grants up to $ (unless a deviation is obtained to have this threshold increased) with US organizations (not-for-profits or forprofits), providing conditions in ADS 302.3.4.13 are met. For non-US organizations there is no ceiling unless a fixed obligation grant is executed in which case the ceiling is $ per year.

If USAID does not provide them, the contractor shall develop grants formats and provide a field grant guide that adheres to USAID regulations (including selection criteria, competition, Contracting Officer approvals, etc.). If the grants formats and field guide are not provided before award to the Contracting Officer, the contractor shall obtain approval from the Contracting Officer within 60 days after award. The contractor shall comply with all USAID policies, procedures, regulations, and provisions set forth in the contract and ensure

(1) sufficient time to complete grantee audits, (2) sufficient time for the grantee to submit a final report to the contractor, and

USAID Grants Manual


(3) sufficient time for the contractor to complete its review of the grantee and provide a final report to the government before contract or task order close-out. All grants must be closed out no later than the end date of the task order. Reporting

requirements shall be in accordance with Section F. The grant program under the GUCs authority must meet the following conditions:

• The total value of an individual grant to a U.S. organization must not exceed $ (This limitation does not apply to grant awards to non-U.S. organizations.)

• It is not feasible to accomplish USAID objectives through normal USAID contract and grant awards because either Executing a number of small grant activities is particularly difficult for the responsible USAID Mission or office, or The grant program is incidental and relatively small in comparison to the other technical assistance activities of the contractor.

• USAID must be significantly involved in establishing the selection criteria and must approve the recipients.

• USAID may be less significantly involved when grants are quite small and are incidental to the contractor's technical activities.

• USAID must ensure that the requirements that apply to USAID-executed grants will also apply to grants that a USAID contractor executes.

• USAID must retain within the contract the ability to terminate the grant activities unilaterally in extraordinary circumstances.

USAID does not authorize contractors to execute or administer cooperative agreements on its behalf. Nor does USAID require HCA approval when a contractor will only be managing or administering grants already awarded by USAID. H.5 AUTHORIZED GEOGRAPHIC CODE The authorized geographic code for procurement of goods and services under this Task order contract is 937. Roles and Responsibilities

Role Responsibilities

Grants Manager • Develop Grants Program Guide • Manage overall grant program • Report on metrics associated with grant application and administration • Issue APS/Calls for Concept Papers /RFAs and accepts responses • Review and approve grant recommendations • Request USAID approval on grants recommended for funding • Oversee technical and financial monitoring of active grants • Approve close-out process • Ensure compliance with USAID regulations and Deloitte policy

USAID Grants Manual


Technical Staff

(Team Leads and Technical experts)

• Define grants' needs, activities, goals and expected results • Develop Grants SOWs • Review assigned technical applications, providing scoring, comments,

and recommendation on whether to fund • Review milestone reports and deliverables for active grants in support

of the task manager, Monitor grant activities on active grants • Review milestone reports and deliverables to determine compliance • Coordinate with technical reviewers or subject matter expertise • Make site visits to review active grants, gather required documentation,

verify milestones and collect impact data.

Finance Manager • Process approved payments through Deloitte’s accounting system • Review and approve grantee invoices

Engagement Coordinator

(Home Office)

• Ensure grantee eligibility in accordance with USG and Deloitte policies and document accordingly

• Process grantee independence clearance

Grants Management Compliance Advisor (HO)

• Assist in developing the Grants Program Guide • Provide overall guidance and facilitate to define the Grants program • Provide training to the Grants Manager • Provide technical guidance to the Grants Manager as needed • Provide compliance oversight

CoP/DCoP/ Engagement Manager (HO)

• Provide technical and managerial oversight

USAID COR • Approve eligibility and selection criteria for grants solicitations • Provide final approval of Grants awards

USAID Grants Manual


Section 2 Appendices 2.1 Annual Program Statement Template

ANNUAL PROGRAM STATEMENT APS No. X

Issuance Date: XX/XX/20XX

I. PURPOSE

The purpose of this Annual Program Statement (APS) is to disseminate information about [Name of Program] objectives and plans for the period ending [include date – usually end of the project year], to provide fair and equal opportunities to all eligible [insert organizations’ type(s)] to submit innovative concept papers/applications for grant support through the grants program. This Annual Program Statement is issued under the authority of the United States Foreign Assistance Act of 1961. Through this APS, the [Name of Program] project, implemented by Deloitte and funded by United Stated Agency for International Development (USAID), is soliciting concept papers/applications from [insert organizations’ type(s)] in the following target areas: [insert areas]. II. PROJECT DESCRIPTION

[include project description and goals] III. GRANTS PROGRAM

[Include Description of the Grants Program and its goals, expected outcomes and cost-sharing requirement is applicable] IV. ELIGIBILITY REQUIREMENTS FOR GRANTS UNDER [Grants Program Name] Eligible Organizations

Grantees must be organizations existing under the applicable [country name] laws and must be in compliance with all applicable civil and fiscal regulations. Grantees must display sound management in the form of financial, administrative, and technical policies and procedures that are in written format and present a system of controls that safeguard assets, protect against fraud, waste, and abuse, and support the achievements of program goals and objectives. Eligible recipients for cost sharing grants most commonly include [type of organizations] that can [include description of functions]

Annual Program Statement Template, Page 1 of 4

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Eligible Activities

Through this APS, [name of project] seeks qualified organizations to implement activities that fit with [name of project] objectives listed in Section II above and that align with project year 201X/201X activities. During this period applicants are encouraged to submit ideas in concept paper format that will address one or more of the program components, and fall under one of the approved sectors/subsectors listed below.

• Name of sector/are 1

• Name of sector/area 2

• Name of sector/area 3 The grants program will seek to maintain flexibility in order to respond to creative approaches that enhance project objectives. [name of project] grants are designed to further the project’s overall vision to enable [type of recipients] to [describe expected outcomes]. Execution of grant activities must take place in [name of country] and meet one of the project results listed below: [Include a list and description of project results] Ideally, many grant activities will meet multiple project results. V. GRANT CONCEPT PAPER / GRANT APPLICATION FORMAT

• GRANT CONCEPT PAPER – The first step is for organizations to submit a short

application, called a “Grant Concept Paper”, as a first screening step to ascertain whether the applicant and proposed activity meet the minimum eligibility criteria listed below:

a. Is the purpose of activity consistent with [name of project] objectives? b. Is the applicant an eligible organization as defined in this Program Statement? c. Does the proposed applicant have a proper accounting system in place?

d. Does the appl icant demons t ra te abi l i t y to l everage non-USAID resources either through other donor support or cost share in cash or in kind?

e. Does the proposed applicant have the organizational capability to successfully implement the activity or activities specified in the concept paper?

The Grant Concept Paper form can be downloaded from the following link: http://www.xxxxx.com or received at the [project name] office at the address: [include address]. Only those preliminary concept papers that are deemed by [PROJECT NAME] to meet the minimum requirements will have the opportunity to be developed into a full grant application. In case when the project don’t have a web site an e-mail address will be provided for requesting the Call for Concept Papers and all relevant forms


USAID Grants Manual


The Grant Manager will inform the Applicant of [PROJECT NAME] findings, and the application process will either end here (for unsuccessful concept papers) or the Applicant will be directed to develop the concept paper into a full grant application (for successful concept papers).

i) FULL GRANT APPLICATION – For submitting a full grant application package the Applicant needs to use the standardized [PROJECT NAME] grant application package. The Grant Application Form and other forms can be downloaded from the following link: http://www.xxxxxx.com .The Applicant is expected to submit a full application in English in PDF format. The full Application Package includes:

1. Grant Application Form 2. Budget Form including Financial Plan Summary 3. Documents to verify eligibility (Producer Organization’s registration

documents and by-laws) 4. Applicants Financial and Accounting System Information 5. Certification regarding terrorist financing 6. Certification of Compliance 7. Certification regarding lobbying 8. Survey on Ensuring Equal Opportunities for Applicants

Applicants must submit all forms for the application to be considered complete. • SIZE OF GRANT FUNDING – We anticipate that the range of the grant amounts will

range from $X,XXX $XXX,XXX (or equivalent of that amount in local currency).

• COST SHARING – The applicants are expected to cost share the implementation of the

proposed project activities by minimum of XX% of total cost of the project. Higher cost sharing will be more favorable. In-kind costs can be counted.” In kind” represents investment made in the form of goods and services, rather than in cash

• OWNERSHIP OF PROPOSALS - All applications received in response to the APS will not be returned.

VI. REVIEW AND SELECTION CRITERIA

• REVIEW OF CONCEPT PAPERS/APPLICATIONS – Concept papers/grant applications

will be accepted on a continued basis throughout the whole period of the project year 201X – 201X. The Grants Evaluation Committee will meet on a [include period] basis to review the submitted concept papers.

• SELECTION CRITERIA - Consistent criteria will be used to evaluate concept papers and will be weighted to reflect project priorities. The key evaluation criteria are:


USAID Grants Manual


a. Project Objectives: Is proposed activity consistent with Project Objectives? b. Anticipated Results: What are the anticipated results from proposed activity?

What impact will the proposed activities have? What is the likelihood for sustainability of the results?

c. Feasibility of design and approach: the quality and feasibility of the application in terms of the appropriateness of the proposed activities;

d. Cost Share: Does the Applicant cost share the implementation of the proposed project activities by minimum of XX%?

In addition to the criteria listed a b o v e , some preliminary “gate keeper” questions will be asked. Does the proposed activity pose any unacceptable environmental threats? Does the project pose a threat to the wellbeing of minority groups, in particular women and children? If either of these questions is answered positively, the concept note will be deemed ineligible and will receive no further consideration. If, on the other hand, the grant concept is deemed to be attractive because of positive benefits regarding either question, the reviewers can award up to a total of 5 bonus points between the two questions.

VII. AWARD PROCESS Concept Papers received by [PROJECT NAME] will be evaluated once [include period] for completeness, qualification of the organization and activities, and against the selection criteria. The Concept Paper will be evaluated by the [PROJECT NAME] Technical Evaluation Committee (TEC). If the Concept Paper is not approved, the applicant will be formally notified. If it is approved, the organization will be notified and the Grants Manager will request the applicant send a complete grant package. The actual number of awards under this APS is subject to the availability of funds and the viability of the applications received. Concept Papers and full grant applications can be submitted in electronic format to www.xxxx.com or hard copy at the following address: [PROJECT NAME] Project, [include project address]. Any questions regarding the APS or its contents should be sent to www.xxxx.com

Phone calls will not be accepted. Issuance of this APS does not constitute an award commitment on the part of [PROJECT NAME], nor does it commit [PROJECT NAME] to pay for costs incurred in the preparation and submission of an application. Further, [PROJECT NAME] reserves the right to reject any or all applications received. All application preparation and submission costs are at the applicant's expense and risk.


http://www.xxxx.com/



USAID Grants Manual


2.2 Call for Grant Concept Papers Template

CALL FOR GRANT CONCEPT PAPERS

- NAME OF PROJECT - RFA: 001-01

USAID-FUNDED

- Name of Project-

-DATE -

This document is protected under the copyright laws of the United States and other countries as an unpublished work. This document contains information that is proprietary and confidential to Deloitte Consulting LLP or its technical alliance partners, which shall not be disclosed outside or duplicated, used, or disclosed in whole or in part for any purpose other than to evaluate Deloitte Consulting LLP or any Deloitte Touche Tohmatsu member firms. Any use or disclosure in whole or in part of this information without the express written permission of Deloitte is prohibited.

© Deloitte Touche Tohmatsu (Unpublished). All rights reserved.

Call for Grant Concept Papers Template, Page 1 of 6

USAID Grants Manual


Table of Contents

1. GRANT BACKGROUND AND SCOPE OF WORK ............................................................................................ 3 2. ELIGIBILITY .......................................................................................................................................... 3 3. GRANT APPLICATION PROCESS ............................................................................................................... 3

Stage 1: Submission of a concept paper ......................................................................................... 4 Stage 2: Oral Presentation (may be optional) ................................................................................ 5 Stage 3: Grant Application .............................................................................................................. 5

4. TECHNICAL EVALUATION OF CONCEPT PAPER ............................................................................................ 5 5. TIMETABLE .......................................................................................................................................... 6 ANNEX 1 ................................................................................................................................................ 7

Concept Paper Outline ..................................................................................................................... 7


USAID Grants Manual


1. Grant Background and Scope of Work Example:

“The mass media are playing key role in bringing attention to the importance of IPR to overall economy and the impact of IPR violation on science, innovation, consumer health and safety. Strong IPR regime encourages research and development, new investments and support BiH on its path to integration into the EU. Grantee will raise public awareness and understanding on intellectual property rights during the period May 1, 2010 to August 31, 2011.

Selected grantee will be responsible for following deliverables:

A. Research connections between case situations that may affect or impact (positive or negative): BiH fulfillment of Stabilization and Association Agreement/WTO requirement; economic growth; investment attractiveness; and fight against organized crime in correlation to various types of violation of intellectual property rights. Issues include, but are not limited to: (i) copyrights piracy and its effect on creators/authors, (ii) trademark counterfeiting and its effects on producers and inflow of foreign investments, (iii) illegal imports or production of counterfeited goods and its effects on economy and consumers health and safety, (iv) patent/trademark/industrial design infringement on economic performance and profitability of companies and country competiveness, and (v) other IPR related issues.

B. Explore/diagnose how various government, regulatory bodies and enforcement agencies function, deal and coordinate their actions to prevent/effectively combat IPR violation in the country, comparing BiH to its neighboring countries, revealing where BiH stands relative to the region.

C. Publish/distribute findings in/to regional and local newspapers, news portals, and on its website with an estimated readership/viewership of more than 400,000 people.

D. Post findings including public records, reports, and documents online for all citizens of BiH to view the information. The data will become a permanent reference resource for the public, NGOs and government on this issue.

Grant range is between - .

2. Eligibility Grantees may be Non-Government Organizations (NGOs), professional organizations, research institutions, or other not for profit entities legally established in the country; or private firms legally established who demonstrate a compelling need for grant funds through this competitive process. Individuals, political organizations, foreign owned and government institutions and religious groups are not eligible for grants under this Project. Also ineligible are private firms and non-governmental organizations whose objectives are not consistent with the broad objectives of the Project. 3. Grant Application Process The application process is in three stages.

Applicants are first to submit a concept paper. Concept papers will be reviewed for compatibility with Project objectives. From the group of concept papers submitted, the Project Staff will establish a


USAID Grants Manual


competitive range of applicants and those Applicants will be invited to present their concepts to the Project Grant Evaluation Committee. After these oral presentations, a set of Applicants will be asked to submit final grant applications. After a final review, these formal applications will be submitted to USAID for final approval.

Stage 1: Submission of a concept paper Prior to developing a full grant application, potential grantees are to submit a concept paper for review and feedback. Developing a concept paper provides potential grantees with the opportunity to define and refine their thinking about the proposed project or activity and provides the Program review team with an opportunity to see how well the concept aligns with the Project’s key objectives and goals.

A concept paper should be short – not more than 5 pages. Ideas should be clear, concise, to the point and provide an overview of what is planned, who will benefit, the results expected and a notional estimate of the proposed budget linked to the components of the activities planned.

The concept paper shall include:

1. Cover Page/Introduction: • Name and address of organization; • Type of organization (e.g., for-profit, non-profit, university, etc.); • Contact point (lead contact name; relevant telephone, fax and e-mail information). Regional or multi-country applications should provide the name of at least one local partner for each country targeted in the program; • Names of other organizations (federal and non-federal as well as any other USAID offices) to whom you are/have submitted the application and/or are funding the proposed activity; and • Signature of authorized representative of the applicant.

2. Technical Information: • Concise title and objective of proposed activity; • Discussion of the objectives, the method of approach, the amount of effort to be employed, the anticipated results, and how the work will help accomplish USAID's as well as the field Mission’s specific strategic results within the field Mission’s timeframe; and • Type of support the applicant requests from USAID (e.g., funds, facilities, equipment, materials, personnel resources, etc.). Supporting Information: • Proposed estimated cost; • Detailed cost breakdown (e.g., salaries, travel, etc.); • Proposed amount of the applicant’s financial as well as in-kind participation; • Proposed amount of prospective or existing partner(s) financial as well as in-kind participation; • Proposed duration of the activity; and • Brief description of applicant's, as well as prospective or existing partner(s’) previous work and experience.

Annex 1 suggests an outline for the concept paper and is designed to assure that key points have been covered. This summary will form the basis of the grant application should the Grantee be invited to the next stage.


USAID Grants Manual


Stage 2: Oral Presentation (may be optional) Those organizations whose concept papers are deemed to be in the competitive range will be invited to make a presentation about their request. A standard presentation template is provided as an Attachment 1 to this RFA.

Stage 3: Grant Application At the conclusion of the presentation process, successful applicants will be asked to submit a complete Grant Application and Budget for review and approval by USAID.

4. Technical evaluation of Concept Paper The Project Grant Evaluation Committee will evaluate each concept paper based upon the evaluation factors set forth below. A concept paper can be categorized as unacceptable when it is incomplete, does not respond to the scope, does not comply with the format requirements or is submitted after the deadline.

The technical criteria below are presented by major category, in relative order of importance, so that Applicants will know which areas require emphasis in the preparation of their concept papers.

Illustrative Concept 50% Organization’s qualifications 35% Cost Share percentage, if applicable 15%

Any such concept papers shall be reviewed by the relevant Project Grants Evaluation Committee for consistency with Project objectives. If a concept paper evidences a program concept that is consistent with the objectives of the Project, the Grants Manager, will invite the organization to submit a full grant Application. If a concept paper evidences a program concept that is not consistent with Project objectives the Grants Manager will communicate with the submitting organization regarding the non-approval of a concept paper. A sample of the letter is presented in Annex 3.

5. Timetable The following is an illustrative timetable for the grant process:

ACTIVITY ILLUSTRATIVE TIMETABLE

Request for Concept Papers Issued Concept Papers Due 2 weeks from issue Concept Papers Evaluated/Competitive Range Established

1 week from the application deadline

Competitive Range grantees make oral presentations to Grant Committee to clarify concept

1 week

Final Selection Grants applications received from finalists 1-2 weeks Presentation to USAID 1-2 weeks USAID Approval and Grant Awarded 1-2 weeks


USAID Grants Manual


Annex 1

Concept Paper Outline Abstract of proposed Activity:

• One line description of the proposed grant Activity • What are the Objectives of the Activity and why is the Activity is needed? • How will the Activity be carried out?

- What is the approach to the Activity? - Who will carry out Activities (Identify project team and other relevant stakeholders)? - What is the location and timeframe of Activity?

• What are the Impacts of the Activity implementation? (for example): - Number of direct/indirect beneficiaries - Number of jobs created - Increase in revenue

• What kind of Reporting and Monitoring plan will be used during the period of the grant?

Post Grant Sustainability:

• How will the Grantee sustain the impact of the grant Activity after the grant is closed? • How will the Grantee report on results after the grant period is over?

Background

• Brief background on grantee o [Entity’s] full legal name o Is [Entity] public or private? o Who is [Entity’s] auditor? o Where is [Entity] currently headquartered (address)? o Is [Entity] owned by a parent company? o Does [Entity] have any subsidiaries or own 5%, or more, of any other entity? o Is [Entity] or any subsidiary an audit client of Deloitte? o Are there any owners/shareholders of [Entity] that own 5% or more of [Entity]?

If yes, please list the owners and their percentage owned. Also, please list any other entities which the shareholder controls (greater than

50 percent ownership or voting rights) and, if the shareholder is an individual, list any other entities in which this shareholder serves as an officer or director.

• Grantee’s prior experience related to this Activity

Budget

• One Page Summary • Budget Detailed Line Item Budget (including # of Units, Unit Costs, Subtotals) • Cost Sharing and Third Party Contributions


USAID Grants Manual


2.3 Request for Grant Assistance (RFA) Template

[Name of Project]

REQUEST FOR GRANT APPLICATIONS (RFA): [NAME OF PROJECT]

RFA #: [ ]

A USAID/[Name of Country] FUNDED PROJECT

[Month, Year]

Request for Grant Assistance (RFA) Template, Page 1 of 17

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Table of Contents

Authors

This request for applications was prepared by:

[Name of Project} [Address of Project] This document is protected under the copyright laws of the United States and other countries as an unpublished work. This document contains information that is proprietary and confidential to Deloitte Consulting Overseas Projects, or its technical alliance partners, which shall not be disclosed outside or duplicated, used, or disclosed in whole or in part for any purpose other than to evaluate Deloitte Consulting LLP or any Deloitte Touche Tohmatsu member firms. Any use or disclosure in whole or in part of this information without the express written permission of Deloitte is prohibited.

© Deloitte Touche Tohmatsu (Unpublished). All rights reserved.

1 SUMMARY ................................................................................................................................................. 3 1.1 [NAME OF PROJECT] PROJECT ................................................................................................................... 3 1.2 REQUEST FOR APPLICATIONS (RFA) SUMMARY ................................................................................................. 4

2 INSTRUCTIONS FOR APPLICANTS ................................................................................................................. 5 2.1 GENERAL ................................................................................................................................................... 5 2.2 RFA CONTACT INFORMATION ........................................................................................................................ 5 2.3 QUESTIONS AND CLARIFICATIONS ................................................................................................................... 5 2.4 APPLICATIONS DUE DATE AND TIME ............................................................................................................... 5 2.5 APPLICATION DELIVERY ADDRESS ................................................................................................................... 6 2.6 TYPE OF AWARD ......................................................................................................................................... 6 2.7 SUBMISSION REQUIREMENTS ......................................................................................................................... 6 2.7 ELIGIBILITY ................................................................................................................................................. 6 2.8 APPLICATION CONDITIONS PRECEDENT ............................................................................................................ 6 2.9 LATE APPLICATIONS ..................................................................................................................................... 7 2.10 MODIFICATION/WITHDRAWAL OF APPLICATIONS .......................................................................................... 7 2.11 DISPOSITION OF APPLICATIONS .................................................................................................................. 7

3 STATEMENT OF WORK ............................................................................................................................... 8 3.1 BACKGROUND ............................................................................................................................................ 8 3.2 PROGRAM DESIGN .................................................................................................................................... 11 3.3 TARGET POPULATIONS ............................................................................................................................... 12 3.4 EXPECTED RESULTS .................................................................................................................................... 12

4 TECHNICAL APPLICATION CONTENTS ....................................................................................................... 13 5 BUDGET CONTENTS ................................................................................................................................. 15 6 EVALUATION ........................................................................................................................................... 16

TECHNICAL ........................................................................................................................................................... 16 BUDGET .............................................................................................................................................................. 16

7 REFERENCES, TERMS & CONDITIONS ....................................................................................................... 17 7.1 REFERENCES ............................................................................................................................................. 17 7.2 TERMS AND CONDITIONS ............................................................................................................................ 17


USAID Grants Manual


1.1 [Name of Project] Project Example:

“The Enhancing Nigerian Capacity for AIDS Prevention Project (known as [NAME OF PROJECT]) is funded by United States Agency for International Development (USAID) Mission to Nigeria and is part of its overall economic cooperation with the Government of the Republic of Nigeria. The Project is a broad HIV prevention initiative focusing on building the capacity of local organizations and is being implemented under a contract between USAID and Deloitte Consulting LLP.

The goal of the [NAME OF PROJECT] Project is to facilitate the adoption of behaviors that will decrease HIV transmission in Bayelsa, Rivers, Benue, Taraba, and Ebonyi states and the Federal Capital Territory (FCT). The project will achieve two results over a five year period: (1) increased number of young adults given the minimum HIV prevention package; and (2) increased local capacity to implement, monitor and evaluate prevention programs, including abstinence, be faithful, and other prevention programs.

In order to achieve project goals and results, [NAME OF PROJECT] is working intensely over the five year project period to build the HIV programming and operational capacity of our local partners. Capacity will be built through multiple mechanisms, including direct technical assistance to local organizations and government agencies and grants to qualified [NAME OF PROJECT] Partners.

The [NAME OF PROJECT] Grants Program will be a mechanism to build capacity of local organizations, and to deliver HIV prevention services to key populations in the 5 states and FCT. The Grants Program will be implemented in a way that simultaneously builds the organizational and technical capacity of the grantee organizations. Over the life of the project, [NAME OF PROJECT] will release RFAs for three distinct grant areas under this project (see Table 1). Each RFA will be released separately. This particular RFA is focused on the HIV Prevention Program Scale Up (see Section 3: Statement of Work and Section 4: Technical Proposal)."

Table 1: The [NAME OF PROJECT] Project will release RFAs in 3 Grant Areas

[NAME OF PROJECT] Grant Area Description

HIV Prevention Program Scale Up

[NAME OF PROJECT] partners can apply for a grant to quickly scale up existing services to meet underserved populations in their catchment areas.

[NAME OF PROJECT] Partner Capacity Building

[NAME OF PROJECT] partners can apply for a grant to build the operational capacity of the organization. This grant will fund activities such as: 1) procuring office equipment to support program implementation; 2) accessing consultants to support discrete activities (e.g. developing a strategic plan); 3) hosting capacity building activities; 4) attending USAID-funded technical meetings and events in Nigeria; 5) providing mentoring to other organizations; and implementing other capacity building events tied to the organizational capacity assessments that [NAME OF PROJECT] conducted with each organization.

HIV Prevention Programs

[NAME OF PROJECT] Partners can apply for a grant to deliver HIV prevention services in new or existing programmatic areas in line with the National Prevention Plan

1 SUMMARY


USAID Grants Manual


1.2 [Name of Project] RFA Summary: Scope of Work: This solicitation requests applications from eligible [Name of Project] Partners to implement [goals of project].

Applicants must be able to demonstrate “additionality” of the proposed program. Additionality is defined as a rapid scale-up or expansion of an existing program that will require minimal overhead and operational costs.

Period of Performance: The period of performance for the grants is X year(s) [From: To: ]. The application work plan and budget should reflect the X year(s) period of performance. There may be an opportunity for continued funding for organizations that submit their deliverables on time, achieve at least 75% of their targets, and can continue to fill a gap in programming.

Project Targets: [Describe Targets]

Applicants who propose to reach higher targets and demonstrate in their proposals the ability to do so may receive a higher score in the evaluation process.

Proposal Evaluation: All applications will be reviewed by a Grant Review Panel. Upon receipt of the completed application materials, an Official Grant Review Panel will review all eligible applications against the evaluation criteria described in Section 14. Applications achieving a minimum score of 80 points will be selected for development. In the event that not enough organizations meet this minimum score, the project will consider the top highest scoring organizations for funding. Applicants not selected for award will be notified by the project in writing.

Funding Range: Subject to the availability of funds, Deloitte intends to award up to [number of awards] grants, ranging from [Lowest Grant Funding to Highest Grant Funding] per award. Funding for these grants will be subject to donor approval, availability of funds and demonstrated successful past performance. Funding will be disbursed to the grantees in [Name of Country].

Submission Deadlines: Applications are due on [Date]. Questions should be received by [Date], responses to questions will be provided by [Date].

This RFA contains four Attachments:

Attachment 1: Project Work plan Template

Attachment 2: Project M&E Plan Template

Attachment 3: Budget Template

Attachment 4: Budget Notes Template


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2 INSTRUCTIONS FOR APPLICANTS

2.1 General

• Entities invited to submit an application are under no obligation to do so. • Applicants will not be reimbursed by [Name of Project] for any costs incurred in connection with

the preparation and submission of their applications. • Applicants may submit only one application under this RFA. • For the purposes of interpretation of these Instructions to Applicants, the periods named herein

shall be consecutive calendar days. • [Name of Project] reserves the right to conduct discussions once a successful application is

identified, or to make an award without conducting discussions based solely on the written applications if it decides it is in its best interest to do so.

• [Name of Project] reserves the right not to make any award. • These Instructions to Applicants will not form part of the offer or Grant Award. They are intended

solely to aid Applicants in the preparation of their applications. 2.2 RFA Contact Information [Name of Project] Office Attention: [Name of Grants Manager] Address: Tel: Email: 2.3 Questions and Clarifications

• Method: Only written questions and requests for clarification will receive a response. Send questions about this RFA by email to the RFA Contact noted above.

• Date for receipt: All questions and requests for clarification must be received by close of business (COB) [Date] to the email address noted above. Only questions received by this date will receive a response.

• Responses: By [Date] we anticipate providing responses to the requests for clarifications. All responses will be emailed to all applicants.

2.4 Applications Due Date and Time Closing Date: Closing Time: 1500 hours (3pm) [Name of Country] time


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2.5 Application Delivery Address Proposal packages should be sent electronically to all the email addresses listed below:

[Name], Grants and Finance Officer: [email@ddress] [Name], Office Manager: [email@ddress]

All electronic file names should include the organization’s name and the title of the document. Applicants should retain copies for their records, as all applications received will not be returned. Project staff will confirm receipt of proposals via email. 2.6 Type of Award Deloitte anticipates the award of [Number of Grant] [Kind of Grants]. 2.7 Submission Requirements

• Language: The application and all associated correspondence must be in English. Any award document resulting from this request will be in English.

• Currency: The cost must be presented in [Country Currency]. • Method: Electronic copy • Marking: [Organization Name] RFA # • Authorized Signer: Application must be signed by a person duly authorized to submit an

Application on behalf of the Applicant and to bind the Applicant to the Application. • Authorized Personnel. Provide name, title, email, and telephone number of the person or

persons in the entity who are authorized to discuss and accept a grant, if awarded.

2.7 Eligibility To be eligible to apply for and receive funding under an [Name of Project] Grant Award, the [NAME OF PROJECT] Partner must meet the following criteria:

• Be an [NAME OF PROJECT] Partner; • Have completed a capacity assessment with [NAME OF PROJECT] and be able to demonstrate

active implementation of its capacity building action plan (e.g. have achieved all scheduled outputs on time).

• Currently manage an annual budget of at least [Amount in local currency] • Currently implement programs with similar activities

• Have SAM and DUNS registration and a DUNS number for grants. ([NAME OF PROJECT] Partners can apply on http://fedgov.dnb.com/webform)

2.8 Application Conditions Precedent All applications for grants under the [NAME OF PROJECT] must be submitted in the specified format (see Section 4: Technical Application Content and Section 5: Budget Content). Any application submitted in any other format will not be considered. The applicant must also include other supporting documentation (board resolution, articles of incorporation, etc.) as may be necessary to clearly demonstrate that it meets the following conditions precedent to Application Evaluation:


http://fedgov.dnb.com/webform

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• that the Applicant organization is an eligible organization legally constituted under [Country] law or is in the process of obtaining such legal status through formal registration;

• that the Applicant organization has the managerial commitment, as evidenced by written board of directors resolutions, strategic plans (overall long-range plan for beneficiary’s organization) or other documentation, indicating that it is, or will be, implementing the objectives referred above;

• that the Beneficiary organization has no advances from USAID or a USAID contractor which have been outstanding and unliquidated for longer than 90 days, and that the Beneficiary organization has no grant completion report required under a grant from USAID or a USAID contractor which is more than 30 days past due.

• that at the time of application there exists no condition within the Applicant organization or with respect to the Applicant organization’s management which renders the organization ineligible for a grant directly or indirectly funded by USAID.

2.9 Late Applications Applicants are wholly responsible for ensuring that their applications are received in accordance with the instructions stated herein. A late application will not be eligible for consideration and will be rejected without evaluation, even if it was late as a result of circumstances beyond the Applicant’s control. A late application will be considered only if the sole cause of its becoming late was attributable to [NAME OF PROJECT], Deloitte Consulting, its employees or agents. 2.10 Modification/Withdrawal of Applications Any Applicant has the right to withdraw, modify or correct its offer after such time as it has been delivered to [NAME OF PROJECT] Project provided that the request is made before the offer closing date. 2.11 Disposition of Applications Applications submitted in response to this RFA will not be returned.


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3 STATEMENT OF WORK

3.1 Background [Describe the Purpose of the project]

3.2 [Grant program] Design This solicitation requests applications from eligible [NAME OF PROJECT] Partners to implement [Grant program]. Applications for services to be delivered in areas other than these will not be considered. The specific focus of this RFA is for [Explanation] programs to reach underserved target groups. Applicants must be able to demonstrate “additionality” of the proposed program. Additionality is defined as a rapid scale-up or expansion of an existing program that will require minimal overhead and operational costs. Applicants should be able to demonstrate how the proposed project is an additional component of or expansion of an existing project, and will be able to rapidly achieve expected targets. Programs should aim to [Explain aims].

3.3 Target Populations [Describe Target Populations – if applicable]

3.4 Expected Results [Describe Expected Results]


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4 TECHNICAL APPLICATION CONTENTS

All complete applications received by the deadline will be reviewed for responsiveness to the specifications outlined in the guidelines. [NAME OF PROJECT] may reject applications that are:

• Incomplete; • Do not respond to the scope of work in the solicitation; • Do not comply with the format requirements; or • Are submitted after the deadline.

Applicants responding to this request should adhere to the following guidelines:

• Written in English • Formatting requirements:

o A4 paper o 1 inch (2.54 cm) margins on all sides o Single-spaced o Times New Roman Font – 12 point

• Include all of the components listed in the section below, in the order specified • Maximum of 10 pages for the technical proposal (cover page and annexes do not count towards

the 10 page limit)

The Application in response to this solicitation should be organized as follows:

A. Cover Page Include all of the following information:

• Name, address, phone/fax number, and email of the organization • Title of proposed project • Name of contact person • Duration of project • Date submitted

B. Applicant Data (see Attachment 1) C. Technical Proposal (10 pages maximum)

Sections of the proposal should use the headings italicized below, in order.

1. Statement of Need

Describe the context of the situation in which the project will be implemented. Explain the need for the project, using evidence and data to support your justification.

2. Project Goal, Objectives, and Geographic Focus


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Describe the project goal and objectives. Be sure that objectives as SMART (specific, measurable, achievable, time-bound, and realistic). Indicate the performance targets and other results that will be reached over the life of the project. Specify the LGAs and communities where the proposed project activities will take place. The organization must demonstrate its ability to effectively implement services in the target area (e.g. it is already working in that area or has strong relationships and can quickly expand services to that area). Applicant must be able to demonstrate “additionality” of the proposed program. Additionality is defined as a rapid scale-up or expansion of an existing program that will require minimal overhead and operational costs.

3. Technical Strategies

Describe technical and strategic approaches that the project will use to implement the project interventions. Identify best practices and evidence base/rationale that have informed the project interventions. Demonstrate that strategy is in line with the Projects Goals.

4. Project Activities

Describe the specific activities that will be implemented in order to achieve project objectives, providing details on activities to be implemented by target population. Include a project work plan (as an Annex) to indicate when activities will be implemented.

5. Coordination & Collaboration

Indicate how the project will be coordinated with other projects in the target area. List other organizations/government agencies, and other stakeholder groups that your organization will work with to implement the project. Describe how the project will be integrated into other programs/services your organization already offers.

6. Monitoring & Evaluation Plan

Describe how the project will be monitored and evaluated. Describe how the organization will use monitoring data to guide programming decisions and interventions. Include a Performance Monitoring/M&E Plan (as an Annex) with clear performance targets and indicators to measure progress, including action items from your organization’s Capacity Building Action Plan, along with specific targets/outputs for each action step.

7. Management Plan

Describe how the project will be managed, including the staff positions that will implement the project and the staff person responsible for managing the project on a day-to-day basis. Describe systems that exist or will be put in place to enable the organization to effectively manage the project. Include an organogram and a table of positions and responsibilities (as an Annex).

Indicate who will liaise with the [NAME OF PROJECT]. Summarize the key areas of capacity building your organization has prioritized in your Capacity Building Action Plan. Describe how your organization will successfully implement this grant without compromising its ability to implement its Capacity Building Action Plan and manage expected changes within the organization. Describe activities outlined in your capacity building action plan that you have already begun implementing.

8. Organizational Capacity

Describe the organization’s experience implementing similar programs. Describe the organization’s relationships with the target populations it serves and demonstrated commitment to working closely with the target population to implement project activities.


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Annexes (no page limit)

Include the following items as Annexes to the technical proposal:

A. Project Organogram/staffing table of responsibilities B. CV of Key personnel and technical positions proposed individuals (max 2 pages) C. Project Work plan (see attached template: Attachment 2) D. M&E Performance Monitoring Plan (see attached template: Attachment 3)


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5 BUDGET CONTENTS

The Applicant must:

• Include a detailed and realistic budget using the template provided (see Attachment 4). The budgets must be prepared in local currency and should be based on activities described in the application. Budgets should not include costs that cannot be directly attributed to the activities proposed.

• Include detailed budget notes following the format of the template provided (see Attachment 5). Supporting documentation to support cost data will be required prior to award of grants. However, these documents will not be required at the time of application submission.

All bidders must have the financial and administrative systems to adequately account for the grant funds as detailed in the extensive attachments and referenced US Government websites.

Taxes

The prices proposed by the Applicant shall be considered to include all applicable taxes and duties. Under the terms of the Bilateral Agreement between the Government of the United States and the Government of the [Name of Country], the awardees, as grantees to the USAID-funded [NAME OF PROJEC, are exempt [Verify!]from any consular or legalization fees, inspection or validation charges, and any taxes, tariffs, duties or other levies imposed by laws in effect in [Name of Country]. Accordingly no such fees, charges, tariffs, duties or levies will be paid under any Grants awarded from this RFA.


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6 EVALUATION

[NAME OF PROJECT] intends to award grants resulting from this solicitation to the responsible Grantees who’s Application conforms to the solicitation and represents best value solutions after evaluation in accordance with the criteria/factors listed here.

The evaluation criteria below are presented by major category so that Applicants will know which areas require emphasis in the preparation of Applications.

Application Evaluation Criteria Points

Statement of Need 5

Project Goal, Objectives, and Geographic Focus 15

Technical Strategies 10

Project Activities 20

Coordination and Collaboration 10

Monitoring and Evaluation Plan 10

Management Plan 20

Organizational Capacity 10

Budget, Budget Notes and Cost Reasonableness 20

Total points 120

Technical

[NAME OF PROJECT] will evaluate each technical approach quantitatively based upon the evaluation factors set forth above. A technical proposal can be categorized as unacceptable when it is incomplete, does not respond to the scope, does not comply with the format requirements or is submitted after the deadline.

Budget

The proposed budget will be analyzed as part of the Application evaluation process. Applicants should note that Budgets must be sufficiently detailed to demonstrate reasonableness and completeness, and that Applications including budget information determined to be unreasonable, incomplete, or based on a methodology that is not adequately supported may be judged unacceptable.

1) Reasonableness. [NAME OF PROJECT] will make a determination of reasonableness based on [NAME

OF PROJECT]’s experience for similar items or services, what is available in the marketplace, and/or other competitive offers.

2) Completeness. A detailed line item budget, budget notes, assumptions, and schedules that clearly explain how the estimated amounts were derived must adequately support the Applicant’s budget. [NAME OF PROJECT] may request additional supporting information to the extent necessary to determine whether the costs are fair and reasonable.


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7 REFERENCES, TERMS & CONDITIONS

7.1 References The US Government regulations that govern this grant as found at the following website:

http://www.usaid.gov/sites/default/files/documents/1868/303.pdf

Required provisions for Simplified and Standard Grants

http://www.usaid.gov/ads/policy/300/303mab

Required Provisions for a Fixed Amount Awards to Nongovernmental Organizations

(1) Mandatory Provisions from https://www.usaid.gov/ads/policy/300/303mat

(2) Include ONLY the applicable “Required, As Applicable” provisions from https://www.usaid.gov/ads/policy/300/303mat

7.2 Terms and Conditions • Issuing this RFA is not a guarantee that a grant will be awarded. • Deloitte reserves the right to issue a grant based on the initial evaluation of offers without

discussion. • Deloitte may choose to award a grant for part of the activities in the RFA. • Deloitte may choose to award a grant to more than one recipient for specific parts of the activities in

the RFA. • Deloitte may request from short-listed grant a second or third round of either oral presentation or

written response to a more specific and detailed scope of work that is based on a general scope of work in the original RFA.

• Deloitte has the right to rescind an RFA, or rescind an award prior to the signing of a contract due to any unforeseen changes in the direction of Deloitte's client (the US Government), be it funding or programmatic.

• Deloitte reserves the right to waive any deviations by organizations from the requirements of this solicitation that in Deloitte's opinion are considered not to be material defects requiring rejection or disqualification; or where such a waiver will promote increased competition.

Grant Agreement

A grant agreement will include the approved project description, approved budget, payment terms, reporting requirements and relevant provisions. Once executed it is a legally binding agreement between Deloitte (on behalf of the [NAME OF PROJECT] project) and the recipient organization. Once the grant


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agreement is signed, it cannot be modified without prior written approval from Deloitte (on behalf of the [NAME OF PROJECT] project).

Grant Disbursement and Financial Management

Recipients of grant funds will need to open a separate bank account before any funds are transferred from Deloitte. The grants will be disbursed in Local Currency and transferred only through bank transactions.

Reporting

The grant agreement will detail the reporting requirements. Recipients must be willing to adhere to the reporting schedule and requirements for both programming activities and financial monitoring.

Monitoring

[NAME OF PROJECT] staff will monitor programmatic performance. Deloitte and USAID reserve the right to review finances, expenditures and any relevant documents at any time during the project period and for three years after the completion of the project and closeout. All original receipts must be kept for three years after the formal closeout has been completed.

Late Submissions, Modifications and Withdrawals of Applications

At the discretion of Deloitte, any application received after the exact date and time specified for the receipt may not be considered unless it is received before award is made and it was determined by Deloitte that the late receipt was due solely to mishandling by Deloitte after receipt at its offices. Applications may be withdrawn by written notice via email received at any time before award. Applications may be withdrawn in person by a vendor or his authorized representative, if the representative’s identity is made known and the representative signs a receipt for the application before award. False Statements in Offer

Vendors must provide full, accurate and complete information as required by this solicitation and its attachments.

Certification of Independent Price Determination

(a) The offeror certifies that--

(1) The prices in this offer have been arrived at independently, without, for the purpose of restricting competition, any consultation, communication, or agreement with any other offeror, including but not limited to subsidiaries or other entities in which offeror has any ownership or other interests, or any competitor relating to (i) those prices, (ii) the intention to submit an offer, or (iii) the methods or factors used to calculate the prices offered;

(2) The prices in this offer have not been and will not be knowingly disclosed by the offeror, directly or indirectly, to any other offeror, including but not limited to subsidiaries or other entities in which offeror has any ownership or other interests, or any competitor before bid opening (in the case of a sealed bid solicitation) or contract award (in the case of a negotiated or competitive solicitation) unless otherwise required by law; and


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(3) No attempt has been made or will be made by the offeror to induce any other concern or individual to submit or not to submit an offer for the purpose of restricting competition or influencing the competitive environment.

(b) Each signature on the offer is considered to be a certification by the signatory that the signatory--

(1) Is the person in the offeror's organization responsible for determining the prices being offered in this bid or application, and that the signatory has not participated and will not participate in any action contrary to subparagraphs (a)(1) through (a)(3) above; or

(2) (i) Has been authorized, in writing, to act as agent for the principals of the offeror in certifying that those principals have not participated, and will not participate in any action contrary to subparagraphs (a)(1) through (a)(3) above; (ii) As an authorized agent, does certify that the principals of the offeror have not participated, and will not participate, in any action contrary to subparagraphs (a)(1) through (a)(3) above; and (iii) As an agent, has not personally participated, and will not participate, in any action contrary to subparagraphs (a)(1) through (a)(3) above.

(c) Offeror understands and agrees that --

(1) violation of this certification will result in immediate disqualification from this solicitation without recourse and may result in disqualification from future solicitations; and

(2) discovery of any violation after award to the offeror will result in the termination of the award for default.

Standard Provisions

Deloitte is required to respect the provisions of the United States Foreign Assistance Act and other United States laws and regulations. The [NAME OF PROJECT] Grant Program will be administered according to Deloitte’s policies and procedures as well as USAID’s regulations for non-U.S. non-governmental recipients. These include:

1. Indirect rates Indirect rates such as fringe, overhead, and general and administrative (G&A) that have not been approved by a U.S. Government agency in a NICRA (Negotiated Indirect Cost Rate Agreement) may not be charged to this award. All costs charged to the project shall be directly related to the project’s implementation. For additional information, please see

www.usaid.gov/procurement_bus_opp/procurement/cib/pdf/cib92_17.pdf.

2. Activities that will not be considered for funding In keeping with the conditions above, programs that fall within the following categories or indicate they might participate in any one of the following shall be automatically disqualified:

• Activities related to the promotion of specific political parties. • Reconstruction or building rehabilitation projects that are not accompanied by plans for

wide community use and maintenance. • Distribution of emergency/humanitarian assistance or funds. • Religious events or activities that promote a particular faith. • For-profit business activities that benefit a small select group, rather than providing

increased opportunities to the larger community. • Unrelated operational expenses.


http://www.usaid.gov/procurement_bus_opp/procurement/cib/pdf/cib92_17.pdf

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3. Prohibited Goods and Services Under no circumstances shall the recipient procure any of the following under this award, as these items are excluded by the Foreign Assistance Act and other legislation which govern USAID funding. Programs which are found to transact in any of these shall be disqualified:

• military equipment; • surveillance equipment; • commodities and services for support of police or other law enforcement activities; • abortion equipment and services; • luxury goods and gambling equipment; and • weather modification equipment.

4. Restricted Goods The following costs are restricted by USAID and require prior approval from Deloitte and USAID:

• agricultural commodities; • motor vehicles; • pharmaceuticals; • pesticides; • fertilizer; • used equipment; and • U.S. Government-owned excess property

5. Certifications for Non-US Non-Governmental Recipients The following Standard Grant & Subcontractor Certifications are required by Deloitte and USAID:

• Assurance of Compliance with Laws and Regulations Governing Nondiscrimination in Federally Assisted Programs (This assurance applies to Non-U.S. organizations, if any part of the program will be undertaken in the U.S.);

• Certification Regarding Lobbying (22 CFR 227); • Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS

206, Prohibition of Assistance to Drug Traffickers); • Certification Regarding Terrorist Financing; and • Certification of Recipient • Compliance with Anticorruption Laws


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2.4 Guidance for Evaluation Committee Members

Guidance for Evaluation Committee Members As a member of an RFP or Grant Application Evaluation Committee, or as an advisor to the RFP Committee, you are required to indicate that you understand the importance of remaining free from any conflicts of interest and of keeping evaluation information confidential. Unauthorized sharing of information may have the result of giving an offeror or applicant an unfair advantage over another offeror or applicant and thereby render the process invalid. Any persons who divulge such information may be subject to disciplinary action. Conflict of Interest Statement To ensure a fair procurement process and to guard against protest by unsuccessful proposers, evaluators must carefully evaluate their individual positions with regard to possible conflict of interest. They must certify that they are not aware of any issue which would reduce their ability to participate on the evaluation team in an unbiased and objective matter, or which would place them in a position of real conflict of interest or appearance of conflict of interest between their responsibilities as a member of the evaluation team and other interests. They must consider all financial interests and employment arrangements (past, present, or under consideration.) Conflict of Interest includes any relationships or any biases that the evaluator or any member of his/her family may have with organizations who may submit a proposal. Confidentiality Statement To protect the transparency of the evaluation process, the evaluation committee member will be asked to certify that he/she will not disclose any information about the evaluation of this RFP or grant application during the proceedings of the evaluation process or at any subsequent time, to anyone who is not also authorized access to the information by law or regulation. This includes any information pertaining to any and all aspects of the RFP or grant (which has not already been made available to the public or all interested offerors) including but not limited to: the contents of offerors' proposals/application, the scoring method, points allotted, evaluator scores, costs, or any other confidential information regarding the procurement and award process.

Guidance for Evaluation Committee Members, Page 1 of 1

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2.5 Section Panel Certifications

[Name of Project]

[Name of Grant]

Evaluation Committee Member Confidentiality Certification

For the files:

I acknowledge that I have read the [Name of Grant] Grant RFA and am aware of the requirements of the RFP.

I attest that I will keep all information regarding the grant selection process for this RFP confidential.

I will keep safe and secure (out of sight of others) all written information provided to me during the [Name of Grant] Grant selection process. I will not release or talk about any related information with regards to the selection process with others outside the Selection Panel members (applicant program and budget information, discussions of scoring, selection of grantees, etc.);

I will hold in confidence all NGO information (organizational and financial), program information, application information, panel discussions, issues identified for negotiation, and information discussed at other interfaces. I will not disclose any of this information to any unauthorized parties.

An unauthorized party is defined as anyone outside of the [Name of Grant] Grant selection program team or the [Name of Grant] Grant Selection Panel during the Final Deliberation Meetings.

CERTIFICATION:

Name:

Title:

Organization:

Signature:

Date:

Section Panel Certifications, Page 1 of 2

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[Name of Project]

[Name of Grant]

Evaluation Committee Member Conflict of Interest Certification

For the files:

As a participant in the [Name of Grant] Grant selection process, I shall NOT participate in the selection, award, or administration of an agreement supported by US Federal funds if a real conflict of interest or appearance of conflict of interest would be involved.

A conflict of interest would arise if:

I or my spouse, minor child, or partner have a financial interest; I am an officer, director, trustee, owner, partner, expert consultant, advisor, (with or without compensation) or employee or otherwise similarly associated with the applicant organization, its parent organization, or proposed grantee; there exists any arrangement concerning my past/prospective employment, financial interest, or other similar association with the applicant organization.

If, for any reason, I cannot review the proposal in an unbiased, objective and independent manner, I will notify the Chairperson of the Selection Panel (or designate) and excuse myself.

I shall neither solicit nor accept gratuities, favors, or anything of monetary value from an applicant organization, or any partner or collaborator of the applicant organization at any time prior to, during, or after the application phase or award of grants.

I will also avoid any actions that might give the appearance that a conflict of interest exists or could reasonably be viewed as affecting my objectivity.

CERTIFICATION:

Name:

Title:

Organization:

Signature:

Date:

Section Panel Certifications, Page 2 of 2

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2.6 Concept Paper Individual Evaluation Scoring Sheet

TEMPLATE: Concept Paper Individual Evaluation Scoring Sheet

Application Number: ABC-EFG-KLM-XYD

* replace with appropriate project specific criteria Application recommended for further review: Yes/No______________ If no, should the applicant be encouraged to resubmit: Yes/No______________ Proceed with full proposal _______ Not selected for funding ________ By affixing my signature below, I hereby certify that I have neither real conflict of interest nor appearance of conflict of interest concerning this grant application, the applicant organization, or any other consultant of business that may be involved in the referenced project.

Evaluators Name: Signature: Date:

Grants Technical Representative Signature: Date:

Score Comments

Technical Approach (50 points)

Clearly defined problem statement? (10 pts)

Goals clearly defined? (10 pts)

Viability of the Approach? The degree to which the proposed technical approach can reasonably be expected to produce the intended outcomes, achieve the expected results, and contribute to the Program goals under the project. (15 pts)

The likelihood of the proposed project to make a significant contribution in scaling up Program activities and goals. (15 pts)

Sustainability (15 points)

Sustainability of project results? (10 pts)

Anticipated impact on the beneficiaries? (5 pts)

Past Performance/Organizational Capacity (30 points)

Past performance in similar projects? (5 pts)

Relevant staff skills to the proposed project (5 pts)

Experience in geographic region? (5 pts)

Written accounting and procurement procedures? (5 pts)

Capacity to adhere to Deloitte financial guidelines? (10 pts)

Gender Considerations* (5 points) (if gender component)

Focus on women’s issues (5 pts)

Impact on women’s issues (5 pts)

70 points required to proceed with full proposal. Total Score _________

Concept Paper Individual Evaluation Scoring Sheet, Page 1 of 1

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2.7 Grant Application Evaluation Scoring Sheet

[Name of Project]

[Name of Grant]

Grant Application Evaluation Scoring Sheet

Instructions:

For each criterion, please circle the score that best represents the quality of the proposal and then write the score for each question in the column at the right. A comment box below each question has been included after each category to justify your proposed score.

Please write the name of the organization on the top of each page, as well as name of the reviewer.

Following is the breakdown of the total points:

Overview of Application Evaluation Criteria Points

Statement of Need 5

Project Goal, Objectives, and Geographic Focus 15

Technical Strategies 10

Project Activities 20

Coordination and Collaboration 10

Monitoring and Evaluation Plan 10

Management Plan 20

Organizational Capacity 10

Budget, Budget Notes and Cost Reasonableness 20

Total points 120

Grant Application Evaluation Scoring Sheet, Page 1 of 5

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Application Evaluation Criteria

Statement of Need (5 pts)

Criteria Not At All Poor/ Weak

Fair/ Average Good Very Good Excellent Score

Is the statement of need well-explained using evidence and data? 0 1 2 3 4 5

Comments:

Project Goal, Objectives, and Geographic Focus (15 pts)



Are the project goal and objectives specific, measurable, achievable, time-bound, and realistic?

0 1 2 3 4 5

Are performance targets and other results that will be reached over the life of the project clearly indicated?

0 1 2 3 4 5

Does the organization specify LGAs and communities where the proposed activities will take place show its ability to implement in those areas and demonstrate additionality?

0 1 2 3 4 5

Comments:

Technical Strategies (10 pts)



Are technical and strategic approaches well described and informed by best practices and evidence base/rationale?

0 1 2 3 4 5

Does the organization demonstrate that their strategies are in line with the Program Goals?

0 1 2 3 4 5

Comments:


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Project Activities (20 pts)



Are project activities clearly described? 0 1 2 3 4 5

Are the project activities tailored to each of the target populations proposed to be reached?

0 1 2 3 4 5

Is it clear how the specified activities would contribute to project objectives? 0 1 2 3 4 5

Does the work plan provide a logical and realistic timeline for all activities? 0 1 2 3 4 5

Comments:

Coordination and Collaboration (10 pts)



Does the organization clearly describe how the project will be coordinated with other similar projects and partners in the target area (including examples of partners)?

0 1 2 3 4 5

Does the organization adequately describe how the project would be integrated into other programs or services it already offers?

0 1 2 3 4 5

Comments:

Monitoring and Evaluation Plan (10 pts)

Criteria Not At All Poor/ Weak Fair/ Average Good Very Good/ Excellent

Score

Does the organization adequately describe how the project will be monitored and evaluated?

0 1 2 3 4

Does the organization adequately describe how monitoring data will be used to guide programming decisions and interventions?

0 1 2 3 4

Criteria Not At All Poor/ Weak Fair/ Average Good Very Good/ Excellent


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Does the Performance Monitoring/M&E Plan (in the annexes) include performance targets and indicators to measure progress, including action items from the organization’s Capacity Building Action Plan, along with specific targets/outputs for each action step?

0 1 2 3 4

Comments:

Management Plan (20 pts)


Fair/ Average Good Very Good/

Excellent Score

Does the organization adequately describe how the project will be managed, including the staff persons that will implement the project and the staff person responsible for managing the project on a day-to-day basis?

0 1 2 3 4

Does the organization describe systems that exist or will be put in place to enable it to effectively manage the project?

0 1 2 3 4

Criteria No Yes Has an organogram and table of positions and responsibilities been added to the

annex? 0 1

Does the organization indicate who will liaise with the [Name of Project] Project? 0 1


Fair/ Average Good Very Good Excellent

Does the organization adequately summarize key areas of capacity building that they have prioritized in the Capacity Building Action Plan?

0 1 2 3 4 5

Does the organization describe activities outlined in their Capacity Building Action Plan that it has already begun implementing?

0 1 2 3 4 5

Comments:


USAID Grants Manual


Organizational Capacity (10 pts)



Does the organization adequately describe its experience implementing similar programs?

0 1 2 3 4 5

Does the organization describe its relationships with the target audience it serves and show a demonstrated commitment to working closely with the target audience to implement project activities?

0 1 2 3 4 5

Comments:

Budget (20 pts)



Does the budget clearly align with the activities proposed? 0 1 2 3 4 5

Do budgeted amounts seem fair and reasonable? 0 1 2 3 4 5

Are the funds focused on activity implementation, rather than overhead and administrative costs?

0 1 2 3 4 5

Is the budget adequately supported by a detailed line item budget, budget notes, assumptions, and schedules that explain how the estimated amounts were derived?

0 1 2 3 4 5

Comments:

TOTAL SCORE


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USAID Grants Manual


2.8 Application Consolidated Evaluations Scorecard Template

TEMPLATE: Consolidated Grant Application Evaluations Scorecard

DATE IN:

[Name of Project] Technical Evaluation Committee (TEC) Form APPLICATION ID NUMBER:

_____ _____ _____ _____ _____

TEC Members Name Name Name

Subject Matter Expert Gender Coordinator (if applicable)

Component Lead Finance, Procurement Officer

Overview of Application Evaluation Criteria 1st Reviewer 2nd Reviewer

3rd Reviewer

4th Reviewer

5th Reviewer Total Score

Statement of Need

Project Goal, Objectives, and Geographic Focus

Technical Strategies

Project Activities

Coordination and Collaboration

Monitoring and Evaluation Plan

Management Plan

Organizational Capacity

Budget, Budget Notes and Cost Reasonableness

Total points 120

Total Points =

Proceed to Pre-Award Survey?

Not selected for funding?

Application Consolidated Evaluations Scorecard Template, Page 1 of 2

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By affixing my signature below, I hereby certify that I have no real or apparent conflict of interest concerning this application, the applicant organization, or any other consultant of business that may be involved in the referenced project.

TEC Members Name Date Signature

Application Consolidated Evaluations Scorecard Template, Page 2 of 2

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2.9 Small Grant & Mini-Grant Evaluation Score Sheet

Grant Number:

Applicant Organization:

Grant Name:

After the initial Application review the Advisors shall evaluate the Application against the following criteria (circle Yes or No as appropriate): [Note: criteria may be changes to reflect the specifics of the project and address requirement for small and mini grants]

1. Does the proposed association have the organizational capability to successfully implement the activity(ies) specified in the Application?

-Yes No 2. Does the proposed association have the financial accounting system to adequately account (as per

USAID regulations) for the funds that would be provided via the grant? -Yes No

3. Is the purpose of the activity(ies) specified in the Application consistent with the Program objectives? -Yes No

4. Does the activity specified in the Application fit with current Component activities in support of advocacy, policy analysis, public awareness or membership service development

-Yes No

5. Is the activity(ies) specified in the Application eligible for funding under the grant Mini-Grant Program? -Yes No

6. Is the proposed association contributing greater than 10% [change % as appropriate] of the overall

activity’s cost by way of cash or an in-kind contribution? -Yes No

Any Small Grant or Mini-Grant Application scoring YES on all six of the above-mentioned criteria may be recommended for approval to the Grants Evaluation Committee by the GEC members.

GEC Member [name] _____________________ GEC Member [name] __________________________

Grants Manager ____________________________

This form will be electronic and be printed for signature from the system after the scoring has been entered. The input would also generate the Grant Funding Approval Sheet, Appendix 2.13, for use in the GEC meeting considering grant approval/non-approval.

Small Grant & Mini Grant Evaluation Score Sheet Page 1 of 1

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2.10. Concept Paper Acceptance/Non Acceptance Letter

(PROJECT Letterhead)

Date (date of letter)

Mr./Ms. (Name of Applicant’s contact person)

(Name of Applicant Organization)

(Address of Applicant Organization)

Dear Mr./Ms. (family name of Applicant contract person):

This letter is in response to the Concept paper you submitted to the XXXX Project on _______ requesting consideration for grant funding.

We hereby inform you that your concept for support of your organizational development program:

has been accepted. <<You are hereby requested to submit a full application for grant funding using the attached form.>>

has not been accepted because it does not meet the Project objectives. If you wish to resubmit your concept, please see the attached comments.

Thank you for your interest in the XXX Project.

Sincerely yours,

Chief of Party

Concept Paper Acceptance/Non Acceptance Letter Page 1 of 2

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[Name of Project] Feedback on Grant Application

Organization Name:

Grant Application Project Title:

Section in RFA Remarks Requested Changes

Statement of need

Goal

Objectives

Geographic focus

Technical Strategies

Project Activities

Coordination/Collaboration

M&E Plan

Management plan

Organisational capacity

Work Plan

Concept Paper Acceptance/Non-Acceptance Letter, Page 2 of 2

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2.11. Pre-Award Questionnaire Template

MANAGEMENT QUESTIONNAIRE For

Grantee Evaluation Under

[Name of project] Program

Accepting a grant from the [Name of project] XXX creates a legal duty for the awardee to use the funds in accordance with the requirements of the [Name of project] agreement and United States federal regulations. Prior to making an award, [Name of project] must assess the adequacy of the financial and accounting systems of a prospective grantee to ensure responsibility and accountability if an award is made.

In filling out the Questionnaire, each question should be answered as completely as possible, using extra pages if necessary. Please return your completed questionnaire to [Name of project].

Complete the questionnaire and checklist on page 7, sign and return it (along with any attachments) to [Name of project].

If you have questions, please contact:

Pre-Award Questionnaire Template, Page 1 of 10

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CONTACT INFORMATION

Please complete this section with information on how we can communicate with each other.

Legal Name of Organization (that will sign the grant agreement and accept responsibility for [Name of project] funds):

Mailing Address:

Street Address: (used for express delivery)

Telephone:

Fax Number:

E-mail:

To help us communicate with your organization, please indicate your current capabilities and preferences below Paper copies will always be available and can be sent by fax, mail or courier service.

1. Does your organization have the computer capability needed to receive documents sent by e-mail?

Yes: No:

2. Please check the software programs you can receive documents in by email:

Excel Lotus MS Word WordPerfect


USAID Grants Manual


SECTION A: General Information

Please complete this section to provide general information about your organization.

1. What type of organization is your organization (non-profit, for-profit, educational institution, other)?

2. Is your organization incorporated or legally registered?

Yes: No: (explain)

3. When and where was your organization incorporated or registered?

4. Please provide copies of any materials which describe your organization, its mission and history.

Enclosed: Not enclosed: (explain)

5. Is your organization affiliated with any other organization (governmental, quasi-governmental, public or private)?

Yes: No: If yes, please provide details:

6. Please list the names of your organization’s officers and provide an organizational chart, if available.

President/Director:

Chief Financial Officer:


USAID Grants Manual


7. List the number of employees your organization has:

Full-Time Employees: ____ Part-Time Employees: _____ Volunteers: ____

8. Will your organization have other sources of U.S. government funds (such as USAID, OTI, or USIA/USIS) during the period of the [Name of project] grant?

Yes: No:

8a. If yes, please provide the name of the U.S. federal agency or agencies, the grant period and amount of funds provided.

9. Will you receive support from non-U.S. government sources during the grant period?

Yes: No:

Source:______________________________ Support:______________________________________

Source:______________________________ Support:______________________________________

Source:______________________________ Support:_____________________________________

SECTION B: Internal Controls

Internal controls are procedures that ensure:

1) financial transactions are approved by an authorized individual and follow laws, regulations and the organization's policies,

2) assets are kept safely,

3) accounting records are complete, accurate and kept on a regular basis.

Please complete the following questions concerning your organization's internal controls:

1. List the name, position/title, and telephone number for the individuals responsible for checking expenditures to make sure they are allowable:


USAID Grants Manual


2. Responsible for maintaining accounting records: _______________________________________

3. Responsible for preparing financial reports:____________________________________________

4. Responsible for preparing narrative reports:____________________________________________

5. Are timesheets kept for each paid employee?

Yes: No:

6. Is your organization familiar with U.S. government regulations concerning costs which can be charged to U.S. grants (OMB Circular A-122 "Cost Principles for Nonprofit Organizations" or OMB Circular A-21 "Cost Principles for Educational Institutions")?

Yes: No:


USAID Grants Manual


SECTION C: Accounting System

The purpose of an accounting system is to1) accurately record all financial transactions, 2) ensure that all financial transactions are supported by invoices, timesheets and other documentation, and 3) ensure that transactions can be segregated if project specific cost reporting is required or if any final determinations might be necessary and are based on costs incurred. The type of accounting system often depends on the size of the organization. Some organizations may have computerized accounting systems, while others use a manual system to record each transaction in a ledger. In either case, [Name of project] grant funds must be properly authorized, used for the intended purpose and recorded in an organized and regular manner.

1. Briefly describe your organization's accounting system including: a) any manual ledgers used to record transactions (general ledger, cash disbursements ledger, suppliers ledger etc.); b) any computerized accounting system used (please indicate the name); and c) how transactions are summarized in financial reports, (by the period, project, cost categories)?

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

2. Does your organization have written accounting policies and procedures?

Yes: No:

3. Are your financial reports prepared on a:

Cash basis: __ Accrual basis: __ (Accrual - bill for costs before they are incurred)

4. Can your accounting records separate the receipts and payments of the [Name of project] grant from the receipts and payments of your organization's other activities?

Yes: No:

5. Can your accounting records summarize expenditures from the [Name of project] grant according to different budget categories such as salaries, rent, supplies and equipment?

Yes: No:

6. How do you allocate costs that are “shared” by different funding sources, such as rent, utilities, etc.?

__________________________________________________________________________________

__________________________________________________________________________________


USAID Grants Manual


7. How often are financial reports prepared?

Monthly: __ Quarterly: __ Annually: __ Not Prepared: __ (explain)

8. How often do you input entries into the financial system?

a. daily __ b. weekly __ c. monthly __ d. ad hoc/as needed __

9. How often do you do a cash reconciliation?

a. daily __ b. weekly __ c. monthly __ d. by accountant=s decision __

10. Do you keep invoices, vouchers and timesheets for all payments made from grant funds?

Yes: No:


USAID Grants Manual


SECTION D: Funds Control

[Name of project] awardees often receive some form of advance payments and therefore must maintain a separate bank account registered in the name of the organization for the purpose of safeguarding these funds. The bank account may be in local currency or U.S. dollars depending upon local requirements. Access to the bank account must be limited to authorized individuals. Bank balances should be compared each month with your accounting records. If cash cannot be kept in a bank, it is very important to keep the cash in a strong safe and have strict controls over cash maintenance and disbursement. For petty cash, it is very important to keep the cash in a strong safe and have strict controls over cash maintenance and disbursement.

1. Do you have a bank account registered in the name of your organization?

Yes: No:

1a. If not, how do you plan to receive funds from a possible grant?

__________________________________________________________________________________

__________________________________________________________________________________

2. Will funds in the bank account be in:

Local currency: _____ U.S. dollars: _____

3. Will the bank account draw interest:

Yes: No:

4. Are all bank accounts and check signers authorized by the organization's Board of Directors or Trustees or other authorized persons?

Yes: No:

5. Will any funds from [Name of project] be kept outside the bank account (in petty cash funds, etc.)?

Yes: No:

5a. If yes, please explain the amount of funds to be kept and the name and position/title of the person responsible for safeguarding cash.

__________________________________________________________________________________

__________________________________________________________________________________

6. If your organization doesn’t have a bank account, how is cash kept safely?

__________________________________________________________________________________


USAID Grants Manual


SECTION E: Audit

[Name of project] may require an audit of your organization's accounting records. An audit is a review of your accounting records by an independent accountant who works for an accounting firm. An audit report contains your financial statements as well as an opinion by the accountant that your financial statements are correct. Please provide the following information on prior audits of your organization.

1. Does your organization have regular independent audits that you contract and pay for?

Yes: __ (please provide the most recent copy) No audits performed: __

2. If yes, who performs the audit?

__________________________________________________________________________________

3. How often are audits performed?

Quarterly: __ Yearly: __ Every 2 years: __ Other: __ (explain)

__________________________________________________________________________________

__________________________________________________________________________________

4. If your organization does not have a current audit of its financial statements, please provide a copy of the following financial information, if available:

a. A "Balance Sheet" for your prior fiscal or calendar year; and

b. A "Revenue and Expense Statement" for your prior fiscal or calendar year.

5. Are there any reasons (local conditions, laws, or institutional circumstances) that would prevent an independent accountant from performing an audit of your organization?

Yes: No:

If yes, please explain:

__________________________________________________________________________________

__________________________________________________________________________________


USAID Grants Manual


CHECKLIST AND SIGNATURE PAGE

[Name of project] requests that your organization submit a number of documents along with this completed questionnaire. Complete this page to ensure that all requested information has been included.

Please complete the checklist below, then sign and return the questionnaire and any other requested documents to [Name of project].

1. Complete the checklist:

__ Certificate of Registration and Statute (requested on page 2) is attached.

__ Information describing your organization (requested on page 2-3) is attached.

__ Organizational chart, if available, (requested on page 4) is attached, (if applicable).

__ Copy of your organization's most recent audit (requested on page 6) is attached.

__ If no recent audit, a "Balance Sheet" and "Revenue and Expense Statement" for the prior fiscal year (requested on page 7).

__ All questions have been fully answered.

__ An authorized individual has signed and dated this page.

The Accounting Questionnaire must be signed and dated by an authorized person who has either completed or reviewed the form.

Approved by:

___________________________

Name

____________________________

Signature

Title________________________

Date:_______________________


USAID Grants Manual


2.12 Terrorism Watch List Check Form

[Name of Project]

Terrorist Watch-List Checklist

This form documents the Project’s efforts to comply with requiring U.S. organizations to verify that it does not provide and will not knowingly provide material support or resources to any individual or entity (organization) that:

(a) appears on the Master List of Specially Designated Nationals and Blocked Persons maintained by the U.S. Treasury’s Office of Foreign Assets Control (OFAC), or is included in any supplementary information relating to prohibited individuals or entities that may be provided by USAID; and/or

(b) has been designated by the United Nations Sanctions Committee (UNSC) established under UNSC Resolution 1267 (the “1267 Committee’) for individuals or entities that are linked to the Taliban, Osama bin Laden or the Al Qaida Organization.

The requirement also states that U.S. organizations must take into account its own knowledge and public information concerning an individual or entity’s terrorist ties that is either reasonably available (i.e. news media or official published designation), through business interactions, and/or reputation in the community.

Organization and Individuals Checked (list names with exact spellings):

LIST DATED CHECKED RESULTS

The Specially Designated Nationals (SDN) List administered by the Department of Treasury’s Office of Foreign Assets Control (OFAC) http://www.ustreas.gov/offices/enforcement/ofac/sdn/

Department of State: http://www.state.gov/i/ct/list/index.htm Foreign Terrorist Organization List (FTO) Terrorist Exclusion List (TEL) Executive Order 13224 Terrorism Designation Page

Excluded Parties List System http://www.sam.gov. United Nations Consolidated List (Resolution 1267) http://www.un.org/sc/committees/1267/narrative.shtml

Terrorism Watch List Check Form, Page 1 of 1


http://www.state.gov/i/ct/list/

http://www.sam.gov/


USAID Grants Manual


2.13 Grant Award Internal Approval Sheet Grant Funding Approval Sheet

Grant Number: Applicant Organization: Grant Evaluation Committee Meeting Date:

Grant Approval Process The [Name of Project]’s Grants Evaluation Committee met on the above-cited day to consider an Application for a Grant from the above-mentioned Applicant organization. In connection with that Application, the Grant Advisors confirm the following:

• That an Application was submitted by the Applicant on: • That said Application conformed to the required format; • That the Application received the following Grant evaluation score:

For Fixed Amount Awards: _____ (note - 70 point minimum is required for approval) For Small Grants: _____ (note - 6 “yes” scores in the minimum required for approval) For Mini-Grants: _____ (note - 6 “yes” scores in the minimum required for approval) For PDG Grants: _____ (note - 70 point minimum is required for approval) For In-Kind Grants: ___ (note – 6 “yes” scores in the minimum is required for approval)

and that the relevant score sheet is attached and signed by the Advisors; • That the Advisors hereby recommend that the Grant Evaluation Committee Approve a Grant in

connection with the Application and thereby authorize the [Name of Project]Program to enter into a Grant Agreement with the above-named Applicant in the amount of $______

• That sufficient project funds are available for the grant.

Recommending [Name of Project] Component Advisors’ signatures: _____________________________ Advisor Advisor Grant Evaluation Committee decision on this Grant Application follows below. Note that the occurrence of two “Approved” votes signifies Grant Evaluation Committee approval of a preliminary award pending final approval from USAID:

[NAME OF PROJECT] Representative #1 Name: Approved ________________________ Not Approved __________________________ [Name of Project] #1 Representative [Name of Project] #1 Representative [NAME OF PROJECT] Representative #2 Name:

Approved ________________________ Not Approved __________________________ [Name of Project] #2 Representative [Name of Project] #2 Representative

Other Representative (Optional) Name: Representing:

Approved ________________________ Not Approved __________________________ Other Representative Other Representative

Evaluation Committee Decision Recorded by: Approved ________________________ Not Approved __________________________ Evaluation Committee Secretary Evaluation Committee Secretary

Grant Award Internal Approval Sheet, Page 1 of 1

USAID Grants Manual


2.14 Grants Summary

PROJECT NAME

Grant Request Summary

Name of Proposed Recipient

pient Representative/ Presenter:

Period of Grant:

Summary of Grant Activity:

Relevance of Grant

Impacts of Activity Implementation:

Follow-on to the Activity:

Internal review grant committee members:

Cost SummaryCost in Local Currency Cost in US$ Percent of

Total ActivityGrantee Contribution

Grant Request from Project

Other Funding Sources

TOTAL Activity Cost

Grants Summary, Page 1 of 1

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2.15 Grant Recipient Selection Memorandum

Deloitte

GRANT RECIPIENT SELECTION MEMORANDUM

USAID Contract No.: Proposed Grant Award No.: Name of Recipient: Address: A. Brief description of the purpose of the award and duration: [Insert 1 or 2 sentences that describe the project and adequately reflect the purpose of the award] The activity is scheduled to begin on [date] and scheduled to conclude on approximately [date]. Additional descriptive information is located in the Recipient’s application. B. Grant selection process: Proposed Recipient was selected as a result of:

� Concept paper submitted in response to an APS or other program announcement � Concept paper submitted in response to a formal Call for Concept Papers � Application submitted in response to a formal request for assistance (RFA) � Unsolicited concept/application

If proposed Recipient was selected other than from an unsolicited concept paper or application, number of other concept papers/applicants: ____. List names of organizations, titles of proposed grant activities and expected cost on next page. C. Rationale for choice of Recipient: Recipient was selected because grant activity was well suited to the overall Project objectives, the activity was clearly articulated, with appropriate technical strategies, management and monitoring plans, and the proposed Recipient’s past performance and qualifications were appropriate. D. Rationale for choice of type of grant:

� A small or mini grant type was selected because the grant activity is of short duration (less than 1 year) and the grant is below the $ dollar threshold.

� A fixed amount award type was chosen because the project activities are very specific in nature, the activity is of short duration (less than 1year), the grant is below the dollar threshold, and the grant activity results are easily identifiable and thus easily tied to payment milestones.

Grant Recipient Selection Memorandum, Page 1 of 2

USAID Grants Manual


� A program grant type was selected because the grant activity duration is longer than one year) and/or the grant amount is above the $ dollar threshold.

� A In-Kind grant type was selected because the organization is not able to demonstrate the minimum level of financial capacity to receive another type of grant.

E. Results of Project reviews and pre-award survey reports: As part of the Pre-Award Survey process, the Project: interviewed key grantee managers, checked references within the local community and with other donors, examined samples of manuals, forms, reports, etc., as applicable. As a result,

1. The Recipient has a satisfactory record of integrity and business ethics. 2. Neither the Recipient nor their key members appear in the List of Parties Excluded from the

Federal Procurement and Non Procurement Programs (EPLS) or the various watch lists. 3. The Recipient is otherwise qualified to receive a grant under applicable laws and regulations as

it has submitted completed and signed copies of Following Certifications, Assurances, and Other Statements of the Recipient: • Assurance of Compliance with Laws and Regulations Governing Nondiscrimination in

Federally Assisted Programs (This assurance applies to Non-U.S. organizations, if any part of the program will be undertaken in the U.S.);

• Certification Regarding Lobbying (22 CFR 227); • Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206,

Prohibition of Assistance to Drug Traffickers); • Certification Regarding Terrorist Financing; and • Certification of Recipient • Compliance with Anticorruption Laws

G. If applicable, classification of high risk and steps to minimize the risk: [Name of project] does not consider the Recipient to be a high-risk recipient (please see Item F above).

OR [Name of Project] does consider the Recipient to be a high-risk recipient and will impose the following special conditions on the grantee: ________________ ___________________ Grants Administration Date: GRANT PROPOSALS EVALUATED WITH PROPOSED RECIPIENT

Organization Proposed Grant Expected Cost

Grant Recipient Selection Memorandum, Page 2 of 2

USAID Grants Manual


2.16 Request for USAID Approval for Grant Award

USAID COR APPROVAL REQUEST LETTER

January 21, 2016 [First Last Name], Cognizant Technical Officer USAID Mission Subject: Contract No. Grant No. Organization: [GRANTEE] Dear Ms./Mr. [Name]: Enclosed is the following documentation supporting a grant award to the subject prospective grant recipient: a completed Grant Funding Approval Sheet; a completed Grant Funding Approval Request Letter; the projected budget for the program proposed for grant funding in the successful Application; and the proposed Grant Agreement. The proposed award requires COR approval. For administrative convenience, space has been provided below for the COR to grant his/her approval or non-approval. The type of grant is: [Type of Grant] Grant in the amount of US$ XXXX To the best of my knowledge, all USAID and Deloitte Program grant procedures were followed in arriving at the decision to award this grant. Thank you for your consideration and cooperation. If you would like further information, please do not hesitate to contact me at (xxx) xxx-xxx-xxxx. Sincerely, First Last name Chief of Party COR Approval Granted: ____________________________ Date: _______ TO Contracting Officer Representative COR Approval Not Granted: _____________________________________ Date: _______ TO Contracting Officer Representative

Request for USAID Approval for Grant Award, Page 1 of 1

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2.17 Grant Award Transmittal Letter

GRANT AWARD TRANSMITTAL LETTER Date Mr./Ms. (Name of Applicant’s contact person) (Name of Applicant Organization) (Address of Applicant Organization) Subject: Grant No. Dear Mr./Ms. (family name of Applicant contract person): This letter is in response to the Application you submitted to the [Name of Project] on (date of application) requesting consideration for grant funding under the [Name of Project] Grants Program. We are pleased to inform you that your Application for grant funding has been approved. The Grant Award that will govern our support is attached for your signature. Please sign and return one copy to the Project Grants Manager. We look forward to working with you in the future. Sincerely yours, Project Director Name of Project

Grant Award Transmittal Letter, Page 1 of 1

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2.18 Grant Award Template

GRANT AWARD

Grant No. «Number»

Deloitte Consulting LLP, is a contractor to the United States Agency for International Development (“USAID”) authorized to administer grants on behalf of USAID (“Grant Administrator”) under Contract No. ___________ for «Project_Name». Deloitte Consulting LLP, Grant Administrator, through its wholly owned subsidiary Deloitte Consulting Overseas Projects LLC is pleased to inform «Full legal name of the Recipient» (“Recipient”) that the Recipient has been approved by USAID as a Recipient for Grant Funding for «Grant_Activity_Description» (“Grant Activity”). Subject to Recipient’s compliance with the terms and conditions of this Grant Award, Recipient may receive Grant Funding in the amount of $ «Award_Amount_US» payable in «name of the local currency» (“Grant Funding”). The Grant Funding will be disbursed as specified in Article II paragraph H. below.

By accepting this Grant Award, Recipient agrees to contribute goods and services in cash or in kind valued at a minimum at «cost share requirement in local currency» towards the accomplishment of the Grant Activities, and agrees to provide the reports or deliverables specified in this Grant Award.

The period of the Grant Award is from «Begin_Date» to «End_Date».

I. Terms and Conditions

The terms and conditions of the Grant Award are as follows:

A. Program Description. By accepting this Grant Award and signing below, Recipient certifies it will

use the Grant Funding solely for the Grant Activities described in Attachment I, Program Description. If at any time the Recipient reasonably determines that it is no longer feasible to carry out the activities as outlined in the Program Description, the Recipient must notify the «Project_Name» Grants Manager immediately in writing.

B. Recipient Representations. By accepting this Grant Award and signing below, Recipient represents, warrants and certifies that:

a. Recipient is a non-U.S. non-governmental organization eligible for the Grant Award in accordance with this Grant Award terms and conditions and applicable laws and regulations.

b. Recipient has sufficient management and necessary financial capabilities to carry out the Grant Activities.

c. Recipient understands the Grant Award’s terms and conditions, including without limitation, that Recipient is subject to and must comply with USAID Automated Directive System (“ADS”) Chapter 303 “Grants and Cooperative Agreements to Non-Governmental

Grant Award Template, Page 1 of 12

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Organizations”, and a Mandatory Reference for ADS Chapter 303 “Mandatory Standard Provisions for Non-U.S., Nongovernmental Recipients”, and Recipient agrees to abide by these terms and conditions.

d. Recipient has not received any funds from «Project_Name» to prepare the grant application pursuant to which this Recipient was approved for this Grant Award.

e. Recipient will use any income earned from Grant Activities to further the program activities outlined in Attachment I.

f. As a condition of Grant Funding payment, Recipient will comply with any Grant Award cost share requirement by providing cash or in-kind contributions in the amount noted above noted above towards the Grant Activities.

g. Recipient did not engage in any lobbying activities, nor did it retain any other party to engage in such activities, in an attempt to secure the Grant Award.

C. Certifications. Recipient shall review and provide signed certifications set forth in Attachment IV hereof which are required of all recipients of U.S. Government grant funds. Delivery and compliance with these certifications is a condition of the Grant Funding payment.

D. Recipient Performance Reporting. Recipient agrees to provide within the specified time schedule the periodic performance reports outlined in Attachment III hereof as well as all reports and deliverables set forth in or required by this Grant Award or Recipient’s Grant application, which is deemed incorporated and made part of this Grant Award. In the event of discrepancy between the Grant Award document, including the attachments, and Recipient’s Grant application, the Grant Award document prevails. In addition, Recipient is responsible to provide any additional reports mandated under applicable law with respect to the Grant Award, including any reports mandated pursuant to USAID ADS Chapter 303.

E. Recipient Obligations. By accepting this Grant Award and signing below, Recipient agrees to:

a. Expend Grant Funding only on the Grant Activities described in the Program Description.

b. Ensure that all Grant Activities comply with USAID’s Branding and Marking requirements.

c. Comply with all applicable laws and regulations (including, without limitation, the United States Foreign Corrupt Practices Act and all applicable anti-bribery laws and regulations) in its acceptance of this Grant Award and its performance of the Grant Activities. This Grant Award may not be used in any attempt to influence legislation within the meaning of U.S. Internal Revenue Code Section 501(c)(3). Recipient shall not use any portion of the funds granted herein to participate or intervene in any political campaign on behalf of or in opposition to any candidate for public office, to induce or encourage violations of law or public policy, to cause any private inurement or improper private benefit to occur, nor to take any other action inconsistent with Section 501(c)(3) of the U.S. Internal Revenue Code.

d. Document that reasonable steps were taken by Recipient to ensure that all purchases charged to Grant Funding are Allowable Goods and Services (as defined in G below).


USAID Grants Manual


e. Maintain complete records of all amounts charged to the Grant Funding for a period of at least three years after the expiration of the Grant Award, and make such records available to USAID, Grant Administrator or any of their representatives for review and audit upon request.

f. Allow Grant Administrator, USAID and/or their designees the right to inspect or otherwise

evaluate all activities being performed in connection with this Grant Award.

g. At Grant Administrator or USAID request, refund to Grant Administrator or USAID, as specified, any funds received pursuant to this Grant Award are determined by Grant Administrator or USAID, in their sole discretion, not to have met the terms and conditions of this Grant Award.

h. Prepare a Completion Report within 30 days after expiration or termination of this Grant

Award.

F. Mandatory Standard Provisions. By accepting this Grant Award and signing below Recipient certifies its understanding and agreement that the Grant Award is subject to the applicable Mandatory Standard Provisions for Non-U.S., Nongovernmental Recipients, attached hereto as Attachment V and incorporated by reference herein, and that Recipient will ensure its adherence to these provisions.

G. Reimbursement for Allowable Goods and Services. By accepting this Grant Award and signing below Recipient certifies its understanding and agreement that Grant Funding may only be used to pay for actual direct costs incurred in carrying out this Grant Award and which are determined by Grant Administrator to be reasonable, allocable, and allowable in accordance with the terms of this Grant Award and the applicable3 cost principles in effect on the date of this Grant Award (“Allowable Goods and Services”). Recipient shall not incur any costs not outlined in the Attachment II, Grant Budget, without prior written approval of Grant Administrator. Prior to incurring a questionable or unique cost, Recipient shall obtain Grant Administrator’s written determination on whether the cost will be allowable. No funds shall be paid as profit or fee to Recipient under this Grant Award or any sub-recipient. Procurement should be carried out in accordance with Clause 5 in Part II of the Mandatory Standard Provisions for Non-U.S., Nongovernmental Recipients. Allowable costs may not include international airfares or indirect costs unless specifically approved in writing in advance by Grant Administrator.

H. Grant Funding Disbursements. By accepting this Grant Award and signing below Recipient certifies its understanding that Grant Funding will be disbursed no more than monthly by check payable to Recipient against presentation of bona fide receipts for costs incurred by Recipient in carrying out the purposes of this Grant Award and which are determined by Grant Administrator and USAID to

3 NOTE: For educational institutions apply OMB Circular A-21; for all other non-profit organizations apply OMB Circular A-122; and for profit making firms apply Federal Acquisition Regulation 31.2 and USAID Acquisition Regulation 731.2.


USAID Grants Manual


be reasonable, allocable, and allowable. Requests for payment shall be made to the «Project_Name» Grants Administrator, ADDRESS.

Alternatively, upon Recipient’s request, Grant Administrator may make payment of Grant funds directly to Recipient’s vendor against bona fide vendor invoices for Allowable Goods and Services; the vendor invoices must be endorsed by Recipient with a statement that the charged goods and services have been received.

I. Personnel Salaries: By accepting this Grant Award and signing below Recipient certifies its

understanding and agreement that salary payments pursuant to this Grant Award are limited by a maximum daily salary rate approved by U.S. Government. All salaries paid from Grant Funds may not exceed the approved maximum daily rate (to be communicated to Recipient by Grant Administrator) and the salary must be justified by a signed and completed biodata form.

II. Other Terms & Conditions

A. Relationship to USAID. This grant is being administered by Grant Administrator on behalf of

USAID pursuant to Contract No. ___________ for «Project_Name». Although USAID is not substantially involved in the administration of this Grant Award, it is understood and agreed that USAID is the Grantor may, in its discretion through the its Contracting Officer, supersede any decision, act or omission taken by Grant Administrator in respect to this Grant Award. In addition, USAID has the right to terminate the Grant Award and Grant Activities unilaterally if it determines that it is in the interest of USAID or in other extraordinary circumstances. To the extent Recipient wishes to assert any rights under the Grant Award, such rights shall be pursued directly with USAID.

B. No Liability for Third Party Claims. Recipient acknowledges by signing below that neither USAID nor Grant Administrator and its subsidiaries, parents, affiliates, officers, principals, partners and personnel assume liability for any third party claims arising under this Grant Award.

C. Indemnification. Recipient hereby irrevocably and unconditionally agrees, to the fullest extent permitted by law, to defend, indemnify and hold harmless Grant Administrator, its parents, subsidiaries, affiliates, related entities and their respective partners, principals, employees, and agents, from and against any and all claims, liabilities, losses and expenses (including reasonable attorneys' fees) directly, indirectly, wholly or partially arising from or in connection with (i) any act or omission of Recipient, its employees or agents, in applying for or accepting the Grant Award, in expending or applying the funds furnished pursuant to the Grant Award, or in carrying out the Grant Activities.

D. Limitation of Liability. Grant Administrator, its subsidiaries, parents, affiliates, officers, principals, partners and personnel shall not be liable for any actions, damages, claims, liabilities, costs, expenses, or losses in any way arising out of or relating to this Grant Award for an aggregate amount in excess of the Grant Funding disbursed to Recipient pursuant to this Grant Award. Except with respect to Recipient’s indemnification obligations under this Grant Award, in no event shall either party or its personnel be liable for consequential, special, indirect, incidental, punitive or exemplary damages, costs, expenses, or losses (including, without limitation, lost profits and opportunity costs). The provisions of this paragraph shall apply


USAID Grants Manual


regardless of the form of action, damage, claim, liability, cost, expense, or loss, whether in contract, statute, tort (including, without limitation, negligence), or otherwise.

E. Modification of this Grant Award. This Grant Award may be modified from time to time for reasons such as, but not limited to, the following:

a. the achievement of the program objective is in jeopardy, but an agreed upon implementation schedule modification can put the activity back on track; and/or

b. there is an unanticipated increase in the cost of the activity(ies) proposed for Grant Funding.

All modifications must be in writing and must be approved by Grant Administrator. In no case shall any modification be approved which increases the total Grant Funding above the local current equivalent of US$ .

F. Termination. This Grant Award, and any modification thereto, may be unilaterally terminated by

Grant Administrator upon written notice.

G. Governing Law. This Grant Award shall be governed by, and construed in accordance with, the laws of the State of New York, USA (without giving effect to the choice of law principles thereof). If any provision of this Grant Award is found by a court of competent jurisdiction to be unenforceable, such provision shall not affect the other provisions, but such unenforceable provision shall be deemed modified to the extent necessary to render it enforceable, preserving to the fullest extent permissible the intent of the parties set forth in this Grant Award.

H. Waiver if Jury Trial. EACH OF THE PARTIES HEREBY IRREVOCABLY WAIVES ALL RIGHT TO TRIAL

BY JURY IN ANY ACTION, PROCEEDING OR COUNTERCLAIM (WHETHER IN CONTRACT, STATUTE, TORT (INCLUDING, WITHOUT LIMITATION, NEGILIGENCE) OR OTHERWISE) RELATING TO THIS GRANT AWARD.

I. Ownership Change. Recipient hereby agrees to notify Grant Administrator of any change in

control of Recipient within thirty (30) days of such change. For the purpose of this provision, "control" means (a) the legal or beneficial ownership of (i) ten percent (10%) or more of the outstanding voting stock of a corporation, (ii) ten percent (10%) or more of the equity of a limited liability company, partnership, or joint venture; or (b) the power to direct or cause the direction of the management and policies of an entity, whether through the ownership of voting securities, through membership, by contract or otherwise.

J. Publicity. Any news release, advertisement or other form of publicity concerning efforts in

connection with this Grant Award shall be approved by Grant Administrator in advance in writing. The provisions of this Paragraph shall survive the termination of this Agreement for any reason.

K. Subcontracting and Assignment. Recipient shall not delegate, subcontract, assign or transfer any

interest in or duties under this Grant Award without the prior written consent of Grant Administrator. Nothing contained herein shall require Grant Administrator to accept any assignment, transfer or other substitution of performance by Recipient. The provisions of this paragraph shall survive the termination of this Grant Award for any reason.


USAID Grants Manual


L. Rights in Data. Unless expressly specified by Grant Administrator, Recipient hereby grants to

each USAID and Grant Administrator a royalty-free, non-exclusive right to reproduce, publish or use the work developed by Recipient pursuant to this Grant Award. U.S. Government has the right to obtain, reproduce, publish or use data first produced under the Grant Award and authorize others to receive, reproduce, publish or use such data for federal purposes.

To acknowledge your understanding and acceptance of all the terms and conditions of this Grant Award, please sign two original copies of this Grant Award and each of the certifications contained in the Attachments. Please return the two original copies of the Grant Award and certifications to the Grant Administrator. The signed Grant Award and certifications must be received prior to any disbursement of Grant Funds.

Thank you,

Deloitte Consulting Overseas Projects LLC, on behalf of Grant Administrator Name: [NAME] Date: [DATE] On behalf of «Recipient», I hereby acknowledge our understanding and acceptance of all the terms and conditions of this Grant Award. Name: Title: Date: Signature: Attachments: Attachment I Grant Description Attachment II Grant Budget Attachment III Grant Performance Reporting/ Standard Reporting Tool Attachment IV Certifications Attachment V Mandatory and Optional Standard Provisions – USAID ADS 303 (located at http://www.usaid.gov/policy/ads/300/303.pdf) Attachment VI Recipient Handbook

Award Documents Distribution:

• One Original to the Recipient • One Original to the «Project_Name»/USAID

ATTACHMENT I

PROGRAM DESCRIPTION


http://www.usaid.gov/policy/ads/300/303.pdf

USAID Grants Manual


A. STATEMENT OF GRANT PURPOSE

B. BACKGROUND TO GRANT

C. DESCRIPTION OF PROPOSED ACTIVITY (please include all activities in sufficient detail; note that the application is not automatically part of the Grant Award, thus specify what activities from the grant application are included)

D. EXPECTED OUTPUTS


USAID Grants Manual


ATTACHMENT II

GRANT BUDGET


USAID Grants Manual


ATTACHMENT III

PERFORMANCE REPORTING

(Standard Reporting Tool is attached in email)

Regular Reports Recipients are responsible for managing and monitoring each activity supported by the Grant. The recipient shall prepare quarterly performance reports as well as a final report. Quarterly performance reports are required 30 days after the end of each quarter. The final performance report is due 30 calendar days after the expiration or termination of the award. The performance reports shall be in the following form:

A. Recipient Name: «Recipient»

B. Grant Number: «Grant_ID_Number»

C. Date Period Covered by Report: Quarterly reporting

D. Accomplishments during the Period (if quarterly report) / Grant (for final report). The Recipient shall provide a bulleted list and short summary of the accomplishments during the period. The Recipient shall provide a comparison of the actual accomplishments with the goals and objectives established for the period. If appropriate, the Recipient should include readily results (e.g., number of people trained, number of jobs created). Such results should be disaggregated by gender when possible.

E. Reasons why established goals were not met, if appropriate.

F. Financial Summary. The Recipient shall provide a summary of financial expenditures relative to achievements. If expenditures are more than anticipated, the Recipient shall include the probable cause and a plan for ensuring that the Grant activities will be completed within the grant award amount.

Recipients shall submit the original and two copies of performance reports to the «Project_Name» Grants Manager. Reports of Problems of Issues Recipients shall immediately notify the «Project_Name» Grants Manager of developments that have a significant impact on the award-supported activities, including problems, delays, or adverse conditions which materially impair the ability to meet the objectives of the award. This notification shall include a statement of the action taken or contemplated, and any assistance needed to resolve the situation.


USAID Grants Manual


ATTACHMENT IV

CERTIFICATIONS, ASSURANCES, AND OTHER STATEMENTS OF THE RECIPIENT (May 2006)

(document attached in email) Deloitte Project Grants Administrator to attach required certifications: From USAID Web Page: http://www.usaid.gov/sites/default/files/documents/1868/303.pdf

A signed copy of ADS 303mav, Certifications, Assurances, and Other Statements of the Recipient and Solicitation Standard Provisions, which includes:

1. Assurance of Compliance with Laws and Regulations Governing Nondiscrimination in Federally Assisted Programs (This assurance applies to Non-U.S. organizations, if any part of the program will be undertaken in the U.S.);

2. Certification Regarding Lobbying (22 CFR 227);

3. Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206, Prohibition of Assistance to Drug Traffickers);

4. Certification Regarding Terrorist Financing; and

5. Certification of Recipient

Other certifications and statements found in ADS 303mav, Certifications, Assurances, and Other Statements of the Recipient and Solicitation Standard Provisions:

1. A signed copy of Key Individual Certification Narcotics Offenses and Drug Trafficking, (ADS 206.3.10) when applicable;

2. A signed copy of Participant Certification Narcotics Offenses and Drug Trafficking (ADS 206.3.10) when applicable;

3. Other Statements of Recipients.


USAID Grants Manual


ATTACHMENT V

MANDATORY STANDARD PROVISIONS

(ADS Chapter 303 July 2015)

(Document attached in email) Attached from the USAID Web Page: https://www.usaid.gov/sites/default/files/documents/1868/303.pdf Standard Provisions for Non-U.S. Nongovernmental Organizations Mandatory Reference for ADS 303

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

or

Standard Provisions for Fixed mount Awards to Nongovernmental Organizations

Mandatory Reference for ADS 303

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


USAID Grants Manual


ATTACHMENT VI RECIPIENT HANDBOOK

(provided electronically – for informal reference only)


USAID Grants Manual

145 Proprietary and Confidential Information of Deloitte Consulting

2.19 Grant Award Template for In-kind Grant

Grant Award

___________________________ [Name of Recipient] ___________________________ [Address of Recipient] ___________________________ [Date] Subject: In-kind Donation of ___________________________ Dear _________________________: Pursuant to the authority contained in ________________________ [Insert legal authority to make in-kind award, e.g., section 491 of the Foreign Assistance Act of 1961, as amended], the USAID [project name] Project hereby provides ________________________________________ [Insert name of Recipient] an in-kind contribution of the materials described in Attachment 1. This award is effective on the date of this letter. The Recipient point of contact designated in Attachment 2 (Recipient POC) must acknowledge receipt of the materials with the Receipt of In-Kind Materials set forth as Attachment 3 of this award, which must be submitted to the USAID [project name] point of contact designated in Attachment 2. The materials are provided “as is.” Deloitte Consulting LLP makes no warranty about the condition or serviceability of the materials. Subject to the terms of this award, title to the materials will transfer to the Recipient upon its receipt of the materials. Following transfer of title, the Recipient will assume all responsibilities incident to ownership of the materials and any liability and costs arising from third party claims against Deloitte Consulting LLP and the U.S. Government or its personnel related to the use of the materials. This award is made to Recipient on the condition that the materials will be used in accordance with the Program Description set forth in Attachment 4 and is subject to the Miscellaneous Provisions set forth in Attachment 5. Please sign the original and each copy of this letter to acknowledge your receipt of this award, retaining one copy for your records and returning the remaining copies to the designated USAID [project name] Grants Manager.

Attachments: I: In-Kind Contribution II: Designated Points of Contact III: Receipt of In-Kind Materials IV: Program Description V: Miscellaneous Provisions VI: Certification of Completion

Grant Award Template for In-kind Grant, Page 1 of 8

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FOR THE RECIPIENT:

Signature:

Name:

Title:

Organization:

Date:


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ATTACHMENT I: IN-KIND CONTRIBUTION

Estimated Current Description Fair Market Value (FMV)

, e.g., 100 rolls plastic sheeting $ , e.g., 500 blankets $

TOTAL VALUE OF DONATION $ ___ USD

[Provide estimated FMV for each category of materials and total.]


USAID Grants Manual


ATTACHMENT II: DESIGNATED POINTS OF CONTACT The following are the designated points of contact under this award: For USAID [project name] Project: [Complete] [Name and Address] [Tel.]

For Recipient: [Complete] [Name and Address] [Tel.]


USAID Grants Manual


ATTACHMENT III: RECEIPT OF IN-KIND MATERIALS

The undersigned accepts receipt of materials as detailed in the listing provided as Attachment 1. __________________________________ Designated Recipient POC Signature __________________________________ Printed Name __________________________________ Title __________________________________ Date


USAID Grants Manual


ATTACHMENT IV: PROGRAM DESCRIPTION The Recipient will use the materials described in Attachment 1 for purposes of _________________________________ [describe purpose]. When the equipment is no longer required for this purpose, the Recipient may retain the material for _________________________________ [describe purpose]. In addition, the Recipient will submit the Certificate of Completion set forth in Attachment VI to the USAID [project name] Grants Manager following distribution of materials to beneficiaries. [Modify this paragraph as appropriate. For commodities for immediate distribution, a date may be provided, e.g., three or six months. For goods being provided as preparedness, e.g., placed in country or the organization’s stockpiles to respond as needed, it may not make sense to include this paragraph at all, in which case this paragraph and Attachment VI may be deleted.]


USAID Grants Manual


ATTACHMENT V: MISCELLANEOUS PROVISIONS This agreement may be amended upon the mutual, written consent of the parties. No materials provided to the Recipient under this agreement may be sold or exported from [name

of country]. The Recipient agrees that the materials provided under this award will not be made available for

use of military, police, or security forces. The Recipient is reminded that U.S. executive orders and U.S. law prohibits transactions with, and

the provision of resources and support to, individuals and organizations associated with terrorism. It is the responsibility of the Recipient to ensure compliance with these executive orders and laws.

The Recipient will take reasonable steps to ensure that USAID’s identity (logo) is displayed when

materials are distributed, together with a sign indicating that materials are "A gift from the American people."[Materials provided under the award should be marked/branded in accordance with applicable USAID policies/regulations.]

Materials will be purchased into [name of country] and distributed to beneficiaries without any taxes, duties, charges or fees of any kind.


USAID Grants Manual


ATTACHMENT VI: CERTIFICATE OF COMPLETION

The undersigned hereby certifies that the activities described in Attachment IV have been successfully completed and that Recipient has complied with all terms and conditions of the award.

Authorized Representative Signature

Printed Name

Title

Date


USAID Grants Manual


2.20 Grants Tracker Spreadsheet

Grant DataGrant No.

GranteeGrant Start DateGrant End DateSABEQ Grant ShareGrantee Grant Share

Grant Summary (copy from Presentation Summary)

Deliverables DataDue Date

Date Received

Period Covered

Reviewed by Signature

Report 1/Delivarable 1Report2/Delivarable 2Report 3/Deliverable 3Report 4/Deliverable 4

Financial Data

Requested Paid Requested Paid Requested Paid Requested Paid Requested Paid Remaining

Budget Amount in US Date0.000.00

TOTAL 0.00 0.00 0.00 0.00

0.00

USAID InvoiceRequest 4/Date: Request 5/Date:Request 3/Date: Budget Line Items Approved Budget

Request 1/Date: Request 2/Date:

Grants Tracker Spreadsheet, Page 1 of 1

USAID Grants Manual


2.21 Sales Tax Exemption Letter

TEMPLATE: SALES TAX and/or VAT EXEMPTION

Sales Tax and/or VAT Exemption Letter «Date_Awarded» «Title» «First_name» «last_name» «Grantee» «Address_1» «Address_2» Subject: Grant No. «Grant_ID_Number» Dear «Title» «last_name», This letter is to verify all funds under the above referenced Grant Agreement are exempt from Sales Tax and/or VAT in accordance with the Bilateral Agreement between the United States and the Government of [Name of Country. You will need to follow these steps to ensure all invoices are stamped exempt from tax prior to payment. (This process will differ from project to project. Please verify with your accounting department what exactly is required.) Please send your invoices with a request for Sales Tax and/or VAT Exemption to my attention c/o USAID [Name of Project] Program outlining all invoices in question with a copy of this letter. The Program will then request USAID’s assistance in processing the exemption. USAID will return the stamped invoices back to the Program The Program will then return the stamped invoices to grantee. You will then be able to pay the invoices and will be reimbursed from the USAID [Name of Project]. Thank you for your commitment to expanding economic opportunities in [Country name]. We look forward to working with you in the future. Sincerely yours, First Last Name Grants Manager

Sales Tax Exemption Letter, Page 1 of 1

USAID Grants Manual


2.22 Contracting Officer Consent - Template

Date:

Name Contracting Officer USAID/Country Country

Dear Ms./Mr. ……,

SUBJECT: Consent for International Travel under Grant No. XXX-XX - Name

Contract No. Project Name Under the terms of the [Project name]’s approved grants manual and in accordance with Grant schedule and RAA Standard Provisions of the Grant this letter requests your approval of international travel under a proposed grant. The details of this request are outlined below:

Proposed Grantee Proposed grant amount Proposed amount for international travel expense

Nature of travel expense

Further details are available in the grant application. For your administrative convenience, space has been provided below for your consent.

Thank you for your consideration and cooperation. If you need further information, please do not hesitate to contact [Grants Manager’s name] at xxx-xxx-xxxx, email [email protected]

Sincerely, Name Position

Consent Granted: Contracting Officer

Consent Not Granted:

Contracting Officer

Date:

Date:

Contractor Officer Consent, Page 1 of 1

USAID Grants Manual


2.23 Grant Payment Review Guidance

MEMO TO:

FROM:

CC:

DATE: March 24, 2009

REF: Approving Grant Payments: Required Due Diligence

In approving requests for Grant Recipients for payments under grants, the project grant team – technical manager and grants manager – need to demonstrate they have done the requisite due diligence of the invoice prior to signing the payment request authorizing payment. A sample approval form is attached and must accompany the payment request prior to authorization from the DCOP.

Technical Team Review Requirements

The technical manager on Deloitte’s staff needs to do the following before authorizing payment:

1. Deliverables. Demonstrate that the Grant Recipient has completed and submitted all the required deliverables and progress and other periodic reports in support of the activity. The manager should include a checklist listing all required deliverables, due dates and dates actually received as part of the grant payment authorization package and will be expected to sign the reports. (Example: the grant mandates a report being submitted to us every quarter on the activities but no report has been received, then payment should not be authorized until the report has been received.)

2. Expenditures. Review the expenditures to be sure they:

a. Are clearly tied to the activities for which the Grant was given. (Example: if the grant was given to support jameed production at an association in Karak and the reimbursement request includes invoices from a caterer in Irbid, those costs would not be tied to the grant activity and should not be approved for payment.)

b. Conform to the Grant’s budget line items (Example: if the grant was given to cover the hotel costs associated with holding an event in Amman and the invoices submitted include travel for a speaker from the US that was not included in the budget, that portion of the request for reimbursement must be denied.)

Grant Payment Review Guidance, Page 1 of 2

USAID Grants Manual


Grant and Accounting Team Review Requirements

The grants manager reviews the following prior to authorizing payment.

1. Cover letter. The cover letter must be signed by an authorized representative of the Grant Recipient and must include the grant number, list the items for which it is requesting reimbursement and the period covered. If it is requesting that Deloitte pay a vendor directly, it must clearly state that

2. Completed expenditure report. The completed expenditure report must also include the portion of the Grant Recipient’s contribution that has been expended during the period covered by the invoice.

3. Invoices from outside vendors

a. Invoices above the amount of US$ should be accompanied by at least 3 offers

b. There must be clear justification if the Grant Recipient did not chose the lowest price

c. If invoices are in Arabic, they should be translated into English.

4. Requests for reimbursement for Personnel costs should include the following:

a. First time request: CVs, signed biodatas

b. Timesheets showing hours and grant activity to which the time pertains

c. Evidence that the personnel have received the claimed payment

d. Monthly personnel LOE tracker to confirm the number of days/hours worked by each personnel Deloitte is covering for, it also shows their rates.

e. We review the expenditures against the overall grant amount to confirm the total amount. We request from the Grant Recipients to specify which line item each invoice should go under, so that they do not exceed the approved amounts in each line item and if they exceed the approved amount, the Grant Recipients cover the rest of the amount. We also make sure that invoices do not include taxes, and if they do we reimburse the amounts before tax.

Grant Payment Review Guidance, Page 2 of 2

USAID Grants Manual


2.24 Guidelines for Grant Advances

Grants Management Process – Advance Payments to Grant Recipients

1. The field team estimates the amount of money that will be disbursed to our Recipients each month and requests from the Deloitte Home Office sufficient funds to cover these non-recurring expenditures. These are often mistakenly labeled “advances” but they are not monies given to the Recipient but rather are funds that remain in the Deloitte bank account to cover reimbursement request or on the rare occasion requests from the Recipient for an advance.

2. It is only under the larger PDG grants, that the Recipient may request an advance. The Recipient may request an advance using a standard form on which they provide a detailed estimate of the activities and expenditures that are expected during the coming quarter.

a) The sector Lead for the grant and grants manager review and approve the advance based on

the activities highlighted for the coming quarter. b) The advance request is then presented to the Engagement Director (Project DCOP) for

approval. Upon approval the request form is then submitted to the Field Office Accounts Payable with a payment request for processing.

c) There are limits to advances given to Recipients, based on the activities, we usually do not give advances of more than USD 25,000, but in some cases the Recipient may need a larger amount for the initial startup costs.

d) The Recipient opens a separate account to be used only for the grant money e) The Field Office team then sends the advance by wire transfer or a check f) At this point amount transferred to the Recipient is entered as an advance on the Imprest. At

the end of the advance period, the Recipient must submit adequate receipts to liquidate the advance and it is then entered as an expense on the Imprest and the advance is closed.

g) Cumulative amounts disbursed to the Recipient and cumulative amounts reimbursed by the Recipient are shown on the Imprest exhibit Ex 1e Adv out.

h) Once our Recipient has receipts to back up around 80% of the advance, they are to submit the following to the Project team: 1. Expenditure report 2. Invoices to back up the expenditures under the advance 3. Progress report covering the advance period

i) The grants manager and the sector lead review the documents and report to verify the

following: 1. invoices match the activities 2. invoices are within the budgeted amount 3. invoices are within the advance period 4. report highlights the completed activities for the period

j) At the same time of liquidation the Recipient can submit a 2nd advance k) The remaining un-liquidated amount is deducted from the 2nd advance

Guidelines for Grant Advances, Page 1 of 1

USAID Grants Manual


2.25 Grant Award Modification Approval Sheet

Agreement Modification Approval Sheet

Grant Evaluation Committee Meeting Date: ___/___/___

mo/day/yr

Meeting to approve/not approve modification of the Agreement for the following Grant:

Grant Being Modified: Grant No. ______

Grant Beneficiary: (name of beneficiary organization)

[Name of Project] Component Advisors’ Confirmation

On the meeting date cited above, the Deloitte Grant Evaluation Committee recommend that the original Agreement # _____ be modified and hereby confirm to the Grant Evaluation Committee that:

• After modification, as recommended below, the referenced Grant Agreement will continue to be

consistent with all Deloitte Program and component objectives; • The attached modified program description and modified Advance Disbursement Schedule (if

applicable) accurately reflect the new modified program of the Beneficiary; and that • Evaluation Committee will approve that the referenced Grant Agreement amount be increased

by (US$ _________________) to a new total amount of (US$ ________________). Grant Evaluation Committee decision on this Grant Application follows below. Note that the occurrence of two “Approved” votes signifies Grant Evaluation Committee approval of the recommended modification pending final approval from USAID:

Approved ________________________ Not Approved __________________________

Program Grants Manager Program Grants Manager

Approved ________________________ Not Approved __________________________

Program COP Program COP

Grant Award Modification Approval Sheet, Page 1 of 1

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USAID Grants Manual


2.26 Grant Award Modification Template

MODIFICATION NO. X OF

GRANT AWARD NO. XXXX-XXXX

[RECIPIENT NAME] GRANT AWARD WITH and [RECIPIENT NAME] is hereby modified to extend the period of performance until December 31, 2010 OR revise Statement of Work or….] 3. TERM {PICK CLAUSE FROM GRNAT AGREEMENT}. The term of this Agreement shall begin on ……….. and shall continue until ……………. [ADD DESCRIPTION OF EACH CLAUSE OF THE GRANT AWARD THAT IS CHANGING, INCLUDING AWARD EXHIBITS] Except as modified herein, all terms and conditions of the original award remain unchanged and in full force and effect. [BENEFICIARY NAME] Signature: ______________ By: [AUTHORIZED SIGNER] Title: Date:

Grant Award Modification Template, Page 1 of 1

USAID Grants Manual


USAID Grants Manual


2.27 Grant Closure Notice to Grant Beneficiary

Grant Closure Letter to Grant Recipients

Date Recipient Address Subject: Grant Program Closure Dear , Your project is scheduled to end _____________. You are therefore required to ensure that all programmatic, administrative, and financial matters are completed by this date. The grant close out period will be from __________________. The three months following the end of the grant period allows room for Recipients to prepare final reports and liquidate all obligations. This period allows for [Name of Grant] Grants Technical Representatives to evaluate and ensure that all [Name of Grant] requirements are met. As discussed at our meeting, in order to satisfactorily complete the closeout procedures, it will be necessary to address the following: 1. Technical Report As stated in the terms and conditions of the grant agreement, [Name of Organization] is required to provide a final technical report detailing activities completed, accomplishments and lessons learned during the period {Insert Date} to {Insert Date}, the duration of the grant project. For your reference, please see the Grant Agreement, where detail requirement for the final report is stated. Please submit this report within 30 days from the close out date. 2. Financial Report For the final reporting period, [Name of Organization] is required to report on any interest earned during the grant period. As stated in the Grant Agreement, any interest earned over US$ per year must be returned to [Name of Grant] program. [Name of Organization] is required to submit a final audit report within 30 days of close out date of {Insert Date}. [Insert if applicable] 3. Final Payments All financial matters must be closed out by {Insert Date}. The only two payments EGGI will approve for payments beyond this term are to the auditor and the evaluation consultant. These two payment amounts will be pre-approved by [Name of Grant] Program and upon final approval by [Name of Project] for satisfactory delivery, the payments will be made no later than {Insert Date}. [Name of Organization] must close out the bank account within 30 days from the end of the project period, {Insert Date} and return all unused portions of the grant funds to [Name of Grant]. 4. Inventory

Grant Closure Notice to Grant Beneficiary, Page 1 of 2

USAID Grants Manual


It will be necessary to obtain an up-to-date inventory of all non-expendable and/or residual property acquired under the grant project. Deloitte will conduct a site visit during the 30 day close out period and at this time a verification of the inventory will be conducted. Kindly submit an updated inventory listing and a letter of intent stating [Name of Organization]’s plan for the use of the purchased items beyond the grant period. If there are any concerns or questions you would like to discuss, please feel free to contact me. I look forward to working with you to successfully complete these activities and anticipate your usual cooperation. It has been a pleasure working with you on this grant project. Sincerely, [Name of Project] Grants Management Advisor cc:

Grant Closure Notice to Grant Beneficiary, Page 2 of 2

USAID Grants Manual


2.28 Grant Completion Certificate Template

Grant Completion Certificate Template Date Grant Title: Grant No.: Grantee Name: With reference to the [insert type of grant] duly signed by [Name of Project] and [Organization Name] on [insert date], I hereby certify that: [Organization Name] successfully completed and submitted all deliverables as required under the referenced grant agreement and subsequent modifications thereof (if modified, otherwise delete). (If the project was not completed you should add…thereof, with the exception of the following:) [Organization Name] understands that [Name of Project] retains the right access its grant records for three (3) years from this date. [Organization Name] releases and forever discharges [Name of Project] from all liability and from all existing and future claims and demands that may arise as a result of this completed grant project award. On Behalf of [Organization Name]:

I certify to the best of my knowledge and belief that these statements are correct and complete.

Authorizing Official Signature:

Date:

Type or Print Name and Title:

Telephone:

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2.29 Grants File Checklist Grant File Checklist

Internal Document

(To accompany all Grant Files)

Grant Number: «Grant_ID_Number»

Grantee: «Grantee»

1. Grant Application Yes � No �

2. Expression of Interest Yes � No �

3. Grant Funding Approval Sheet Yes � No �

4. Agreement Transmittal Letter Yes � No � N/A �

5. Grant Score Sheet Yes � No � N/A �

6. COR Approval Yes � No �

7. Contracting Officer Approval (if Required) Yes � No � N/A �

8. Signed Grant Agreement Yes � No � N/A �

9. Signed Annexes Yes � No � N/A �

10. Chairman of the Board Letter if Applicable Yes � No � N/A �

11. Organizations’ Formal Registration Yes � No � N/A �

12. Supporting Docs if Applicable Yes � No � N/A � (e.g., C.V., Org Chart, etc)

13. Copy of Pre-Award Audit if Applicable Yes � No � N/A �

14. Completed and Approved Reports (incl. Final Report) Yes � No �

Completed by:__________________ Date:______________

First Last Name; Grants Manager

Approved by: __________________ Date:_______________

First Last Name, Chief of Party

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Section 3 Appendices 3.2 Concept Paper Template

Grant Concept Paper

I INFORMATION ABOUT THE ORGANIZATION (APPLICANT)

1. Full Legal Name of Organization: 2. Address of Organization: 3. Date and Number of Organization’s Registration: 4. Tax Identification Number: 5. Telephone Number:

6. Fax Number:

7. E-mail:

8. Name of Key Contact Person:

9. Father’s Name:

10. Title of Key Contact Person: 11. Telephone number: 12. E-mail:

13. Type of Organization (mark the relevant fields): ☐For-profit ☐Private ☐Non-profit ☐Public 14. Brief Description of Organization (briefly state the Organization’s mission, vision and main

goals/activity areas):

15. Is Organization Owned by a Parent Company? (mark the relevant field) ☐Yes ☐No 16. Does Organization have any subsidiaries or own 5%, or more, of any other entity? (mark the relevant field) ☐Yes ☐No 17. Are there any owners (shareholders) of Organization that own 5% or more of Organization? (mark the relevant field) ☐Yes ☐No If the answer is yes, please list the owners and their percentage owned:

Name of Owner/Shareholder Type of Owner (mark the relevant field)

Percentage owned (%)

☐ Individual ☐ Company ☐ Individual ☐ Company [Repeat as necessary] ☐ Individual ☐ Company Also, please list any other entities which the owner/shareholder controls (greater than 50% ownership or voting rights) and, if the shareholder is an individual, list any other entities in which this shareholder serves as an officer or director:

Name of Owner/Shareholder Entities the owner/ shareholder controls

Entities in which owner/ shareholder serves as an

officer/director

18. Does the Organization have a computerized accounting system in place? ☐Yes ☐No

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19. Who is the Organization’s auditor?

20. Is Organization or any subsidiary an audit client of Deloitte? ☐Yes ☐No If the answer is yes, please provide the names of organization/its subsidiaries audited by Deloitte: 21. Please provide the Organization’s financial information required below:

Category Data as of [insert date] Total Annual Revenue/Sales (USD): Total Assets (USD): Total Equity (USD): Equity Contribution from Other Donors (USD): Number of Employees: ___ Total ___Women ___ Men Number of Women on Managerial Positions: 22. Provide information on the Organization’s prior experience related to the proposed grant activity,

listing specific projects/activities that the Organization has implemented/supported, as applicable.

23. Provide the following information on prospective/existing partners (organizations, companies)

Full Legal Name of Partner Organization: Address of Partner Organization: Is Partner Organization an audit client of Deloitte? ☐Yes ☐No Describe the partner’s prior experience related to the proposed grant activity:

[Repeat this section for as many partners as applicable]II TE

II TECHNICAL PROPOSAL

24. Title of Grant Activity (maximum one line):

25. Problem Analysis and Statement (maximum half a page):

26. Goals and Objectives of Grant Activity (please provide link with USAID [name of project] key

objectives) (maximum half a page):

27. Approach to the Activity – describe the proposed approach by answering the following questions

(maximum one page): • How will the Activity be carried out? • Who will carry out the Activity (identify project team and other relevant stakeholders)? • Where will the Activity be implemented (identify location/s)? • When will the Activity be implemented (provide the anticipated start date and finish date)? • Will the Activity involve investing in new technologies, and if yes, what type technology? • If the Activity is expected to create market distortion, how will this distortion be mitigated? • What impact (if any) will the activity have on the position of women and youth? • What environmental impact (if any) will the activity have and how will impact be

monitored/addressed?

USAID Grants Manual


28. Project Beneficiaries – Identify direct and indirect project beneficiaries and their number, and

explain how they will benefit from the grant. (maximum half a page):

29. Expected Results (maximum half a page):

• Identify the results expected to be achieved by the Activity and provide the link to the grant objectives defined under section #26 above.

• Also, identify verifiable indicators of achievement of these results and their estimated targets. As the minimum, provide the values for the following key USAID [name of project] impact indicators by completing the table below. Add additional indicators as necessary. Please use quantitative indicators wherever possible.

Name of Indicator Target Value at Project Completion

Add indicator [Name] Add indicator [Name] Add indicator [Name] Add indicator [Name] Add indicator [Name] 30. Sustainability - explain how the Organization will sustain the impact of Activity and monitor and

report on results after the grant is closed (maximum half a page):

31. Activity Plan/Milestones – indicate the proposed project duration/timeframe and provide the

overview of the main project activities/milestones (maximum half a page) [Milestones are provided for Fixed Amount Awards). Milestones are for a verifiable project product, task, deliverable, or goal. For Fixed Amount Awards, monitoring is made by milestones, budget is produced by milestones, and grant funds disbursement is made following the verification of successful milestone completion. For Standard and In-kind grants, define activities.]

Activity/Milestone Anticipated Start Anticipated Finish [Name 1:] [Name 2:] [Name 3:] Etc.

III BUDGET

a) Provide a brief budget narrative indicating the total estimated cost of the proposed activity, the share requested from USAID [name of project] and the cost share provided by the Organization or contributed to the Organization by the third parties. Explain the structure of cost share and describe in-kind contributions. For Fixed Amount Awards, provide budget by project milestones and explain how the costs of each milestone were estimated. For Standard Grants, provide budget by line item and explain how the costs of each line item were estimated. For In-kind grants, provide budget by equipment/commodities items, with explanation. All amounts required from the USAID [name of project] should be before Value-Added Tax (VAT). VAT costs will not be paid to grantees by the USAID [name of project] and they will therefore be covered by grantees. All amounts should be in USD and without decimal places. (Maximum one page)

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b) Complete the table below by providing the details of estimated costs by milestones and by funding sources. The Table is available in MS Excel format at http://xxxx.com. Data should be entered only in white cells. The shaded cells contain formulas and should not be changed.

Budget Item / Milestone

Description of Costs

Total Grant Activity Cost

(A+B+C)

(A) Requested from Project

(B) Applicant’s Contribution

(C) Third Party Contribution to

Applicant

Name of Third

Party/ies Contributin

g Funds USD USD % USD % USD %

[Name 1] - 0% 0% 0% [Name 2] - 0% 0% 0% [Name 3] - 0% 0% 0% [Name 4] - 0% 0% 0% Etc. - 0% 0% 0% - 0% 0% 0%

Project Total: -

- 0% - 0%

- 0% -

(A+B+C) Total Grant Activity Costs (USD) - 0% (A) Requested from USAID [project name] (USD) - 0% (B+C) Cost Share (USD) 0%

(B) Applicant's Contribution (USD) - 0% Financial 0% In-kind 0%

(C) Third-party Contribution to Applicant (USD) - 0% Financial 0% IN-kind 0%

Name and Signature of the Organization’s Authorized Representative:

Date of Submission of Grant Concept Paper:

Name: _____________________________________ Title: _____________________________________ Full Legal Name of the Organization: _____________________________________

____________________________________ (dd/mm/yyyy)

Signature: _____________________________________

http://xxxx.com/

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Grant Application Form and Guidelines

Grant Application

Name of Organization: ____________________ Address of organization: ____________________ Name of contact person: ____________________ Telephone/Fax number: ____________________ E-mail: ____________________ Date: ____________________ [Name], Grants Manager USAID Name of Project Address Subject: Grant Application With this letter and attachments, _________________ [insert Organization’s Name] is applying for a grant from the USAID [name of project]. We are requesting a grant to: [insert one sentence description of activity to be funded by grant]. The total value of our grant request from the USAID [name of project] is USD_______, or____% of the total cost of grant activity. The costs of grant activity to be shared by our organization amount to USD ____, or ___% of the total cost of grant activity, consisting of ___ USD (__ %) financial contribution and ___ USD (___ %) in-kind contribution. We are applying for [mark the relevant field]:

☐ Standard Grant Standard grant provides funding to Recipient periodically, for reimbursement of costs generated during the period. USAID [name of project] Standard Grants are limited to $ (or according to the specifics of the project).

☐ Fixed Amount Awards Fixed Amount Awards provides a fixed amount of funding as Recipient achieves each part of a fixed set of project milestones/benchmarks. USAID [name of project] For Fixed Amount Awards are limited to $ (or according to the specifics of the project).and up to three years duration.

☐ In-kind Grant. Grant funding is used to procure tangible assets for Recipient. USAID [name of project] in-kind grant is limited to $TBD and grant award duration is to be determined, but should not exceed [include date].

The estimated start date for proposed grant activity: _____________[dd/mm/yyyy]. The estimated end date for proposed grant activity: ______________[dd/mm/yyyy].

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This application consists of the following materials: Attachment 1 Technical Proposal Annex A. Grant Activity Implementation Plan

Annex B. Grant Activity Monitoring and Evaluation Plan (if applying for Standard Grant) Annex C. Information of Previous Assistance Awards/Contracts

Attachment 2 Budget and Budget Notes Annex D. Supporting Data for Cost Estimates Attachment 3 Information about Applicant Attachment 4 Certifications and Assurances from Applicant Annex E. Documents Demonstrating Applicant’s Eligibility and Capabilities

Annex F. Environmental Self-Assessment Form Annex G. Survey on Ensuring Equal Opportunities to Applicants (optional, upon Applicant’s Request)

Sincerely,

_________________________________ [Name of the Applicant’s Authorized Representative]

_________________________________ [Title of the Applicant’s Authorized Representative]

_________________________________ [Full Legal Name of the Organization]

_________________________________ [Signature of the Applicant’s Authorized Representative]

_________________________________ [Date of Submission of Grant Application]


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ATTACHMENT 1: TECHNICAL PROPOSAL SUMMARY SHEET

[This sheet must not exceed one page. If it contains two pages, only the first page will be read] Title of Grant Activity:

[Maximum one line]

Location(s) of Implementation:

[Indicate the geographic areas where the project activities will be implemented and areas that will benefit from project activities. Provide the names of beneficiary municipalities/cities or regions.]

Costs of Grant Activity: (A+B) Total Costs

USD

(A) Requested from [Project name]

(B) Cost Share (Applicants or Third Party Cash or In-kind Contribution)

USD % Total (USD) % Cash USD % In-Kind USD %

Duration of Grant Activity:

___________ months Estimated Start Date: ________________ Estimated End Date: ________________

Objectives of Grant Activity:

[General and specific objectives]

Partners: [Organizations responsible for carrying out the proposed activities together with Applicant, in the manner and scope defined in this application]

Target Group(s):

[Groups/entities that will be directly positively affected by the grant activity at the project purpose/general objectives level]

Final Beneficiaries:

[Organization/persons who will benefit from the grant activity in the long term at the level of the society or sector at large]

Expected Results:

[Indicate the main results of grant activity and key verifiable indicators of their achievement (outcome or impact indicators), along with their targets.]

Main Activities/ Milestones

[List the main activities if applying for Standard or In-kind grant, and milestones if applying for Fixed Amount Awards]

č


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1. BACKGROUND/STATEMENT OF NEED [maximum 1 page]

• Provide a detailed presentation and analysis of the problems and their interrelation at all levels. • Provide a detailed description of the target groups and final beneficiaries, and their estimated

number. • Clearly identify the specific problems to be addressed by the grant activity, as well as the perceived

needs and constraints of the target group(s). • Demonstrate the relevance of the grant activity to the needs and constraints of the target areas in

general and to the target groups/final beneficiaries in particular, and how the grant activity will provide the desired solutions, in particular for the target beneficiaries. Use evidence and data to support your justification.

• Demonstrate the relevance of the grant activity to the objectives and priorities of the USAID [name of project].

2. GOALS, OBJECTIVES AND GEOGRAPHIC FOCUS OF GRANT ACTIVITY [max 1 page]

• Describe the overall objective(s) to which the proposed grant activity aims to contribute. • Describe the specific objective(s) that the proposed grant activity aims to achieve. Specific

objectives should be “SMART” (specific, measurable, achievable, realistic and time-bound). • State where the grant activity will be implemented (identify geographic areas, location/s,

municipalities/cities). Organization must demonstrate its ability to effectively implement services in that target area (e.g. is already working in that area or has strong relationships and can quickly expand services in that area). Applicant must be able to demonstrate “additonality” of the proposed grant activity, which is defined as a rapid scale-up or expansion of an existing program that will require minimal overhead and operational costs.

3. EXPECTED RESULTS AND TECHNICAL STRATEGIES [max 3 pages]

3.1. Expected Results

• Indicate how the proposed grant activity will improve the situation of target groups/beneficiaries and technical and management capabilities of target groups and/or local partners, where applicable. Provide link to goals and objectives defined under section 2 above.

• Identify verifiable indicators of achievement of these results and their estimated targets. As minimum, provide the data for the four USAID [name of project] key indicators listed below in order to illustrate how the proposed activity will contribute to the main USAID [name of project] targets. Add additional indicators as necessary. Use quantitative indicators wherever possible.

3.2. Methodology

• Describe the methods of implementation of the proposed activities and reasons for the proposed methodology.

• If the grant activity is the prolongation of a previous action, explain how it is intended to build on results from the previous action.

• If the grant activity is part of a larger program, explain how it fits or is coordinated with this program. Identify potential synergies with any other current or planned future initiatives, in particular those funded by the USAID.

• Describe the stakeholders’ attitude to the proposed grant activity in general, and to the specific activities in particular.

• If the grant activity will involve investing in new technologies, describe the type of technology and explain how this will benefit the sector as a whole.



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• Explain what environmental impacts (if any) will the proposed grant activity have and how will this impact be monitored and addressed.

• If the grant activity is expected to create market distortion, explain how this distortion will be mitigated and provide the relevant market distortion mitigation activities in Implementation Plan.

• Explain how the women and youth will directly benefit from the grant activity (if so) and what impact (if any) will the grant activity have on gender equity and equality and the position of youth.

3.3. Beneficiaries

• Indicate who will be the final beneficiaries of grant activity and provide their estimated number(s), if possible by year of implementation of grant activity.

• Where applicable, provide the gender disaggregated data on beneficiaries, and indicate the number(s) of youth that will benefit from the grant activity, if possible by year of implementation of grant activity.

3.4. Sustainability

• Describe the main preconditions and assumptions for grant activity, during and after the implementation stage.

• Identify the main risks associated with proposed grant activity, mitigation strategy and possible contingency plans. A sound risk analysis should address a range of relevant risk types, such as physical, environmental, political, economic and social risks.

• Explain how sustainability will be ensured after completion of grant activity, i.e. how the benefits will be produced by grant activity after external funding has ended. This may include specific measures and strategies built into the grant activity, such as institutionalization of activity results, policy support, follow-up activities, ownership by target groups/beneficiaries etc. The following types of sustainability may be addressed:

o Economic/financial sustainability (ensuring acceptable level of financial and economic return; ensuring financing for follow-up activities and future operating and/or maintenance costs etc.);

o Institutional-level sustainability (ensuring institutional and management support to activities and operations after external funding has ended, “local ownership” of outputs and results etc.);

o Policy-level sustainability (institutionalization of policy initiatives and outcomes); o Environmental sustainability (what environmental implications will the grant activity

have and how will potential negative impacts on the environment be avoided or mitigated).

4. IMPLEMENTATION PLAN / MILESTONES [maximum 2 page]

• State when the grant activity will be implemented (provide the anticipated start and finish dates). • Describe in details specific activities that will be undertaken to produce the expected results, also

describing activities to be implemented by target population or project partners, justifying the choice of activities, indicating their sequence and interrelation, and specifying where applicable the roles of each partner.

• For Fixed Amount Awards: Provide the list of grant activity milestones using the table below. Milestones are for a verifiable product, task, deliverable or goal of the applicant to be accomplished. For Fixed Amount Awards , budget is produced by milestones and fund disbursement is made based on verification of milestone completion. Grant activities will be monitored and evaluated against these milestones.

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Milestone Name Milestone Verification Expected Time of Completion

[Name of Milestone 1] How will the recipient document the completion of the product, task, deliverable, or goal?

[Name of Milestone 1] Etc.

• Provide the detailed Implementation Plan using the provided format and guidelines in Annex A.

5. MONITORING AND EVALUATION [For Standard Grants only]

• Provide a narrative description of how the Organization will use monitoring data to guide programming decisions and interventions.

• Provide the detailed information about activities’ performance monitoring in Annex B, using the provided format and guidelines.

6. COORDINATION AND COLLABORATION [maximum 1 page]

• Describe roles and involvement of various actors and stakeholders in grant activity, including local authorities, target groups and partners, and explain why these roles have been assigned to them.

• Indicate how the grant activity will be coordinated with other relevant projects in the target area. • Describe how the grant activity will be integrated into other projects/services your Organization

already offers.

7. MANAGEMENT PLAN [maximum 1 page]

• Describe how the project will be managed. Describe systems that exist or will be put in place to enable Organization to effectively manage the grant activity.

• If applying for Standard Grant, describe the composition and organizational structure of the proposed project team, and titles, roles and responsibilities of key personnel. Provide the CVs of up to three key personnel in annex, including the Project Manager. CVs should not exceed one page each.

• Include information on technical and managerial experience of the proposed project manager as well as any other technical personnel. Experienced, qualified personnel in relevant disciplines and areas should be provided for project management and staff.

• Indicate who will liaise with USAID [name of project].

8. ORGANIZATIONAL CAPACITY [maximum 1 page]

• Provide a statement of your corporate capabilities. This should be a one-paragraph summary of your organization's key qualifications and capabilities, along with a value proposition for the proposed grant activity. It should indicate who your organization is and what it does, and what a client can expect from your organization.

• Provide a brief description of your present and ongoing actions/projects that have a direct relationship to the proposed grant activity and the actions/projects that demonstrate past experience in implementing similar programs. Describe your Organization's relationship with the target population and demonstrate commitment to working closely with the target population. If applicable, describe relevant collaborative efforts your organization has undertaken jointly or in coordination with other institutions.


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• If your organization is a new one, describe the past experience and efforts that resulted in its formation. Please also provide a concise summary of the positive impact that resulted from this past experience.

• Applicants may also provide a list/brief description of any publications or reports that demonstrate any special qualification and experience that your organization has, related directly to the proposed activities (do not attach the publications or reports).

• Provide brief information on up to three (preferably similar) actions/projects managed by your organization for which your organization has received assistance awards or contracts over the past three years in Annex B.


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ANNEX A – GRANT ACTIVITY IMPLEMENTATION PLAN

Provide detailed implementation plan for grant activity using the format provided in table below.

• If applying for a Fixed Amount Awards define milestones. Milestones are for a verifiable product, task, deliverable or goal of the organization/applicant. The name of the milestone should therefore be a description of the product, task, deliverable or goal to be accomplished. Grant activities will be monitored and evaluated based on milestones, grant budget will be produced by milestones, and funds disbursement will be made following verification of successful milestone completion.

• If applying for Standard or In-Kind grant, define main project components/results and activities that lead to their completion. o Activities are smallest units of work that have the definite duration, logical relationship with other activities in the project,

resource consumption and associated costs. o If the nature of grant activity is such that it has to start in specific month/year, than this specific month/year should be indicated. In

all other cases, implementation periods should be indicated as “Month 1”, “Month 2” etc. Any interim time periods (months) when activities will not be implemented must be included in implementation plan4.

o The most probable duration of each activity is recommended to be indicated, rather than the most optimistic (shortest) duration, in order to account for all factors that may affect the implementation timetable.

• Implementing body mean either the applicant and/or any of the partners. • For Standard and In-kind grant define output of each activity. For Fixed Amount Awards, define the verification method.

Activity/ Milestone

Implementing Body(ies)

Activity Output /

Milestone verification

method

Implementation Period [Mark the months in which the milestone/ activity will be implemented] Year 1 Year 2

M1 M2 M3 M4 M5 M6 M7 M8 M9 M10 M11 M12 M1 M2 M3 Etc.

[Name 3] [Name 2] [Name 3] [Name 3] Etc.

4 As indicated in the Cover Page of this Application Form, the maximum duration of Fixed Amount Awards grants is three years. Maximum duration of standard grants and in-kind grant is to be determined. All grants must be closed by [include date] the latest.


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ANNEX B – GRANT ACTIVITY MONITORING AND EVALUATION PLAN (applicable only if applying for Standard Grant)

• Complete the table below and include clear performance indicators and their targets to measure progress. • Activities should be identical to those provided in Annex A – Grant Activity Implementation Plan. • Performance indicators should indicate outputs or results of individual activities. Quantitative indicators should be used wherever possible. • Target value should indicate the desired value of performance indicator at the completion of grant activity. For quantitative indicators,

target values should be numbers, either in absolute or percentage terms. • Data Source should indicate the source from which the performance indicator target data will be collected. • Frequency should indicate the frequency of data collection for performance indicator (i.e. monthly, quarterly etc.) • Data Verification Method should indicate how the collected performance indicators data should be verified.

Activity Performance Indicator

Target Value Data Source

Data Collection Method

Frequency Data Verification Method

[Activity 1 - Name] [Activity 1.1. - Name] [Activity 1.2. - Name] Etc. [Activity 2 - Name] [Activity 2.1. - Name] [Activity 2.2. - Name] Etc.


USAID Grants Manual


ANNEX C – INFORMATION ON PREVIOUS ASSISTANCE AWARDS/CONTRACTS

Provide brief information on up to three (preferably similar) actions/projects managed by your organization for which your organization has received assistance awards or contracts over the past three years. The tables must not exceed one page each. If table has two pages, the second page will not be read.

Name of Project/Activity 1: Sector: Location of Implementation: Period of Implementation: From: (mm/yy) To: (mm/yy) Name of Donor and Point of Contact: Address, phone and e-mail: Amount Contributed by Donor: Amount Cost-shared by Organization: Project/Activity Partners: Main Objectives: Main Results:




USAID Grants Manual


ATTACHMENT 2: BUDGET AND BUDGET NOTES

1. BUDGET

• Applicants should provide a realistic, reasonable, complete and justifiable budget necessary to implement the proposed activities/milestones described under the technical proposal.

• If applying for Standard Grant, applicants must provide budget by main line items (such as salary, fringe, travel cost etc.). Detailed explanation of how the costs of each line item were calculated should be provided under Budget Notes section

• If applying for Fixed Amount Awards, applicants must provide budget by project milestones (milestones are for a verifiable project product, task, deliverable, or goal). Detailed explanation of how the costs of each milestone were calculated should be provided under Budget Notes section.

• If applying for In-kind grant, applicants should provide the budget by specific items of assets/equipment, indicating unit costs, number of items and total costs.

• All amounts required to be funded by USAID [name of project] should be before Value-Added Tax (VAT). VAT costs will not be paid to grantees by USAID [name of project] and will therefore be covered by grantees.

• All amounts should be in USD and without decimal places. Awards will be denominated in US dollars but paid out in local currency.

• All tables provided below are available in MS Excel on http:/www.xxx.xxx [include this bullet if only applicable]

• Applicants should provide: • completed Table 1 • completed Table 2(a) if applying for Standard Grant, or Table 2(b) if applying for Fixed

Amount Awards or Table 2(c) if applying for In-Kind grant; and • budget notes.

• Applicant should provide supporting documentation for calculation of staff costs in Annex D (copies of pay slips, complete Bio-data form or other document). Additional supporting data for cost calculation may be required prior to awarding a grant (such as copies of organizational policies, vendor quotes etc.).


USAID Grants Manual


Complete the Table 1 below by providing the estimated costs by line items, project year and funding sources. If applying for Standard Grant, line-items must correspond to main budget lines, as shown in Table 2(a). If applying for Fixed Amount Awards, line-items must correspond to project milestones. If applying for In-kind grant, line items should correspond to equipment items. Table 1: Grant Activity Budget and Cost Share Contribution

Organization Name Project Title: Period of Performance: Start Date - End Date

Cost Grant Y1 Grant Y2 Grant Total

Budget Item

Name of Organization

for other sources

Grant Funds

Other sources

Grant Funds

Other sources

Grant Funds

Other sources

I. Milestone 1 [Name] 0 0 0 II. Milestone 2 [Name] 0 0 0 III. Milestone 3 [Name] 0 0 0 IV. Milestone 4 [Name] 0 0 0 V. Milestone 5 [Name] 0 0 0 VIII. TOTAL GRANT BUDGET

0 0 0 0 0 0

Total Program Budget 0


USAID Grants Manual


If applying for Standard Grant, complete the Table 2(a) below by providing the details of costs to be funded by USAID [name of project], by budget line item. Table 2(a): Detailed Cost Estimate by Budget Line Item Detailed Budget

Cost Category Rate (price) /Unit Quantity Total

I. SALARIES AND WAGES

Position Title Name /month 0.0

…

Total Salaries 0.0

II. FRINGE BENEFITS

… 0.0

…. 0.0

Total Fringe Benefits 0.0

III. CONSULTANTS

Consultant Name or Scope of Work /day 0.0

… 0.0

Total Consultants 0.0

IV. TRAVEL AND TRANSPORTATION

Airfare (from X - to Y) /return trip 0.0

Per diem (city Y) /day 0.0

Ground Transportation /day 0.0

Ground Transportation (from A - to B) /return trip 0.0

Per Diem (city B) /day 0.0

Local Ground Transportation/Fuel /month 0.0

Vehicle Maintenance /month 0.0


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Total Travel and Transportation 0.0

V. OTHER DIRECT COSTS

Office Rent /month 0.0

Utilities /month 0.0

Office Supplies /month 0.0

Communications /month 0.0

Postage/ Courier /month 0.0

Photocopying/Reproduction /month 0.0

Bank Fees /month 0.0

Audit Fees /year 0.0

Printing/Materials Production 0.0

Activity 0.0

Activity 0.0

Total Other Direct Costs 0.0

VI. EQUIPMENT

See attached 0.0

Total EQUIPMENT 0.0

VII. INDIRECT COST 0

VIII. TOTAL GRANT BUDGET 0.0


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If applying for Fixed Amount Awards, complete the Table 2(b) below by providing the details of costs to be funded by USAID [name of project], by milestone and line item. Table 2(b): Detailed Cost Estimate by Milestone for Fixed Amount Awards

Organization Name Project Title: Period of Performance: Start Date - End Date Detailed Budget Present all costs in USD Grant Y1 Grant Y2

Cost Category Rate

(price) /Unit Quantity Total Rate

(price) /Unit Quantity Total I. Milestone 1 [Name] Labor - Position Name /month 0.0 /month 0.0 Labor - Position Name /month 0.0 /month 0.0 Equipment 0.0 0.0 Travel cost 0.0 0.0 add other items as applicable 0.0 0.0 Total Milestone 1 0.0 0.0 II. Milestone 2 [Name] 0.0 0.0 0.0 0.0 Total Milestone 2 0.0 0.0 III. Milestone 3 [Name] 0.0 0.0 0.0 0.0 0.0 0.0 Total Milestone 3 0.0 0.0 VIII. TOTAL GRANT BUDGET 0.0 0.0


USAID Grants Manual


If applying for In-kind grant, complete the Table 2(c) below by providing the details of assets/equipment to be purchased by USAID [name of project].

Table 2(c): Detailed Cost Estimate for In-kind grant

Description of Assets/Equipment

Type of Assets/Equipment No. of units

Unit Cost USD

Total Cost Requested from [project name]

Cost Share USD)


USAID Grants Manual


2. BUDGET NOTES

The purpose of budget notes is to help USAID [name of project] Grants Program Technical Evaluation Committee and donors better understand the organization’s budget, specifically the rationale for unit costs and quantities. Use this template to guide the development of your budget notes. Add additional information as necessary to clarify your budget inputs, and delete information that is not relevant to your budget.

2.1. Introduction

Briefly explain the purpose and rationale for budget notes. For example:

[Organization Name] is pleased to provide this budget narrative for the grant activity titled [Grant Activity Title], estimated to be implemented in the period from [Grant Activity Estimated Start Date] to [Grant Activity Estimated End Date], in duration of [Grant Activity Estimated Duration in Months]. The purpose of this narrative is to describe the rationale for our grant activity budget. Costs presented in our budget reflect our proposed scope of work, as outlined in Attachment 1 – Technical Description, and are based on our experience implementing projects and activities with a similar scope and duration, as well as additional information on the costs of necessary resources. We are happy to provide any additional information or support upon request.

2.2. Detailed Budget Notes5

If applying for Standard Grant:

For Standard Grants, the grant activity application budget is the budget summary table presented in Section 2 –Budget and Cost Share Contribution, which presents the grant activity budget by budget lines described below.

Salaries and Wages Salaries and wages represent any direct payments of grant funds to staff (either Organization's current employees or staff to be hired for grant activity) for their direct engagement on grant activity. All salaries and wages costs presented under this budget line are base rates and do not include any fringe benefits6. All salaries and wages under this budget line should include tax as per the relevant local legislation.

Describe all positions that will contribute to grant activity using the table below. Provide a copy of your current payroll register to support the salary rates for current staff named in this budget, or a signed copy of a completed Bio-data (1420) form to support the salary rates of proposed staff that are named in the budget but not yet employed by your organization. For those positions where a specific individual has not been named, describe justification for proposed salary rate and list the supporting documentation included in the annex.

Position Title Name Level of

Effort Responsibilities Rate Justification

Proposed rate including tax (per

month)

E.g. Project Manager

Charles Smith

100% (12 months)

Oversee implementation of project activities; supervise staff

Bio-data (1420) form

USD 4,000 per month

E.g. Finance Manager

John Adams

25% (3 months)

Manage financial systems; oversee project spending; ensure

Current payroll register

USD 2,500 per month

5 For funds requested from USAID [name] Project. 6 Contributions „from salary“ in line with local [country name] legislation should be included under this budget line as part of salaries and wages.


USAID Grants Manual


expenses are in line with project budget

Etc. Fringe Benefits

Fringe Benefits are paid for the relevant portions of staff salaries, in line with the relevant local legislation and Organization’s established policy. Describe the Fringe Benefits that your Organization will pay to staff directly engaged on grant activity using the table below. In the column “Rate Justification/Applicability” indicate what type of staff is eligible for specific Benefit (e.g. only permanently employed staff, temporary staff, consultants, volunteers, others) and legal basis for specific Benefit (e.g. applicable local labor laws, Organization’s internal policy, other). Include a copy of any such supporting Organization’s internal policy documents as an Annex.

Fringe Benefit Name Fringe Benefit Description Rate Justification/Applicability

Rate (% and basis)

E.g. Contributions on Salary7

Mandatory Social Contributions

Rulebook on Contributions Payment

10,5% on gross salary

E.g. Annual Bonus Performance-based annual salary increase

Organization policy (attach)

Up to 3% of net salary

Etc.

Consultants

Consultants’ costs are direct payments to staff engaged for providing specific technical support during a limited period of time during grant implementation.

• State the total number of consultants anticipated to support the grant activity. • Provide the details on each consultant by completing the table below. Include copies of documents

supporting the proposed consultancy rates (e.g. Bio-data form, organizational policy etc.) as an Annex.

Consultant Role/Responsibility # of persons & days Rate Justification Proposed Rate

E.g. Education Trainer

Conduct a 3 day workshop to train peer educators

1 person x 5 days Bio-data (1420) form 300 USD/day

E.g. Technical expert

Provide technical support on [describe the area] 5 days a month

15 persons x 5 days x 12 months

Rate dictated by organization policy

200 USD/day

Etc.

Travel and Transportation

Travel and Transportation costs include local or international travel and per diem costs for staff engaged on grant activity and/or beneficiary staff, as well as the costs of transportation of materials for implementation of grant activity.

• Describe how the travel and transportation costs for staff and/or beneficiaries are estimated (e.g. according to the anticipated scope of work and organization’s previous experience on similar projects).

7 Contributions on Salary („Doprinosi na platu“) are considered Fringe Benefits, in line with local legislation.


USAID Grants Manual


• Describe the basis for air travel rates (e.g. economy class fares) and support this by quotes provided as an Annex.

• Describe the basis for ground transportation rates (taxis, hired cars, personal vehicle use), providing the rationale for unit costs.

• Describe the per diem policy, explaining to whom your organization provides per diem (e.g. staff on travel, volunteers, participants at workshops etc.). Describe the basis for per diem rates (e.g. organization policy, local government rates etc.)

• Provide details on all the trips anticipated to be taken to support the grant activity by completing the table below.

Destination (travel

relation)

Transportation Mode

No. of trips

No/titles of persons on trip

Purpose of trip Unit Cost

E.g. city 1-city 2- city 1

Airplane 1 12 (10 beneficiary and 2 project staff)

Investment promotion at the industrial fair

xxx USD per return air ticket

E.g. city 3 –city 4-city 3

Taxi or hired car

7 2 project staff Oversight and participation at the workshop

x USD per kilometer (taxi); xxx USD per day (hired car)

E.g. city - 5 city 6-city 5

Project vehicle

3 20 beneficiary staff

Participation at business fair

x.xx USD per kilometer

E.g. City 7 – city 8

Personal vehicle

10 1 project staff x.xx USD per kilometer

Other Direct Costs

Other Direct Costs cover various operating costs of implementation of grant activity, excluding staff and travel and transportation costs. These may be general operating expenses that are shared across several projects implemented by your organization, or expenses that are fully allocated to grant activity (e.g. the costs of events organized under grant activity.

Explanation/justification for calculation of each type of costs under this budget line should be provided. For general operating expenses that are shared across several projects implemented by your organization, a percentage of these costs should be budgeted and charged to grant activity. Explanation/justification of how this percentage was calculated should be provided. For example:

Office Rent: The organization has an office located in [XXX place(s)] where staff working on this grant activity will be based. The total [monthly/yearly] rent for the organization’s offices spaces is [XX USD amount], as documented in the [indicate the documentation provided] included in the Annex. X% of this total amount has been charged to the grant activity based on [calculation for shared expenses for grant activity, or describe other justification for this %].

Office Utilities: The organization pays for utilities including [e.g. electricity, water, Internet etc.] on a [monthly/quarterly/yearly] basis, as documented in the [indicate the documentation provided] included in the Annex. We have budgeted XX USD for utilities per [month/year] for this grant activity, based on the following calculation: [describe calculation or justification]. Costs are budgeted on a [monthly/annual/one time] basis over the life of the grant activity.

Office Supplies: We have budgeted for general office supplies that will be required specifically for day to day management and implementation of this grant activity in amount of XX USD per [month/year]. These supplies include: [list items, e.g. paper, toner, binders, flipcharts, pens]. The total [monthly/annual] cost for the organization’s office supplies is [XX USD], as documented in the [indicate the documentation provided] included in the Annex. In addition to office supplies specifically budgeted for this grant activity,


USAID Grants Manual


XX% of this total amount has been charged to grant activity based on [calculation for shared expenses for grant activity, or describe other justification for %]. Costs are budgeted on a [monthly/annual /one time] basis over the life of the grant activity.

Postage, Delivery, Courier: We have budgeted funds to cover the costs for regular postage, delivery/courier of financial reports or other materials required over the course of the grant activity. The budgeted rate in amount of XX USD per [month/year] is based on [describe justification for rate] and supported by [describe documentation to support rate]. Costs are budgeted on a [monthly/annual/one time] basis over the life of the grant activity.

Printing Materials: We have budget funds to cover printing/reproduction of materials for day to day grant activity operations. The budgeted rate in amount of XX USD per [month/year] is based on [describe justification for rate] and supported by [describe documentation to support rate]. Costs are budgeted on a [monthly/annual/one time] basis over the life of the grant activity.

Communications: We have budgeted funds to cover communication expenses for [e.g. telephone, fax8]. The budgeted rate in amount of XX USD per [month/year] is based on [describe justification for rate] and supported by [describe documentation to support rate]. Costs are budgeted on a [monthly/annual/one time] basis over the life of the grant activity.

Bank Fees: We have budgeted funds to cover bank fees associated with the grant activity. The budgeted rate in amount of XX USD per [month/year] is based on [describe justification for rate] and supported by [describe documentation to support rate]. Costs are budgeted on a [monthly/annual/one time] basis over the life of the grant activity.

Audit Costs: We have budgeted funds to costs of an audit. The budgeted rate is based on [describe justification for rate] and supported by [describe documentation to support rate]. Costs are budgeted on a [monthly/quarterly/one time] basis over the life of the grant activity.

Activities and Events: Describe all costs for each activity and event proposed in the grant activity budget and proposal. Provide justification of cost calculation, similar as for the other costs stated above.

Equipment

Provide justification for each piece of equipment/personal property that is required for implementation of this grant activity by completing the table below. The unit costs for each piece of equipment should be based on vendor quotes provided in an Annex.

Description of Equipment

Justification/Use for grant activities

No. of units Unit Cost USD

Total Cost USD

If applying for Fixed Amount Awards:

For Fixed Amount Awards, the grant activity application budget is the budget summary table presented in Section 2 –Budget and Cost Share Contribution, which presents the grant activity budget for costs associated with achieving proposed milestones. Payment for Fixed Amount Awards will be made in tranches, following verification of milestone completion.

8 Internet costs should be treated as Office Utilities costs.


USAID Grants Manual


Milestones are for a verifiable product, task, deliverable, or goal of the recipient. The milestones will generally have three parts: (1) a description of the product, task, deliverable, or goal to be accomplished; 7(2) a description of how the recipient will document the completion of the product, task, deliverable, or goal (verification method); and (3) the amount that USAID [name of project] will pay the recipient for the deliverable/milestone. Some milestones may also have dates indicating when the milestone is expected or required to be completed. However, depending on the nature of the activities in the award, a milestone date may not be necessary or appropriate and/or milestone completion may or may not be sequential when dates are estimated/required.

Although Fixed Amount Awards cannot cover indirect costs, grant funding can cover direct costs that will be incurred by the recipient to provide identifiable administrative and management support to the activity. Budget notes forFixed Amount Awards should include a detailed description of how the costs of each milestones were calculated, by budget line item.

Construction activities are not allowed under Fixed Amount Awards. Purchase of any real property is not allowed under Fixed Amount Awards. Real property means land, including land improvements, structures and appurtenances thereto, but excludes movable machinery and equipment. Personal property is any tangible or intangible property other than real property.

Grant activity may include procurement of equipment or personal property in order to accomplish a milestone. Unless a milestone is itself the purchase of the equipment or personal property, milestones must not list equipment or personal property a recipient may potentially purchase to accomplish the milestone, but the costs of such equipment or personal property may be included in the budget from which milestone payment amounts are estimated and negotiated. The distinction between whether purchase of the equipment or personal property is a milestone or is one possible means by which the recipient may accomplish a milestone is important for certain aspects of the grant award. When the purchase of equipment or personal property is itself a milestone and such purchase is specifically named in that milestone, the recipient will be required to comply with USAID eligibility rules for procurement of commodities and services9. Otherwise, purchases of the recipient that are incidental to the recipient’s completion of a milestone are not deemed “financed” by the Fixed Amount Awards notwithstanding that their costs were included in the estimate upon which the total Fixed Amount Awards award amount was negotiated.

International travel is allowed only with prior USAID approval, and should also be noted as part of a milestone.

If applying for In-Kind grant:

Provide justification for each piece of equipment/personal property that is required for implementation of grant activity. The unit costs for each piece of equipment should be based on vendor quotes which may be required if the application is proposed for funding.

2.3. Cost Share

Applicant is required to share the costs of grant activity in the amount of minimum 50% of the total costs of grant activity. Cost share is required for all grants. Cost share contribution may be financial or in-kind. Cost share may include costs financed from the Applicant’s own funds, or costs financed with cash, services, or property contributed or donated to the Applicant from another non-U.S. Government sources.

All costs shared by the Applicant (both financial and in-kind) must be:

o verifiable from the recipient’s records;

9 See Standard Provisions for Fixed-obligation Grants to Nongovernmental Organizations, RAA4: USAID Eligibility Rules for Procurement of Commodities and Services, http://www.usaid.gov/ads/policy/300/303mat



USAID Grants Manual


o necessary and reasonable for proper and efficient accomplishment of grant activity objectives;

o allowable under the applicable Standard Provisions (see Attachment 4) o must not be included as cost share contributions for any other U.S. Government –assisted

program; o must not be paid by the U.S. Government under another grant or agreement (unless the

grant or agreement is authorized to be used for Cost Share).

In-kind contribution may include volunteer services, donated supplies and equipment, donated property or office space etc. Rates for volunteers must be consistent with those paid for similar work in the Organization, or those paid for similar work in the labor market in which the Organization competes. The assessed value of donated supplies and equipment must be reasonable and must not exceed the fair market value at the time of the donation. The value of donated property must be determined in accordance with the usual accounting policies of the Organization. Only if the purpose of grant award is to assist the recipient in the acquisition of property or equipment, the total value of the donated property or equipment may be claimed as Cost Share. Otherwise, only depreciation or use charges for property and equipment may be made. The value of donated equipment must not exceed the fair market value of equipment of the same age and condition at the time of donation. The value of donated space must not exceed the fair rental value of comparable space and facilities in a privately owned building in the same locality, as determined by adequate market research. The value of loaned equipment must not exceed its fair rental value.

• Describe the cost share provided by the Applicant, indicating financial and/or in-kind contribution. • Provide a detailed explanation of how the value of in-kind contribution (if any) was calculated.

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ANNEX D – SUPPORTING DATA FOR COST ESTIMATES

(Please provide copies, as necessary.)


USAID Grants Manual


ATTACHMENT 3: INFORMATION ABOUT APPLICANT

1. Full Legal Name of Organization: 2. Address of Organization: 3. Date and Number of Organization’s Registration: 4. Tax Identification Number: 5. Telephone Number:

6. Fax Number:

7. E-mail:

8. Name of Key Contact Person:

9. Father’s Name:

10. Title of Key Contact Person: 11. Telephone: 12. E-mail:

13. Type of Organization (mark the relevant fields): ☐For-profit ☐Private ☐Non-profit ☐Public

14. Is Organization Owned by a Parent Company? (mark the relevant field) ☐Yes ☐No 15. Does Organization have any subsidiaries or own 5%, or more, of any other entity?

(mark the relevant field) ☐Yes ☐No 16. Are there any owners (shareholders) of Organization that own 5% or more of Organization?

(mark the relevant field) ☐Yes ☐No If the answer is yes, please list the owners and their percentage owned:

Name of Owner/Shareholder Type of Owner (mark the relevant field)

Percentage owned (%)

☐ Individual ☐ Company ☐ Individual ☐ Company [Repeat as necessary] ☐ Individual ☐ Company Also, please list any other entities which the owner/shareholder controls (greater than 50% ownership or voting rights) and, if the shareholder is an individual, list any other entities in which this shareholder serves as an officer or director:

Name of Owner/Shareholder Entities the owner/ shareholder controls

Entities in which owner/ shareholder serves as an

officer/director

17. Does the Organization have a computerized accounting system in place? ☐Yes ☐No 18. Who is the Organization’s auditor? 19. Is Organization or any subsidiary an audit client of Deloitte? ☐Yes ☐No

If the answer is yes, please provide the names of organization/its subsidiaries audited by Deloitte:

20. Please provide the Organization’s financial information required below: Category Data as of [include date]

Total Annual Revenue/Sales (USD):


USAID Grants Manual


Total Assets (USD): Total Equity (USD): Equity Contribution from Other Donors (USD): Number of Employees: _____Total ____Women ____Men Number of Women on Managerial Positions: Fiscal Year Period: From ______________ to __________________

21. Provide the following information on each prospective/existing partners (organizations, companies):

Full Legal Name of Partner Organization: Address of Partner Organization: Is Partner Organization an audit client of Deloitte? ☐Yes ☐No Describe the partner’s prior experience related to the proposed grant activity:

[Repeat for as many partners as applicable]


USAID Grants Manual


ATTACHMENT 4: CERTIFICATIONS AND ASSURANCES FROM APPLICANT

We hereby confirm that:

a. Our organization has not received any funding from the USAID [name of project] for the preparation of this Application.

b. Our organization has no advances from USAID or a USAID contractor which have been outstanding and un-liquidated for longer than 90 days, and our organization has no grant completion report required under a grant from USAID or a USAID contractor which is more than 30 days past due.

c. Our organization has legal authority to apply for USAID- sponsored assistance and the institutional, managerial and financial resources to ensure proper implementation of the proposed grant activity, including funds necessary to pay our contribution to the total cost of the proposed grant activity.

d. Our organization is not requesting funding for any indirect organizational costs under this application.

e. At the time of application there exists no condition within our organization or with respect to our organization’s management which renders the organization ineligible for a grant directly or indirectly funded by USAID.

f. Our organization will give the USAID [name of project] and /or USAID and/or itd designees, access to and the right to examine all records, books, papers, or documents related to grant award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives.

g. No motion for enforcement has been filed before the competent court for the purpose of collecting claims over financial resources of our Organization.

h. Our organization will initiate and implement the required Branding and Marking requirements after the receipt of the approval of the award and will comply with environmental standards which may be prescribed.

i. Our organization will comply with the relevant regulations of the United States Government applicable for the awards under the USAID [name of project] Grants Program

j. In order to demonstrate our organization’s eligibility and capabilities, we have provided the following documents in Annex D (mark all that apply – mandatory documents are marked):

☒ A copy of our organization’s formal registration as evidence of our legal status (Court Register Excerpt or other relevant document) (mandatory) ☒ A copy of the most recent audited annual financial statements, as applicable (mandatory) ☐ Copies of documentation indicating our organization’s managerial commitment to implementing objectives that are consistent with grant application:

☐ Organization's statute ☐ Strategic plans (multi-annual) ☐ Annual narrative report for the previous year ☐ Other [please specify]

☐ A copy of our organizational chart ☒ The names of staff authorized to represent the organization, including their dates of birth, places of birth and addresses (mandatory)

By affixing my signature below, I certify that the above statements are true and may be relied upon by the USAID [name of project] in determining eligibility for grant award.



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_________________________________ [Date]


USAID Grants Manual


1. Assurance of Compliance with Laws and Regulations Governing Non-Discrimination in Federally Assisted Programs Note: This certification applies to Non-U.S. organizations if any part of the program will be undertaken in the United States. (a) The recipient hereby assures that no person in the United States shall, on the bases set forth below, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under, any program or activity receiving financial assistance from USAID, and that with respect to the Cooperative Agreement for which application is being made, it will comply with the requirements of: (1) Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352, 42 U.S.C. 2000-d), which prohibits discrimination on the basis of race, color or national origin, in programs and activities receiving Federal financial assistance; (2) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which prohibits discrimination on the basis of handicap in programs and activities receiving Federal financial assistance; (3) The Age Discrimination Act of 1975, as amended (Pub. L. 95-478), which prohibits discrimination based on age in the delivery of services and benefits supported with Federal funds; (4) Title IX of the Education Amendments of 1972 (20 U.S.C. 1681, et seq.), which prohibits discrimination on the basis of sex in education programs and activities receiving Federal financial assistance (whether or not the programs or activities are offered or sponsored by an educational institution); and (5) USAID regulations implementing the above nondiscrimination laws, set forth in Chapter II of Title 22 of the Code of Federal Regulations. 06/23/2011 Partial Revision (b) If the recipient is an institution of higher education, the Assurances given herein extend to admission practices and to all other practices relating to the treatment of students or clients of the institution, or relating to the opportunity to participate in the provision of services or other benefits to such individuals, and shall be applicable to the entire institution unless the recipient establishes to the satisfaction of the USAID Administrator that the institution's practices in designated parts or programs of the institution will in no way affect its practices in the program of the institution for which financial assistance is sought, or the beneficiaries of, or participants in, such programs. (c) This assurance is given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts, property, discounts, or other Federal financial assistance extended after the date hereof to the recipient by the Agency, including installment payments after such date on account of applications for Federal financial assistance which was approved before such date. The recipient recognizes and agrees that such Federal financial assistance will be extended in reliance on the representations and agreements made in this Assurance, and that the United States shall have the right to seek judicial enforcement of this Assurance. This Assurance is binding on the recipient, its successors, transferees, and assignees, and the person or persons whose signatures appear below are authorized to sign this Assurance on behalf of the recipient. 2. Certification Regarding Lobbying The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal Cooperative Agreement, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal


USAID Grants Manual


contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, United States Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than and not more than $ for each such failure. Statement for Loan Guarantees and Loan Insurance “The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than and not more than $ for each such failure.” 3. Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206)

USAID reserves the right to terminate this Agreement, to demand a refund or take other appropriate measures if the Grantee is found to have been convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140. The undersigned shall review USAID ADS 206 to determine if any certifications are required for Key Individuals or Covered Participants. If there are COVERED PARTICIPANTS: USAID reserves the right to terminate assistance to or take other appropriate measures with respect to, any participant approved by USAID who is found to have been convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140. 4. Certification Regarding Terrorist Financing, Implementing Executive Order 13224 By signing and submitting this application, the prospective recipient provides the certification set out below: 1. The Recipient, to the best of its current knowledge, did not provide, within the previous ten years, and will take all reasonable steps to ensure that it does not and will not knowingly provide, material support or resources to any individual or entity that commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated, or participated in terrorist acts, as that term is defined in paragraph 3. 2. The following steps may enable the Recipient to comply with its obligations under paragraph 1:

a. Before providing any material support or resources to an individual or entity, the Recipient will verify that the individual or entity does not (i) appear on the master list of Specially Designated Nationals and Blocked Persons, which is maintained by the U.S. Treasury’s Office of Foreign Assets Control (OFAC), or (ii) is not included in any supplementary information concerning prohibited individuals or entities that may be provided by USAID to the Recipient. b. Before providing any material support or resources to an individual or entity, the Recipient also will verify that the individual or entity has not been designated by the United Nations Security



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(UNSC) sanctions committee established under UNSC Resolution 1267 (1999) (the “1267 Committee”) [individuals and entities linked to the Taliban, Osama bin Laden, or the Al Qaida Organization]. To determine whether there has been a published designation of an individual or entity by the 1267 Committee, the Recipient should refer to the consolidated list available online at the Committee’s website: http://www.un.org/Docs/sc/committees/1267/126č7ListEng.htm. c. Before providing any material support or resources to an individual or entity, the Recipient will consider all information about that individual or entity of which it is aware and all public information that is reasonably available to it or of which it should be aware. d. The Recipient also will implement reasonable monitoring and oversight procedures to safeguard against assistance being diverted to support terrorist activity.

3. For purposes of this Certification- a. “Material support and resources” means currency or monetary instruments or financial securities, financial services, lodging, training, expert advice or assistance, safehouses, false documentation or identification, communications equipment, facilities, weapons, lethal substances, explosives, personnel, transportation, and other physical assets, except medicine or religious materials.” b. “Terrorist act” means-

(i) an act prohibited pursuant to one of the 12 United Nations Conventions and Protocols related to terrorism (see UN terrorism conventions Internet site: http://untreaty.un.org/English/Terrorism.asp); or (ii) an act of premeditated, politically motivated violence perpetrated against noncombatant targets by subnational groups or clandestine agents; or (iii) any other act intended to cause death or serious bodily injury to a civilian, or to any other person not taking an active part in hostilities in a situation of armed conflict, when the purpose of such act, by its nature or context, is to intimidate a population, or to compel a government or an international organization to do or to abstain from doing any act.

c. “Entity” means a partnership, association, corporation, or other organization, group or subgroup. d. References in this Certification to the provision of material support and resources shall not be deemed to include the furnishing of USAID funds or USAID-financed commodities to the ultimate beneficiaries of USAID assistance, such as recipients of food, medical care, micro-enterprise loans, shelter, etc., unless the Recipient has reason to believe that one or more of these beneficiaries commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated or participated in terrorist acts. e. The Recipient’s obligations under paragraph 1 are not applicable to the procurement of goods and/or services by the Recipient that are acquired in the ordinary course of business through contract or purchase, e.g., utilities, rents, office supplies, gasoline, etc., unless the Recipient has reason to believe that a vendor or supplier of such goods and services commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated or participated in terrorist acts.

This Certification is an express term and condition of any agreement issued as a result of this application, and any violation of it shall be grounds for unilateral termination of the agreement by USAID prior to the end of its term.

5. Certification of Recipient By signing below the recipient provides certifications and assurances for (1) the Assurance of Compliance with Laws and Regulations Governing Non-Discrimination in Federally Assisted Programs, (2) the Certification Regarding Lobbying, (3) the Prohibition on Assistance to Drug Traffickers for Covered


USAID Grants Manual


Countries and Individuals (ADS 206) and (4) the Certification Regarding Terrorist Financing Implementing Executive Order 13224 above. RFA No. ___________ Date of Application: _______





_________________________________ [Date]

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ANNEX E – DOCUMENTS DEMONSTRATING APPLICANT’S ELIGIBILITY AND CAPABILITIES

(Please provide copies)


USAID Grants Manual


ANNEX F - ENVIRONMENTAL SELF-ASSESSMENT FORM All applicants seeking to implement grant activities under USAID [name of project] must complete and submit this Environmental Self-Assessment Form as an annex to Grant Application. Information obtained from this form will assit the UASID [name of project] in estimating potential environmental impact of proposed grant activity. Grant recipients will be required to comply with environmental standards that may be prescribed, in line with Federal

Regulations (22CFR216) and the USAID’s Automated Directive System (ADS) parts 201 and 204. 1. Legal, Regulatory and Permitting Requirements

1.1. Does your Organization have the following valid permits required for your activities and

facilities?

Environmental Permit: ☐Yes ☐No Planning Permission: ☐Yes ☐No Construction Permit: ☐Yes ☐No Use Permit: ☐Yes ☐No Approvals for utility services: ☐Yes ☐No Any other valid permit related to environment, safety at work etc.(please list):

1.2. Has your production facility been inspected regarding environmental and work safety issues? ☐Yes ☐No

If yes, do you have evidence of the results of these inspection report? ☐Yes ☐No

1.3. Does your Organization have any of the following certifications: ISO 14001 EMS ☐Yes ☐No ISO 9000 ☐Yes ☐No HCCP ☐Yes ☐No SA 8000 ☐Yes ☐No GREENGUARD ☐Yes ☐No Global Gap ☐Yes ☐No Fair Trade ☐Yes ☐No Environmental Product Declarations ☐Yes ☐No Grean Seal ☐Yes ☐No Any other valid certifications, or certifications planned to be obtained (please list):

2. Safety and Integrity Requirements

2.1. Does your Organization uses heavy equipment in the production process? ☐No ☐Yes, please describe: _________________________________________________

2.2. What protective measures does your Organization undertake to ensure workers' safety at work, (describe specific activities and policies, such as training, availability and use of protective equipment for workers etc.)? _______________________________________________________________________________

3. Environmental and Health Requirements

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3.1. List the types of solid and liquidwaste your Organization produce in its production process (such as pesticides, chemical, industrial, medical, other solid or hazardous wastes etc.) and average quantities of such waste that you produce annually: ______________________________________________________________________________

3.2. Describe how you treat and dispose specific types of solid and liquid wastes created in production process: ______________________________________________________________________________

3.3. Does your production process includes convertion of land and extraction of natural resources (e.g. granite, limestone, coal, oil, etc.) ☐No ☐Yes, please describe: _________________________________________________

3.4. Do your activities have impact on cultural/hitorical sites with unique ethnic or traditional cultures? ☐No ☐Yes, please describe: _________________________________________________

4. Additional Information

Please provide any additional information related to environmental impact of your activities: __________________________________________________________________________________


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ANNEX G – SURVEY ON ENSURING EQUAL OPPORTUNITIES FOR APPLICANTS (OPTIONAL)

Purpose: The Federal government is committed to ensuring that all qualified applicants, small or large, non-religious or faith-based, have an equal opportunity to compete for Federal funding. In order for us to better understand the population of applicants for Federal funds, we are asking nonprofit private organizations (not including private universities) to fill out this survey. Upon receipt, the survey will be separated from the application. Information provided on the survey will not be considered in any way in making funding decisions and will not be included in the Federal grants database. While your help in this data collection process is greatly appreciated, completion of this survey is voluntary. Instructions for Submitting the Survey: If you are applying using a hard copy application, please place the completed survey in an envelope labeled "Applicant Survey." Seal the envelope and include it along with your application package. If you are applying electronically, please submit this survey along with your application. USAID [project name]RFA Number: ____________________________ Applicant’s (Organization) Name: ____________________________ Grant Name: ____________________________


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Survey on Ensuring Equal Opportunities for Applicants 1. Does the applicant have 501(c)(3) status? ☐Yes ☐ No 2. How many full-time equivalent employees does the applicant have? (Check only one box). ☐ 3 or Fewer ☐ 15-50 ☐ 4-5 ☐ 51-100 ☐ 6-14 ☐ over 100

6. Is the applicant an intermediary that will manage the grant on behalf of other organizations?

☐Yes ☐ No

3. What is the size of the applicant's annual budget? (Check only one box.) ☐ Less Than $150,000 ☐ $150,000 - $299,999 ☐ $300,000 - $499,999 ☐ $500,000 - $999,999 ☐ $1,000,000 - $4,999,999 ☐ $5,000,000 or more

7. Has the applicant ever received s government grant or contract (Federal, State or local)?

☐Yes ☐ No

4. Is the applicant a faith-based/religious organization? ☐Yes ☐ No

8. Is the applicant a local affiliate of a national organization?

☐Yes ☐ No

5. Is the applicant a non-religious community-based organization? ☐Yes ☐ No

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Explanations: 1. 501(c)(3) status is a legal designation provided on application to the Internal Revenue Service by eligible organizations. Some grant programs may require nonprofit applicants to have 501(c)(3) status. Other grant programs do not. 2. For example, two part-time employees who each work half-time equal one full-time equivalent employee. If the applicant is a local affiliate of a national organization, the responses to survey questions 2 and 3 should reflect the staff and budget size of the local affiliate. 3. Annual budget means the amount of money your organization spends each year on all of its activities. 4. Self-identify. 5. An organization is considered a community based organization if its headquarters/service location shares the postal code as the clients you serve. 6. An “intermediary” is an organization that enables a group of small organizations to receive and manage government funds by administering the grant on their behalf. 7. Self-explanatory. 8. Self-explanatory.


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3.3 Application for Mini and Small Grant Template

Application Form for Mini and Small Grants

Date: __________________ Grants Manager USAID [Name of Project] [Address of Project] Subject: Grant Application With this letter and attachments, _____________ (insert organization name) is applying for a grant from the USAID [Name of Project]. We are requesting a grant to: (insert one sentence description) The total value of our grant Request is $________. We are applying for:

Mini-Grant (limited to and 90 days duration) Small Grant (limited to and usually one year duration) Fixed Amount Awards Grant Program Development Grant In-kind Grant

The estimated start date for proposed project/activity: ______________. The estimated end date for proposed project/activity: _______________.

Sincerely,

(Name)

(Title)

(Organization)

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1. Contact information about our organization: a. Name: ____________________________ b. Mailing Address: _________________________ c. Street Address (if available): ______________________________________________________________________________ d. Phone :____________ Fax :______________ E-Mail : _________________________ f. Organization Contact Person: 2. Organizational Information Related to Eligibility a. Year Established: b. Type of Organization: For Profit Not for Profit c. Legal Status (choose only one):

Private or public shareholding company, whether for-profit or not-for-profit, that have company objectives that are consistent with the broad objectives of [project name] and the specific objectives of the [project name] component recommending the grant for approval; or

Non-Government Organizations (NGOs), professional organizations, research institutions, and

other institutions that have organizational objectives that are consistent with the broad objectives of [PROJECT NAME] and the specific objectives of the [project name] component recommending the grant for approval.

Other (if other, use the following space to clarify):

d. In order to demonstrate our organization’s eligibility, we have attached (choose all that apply):

A copy of our organization’s formal registration as evidence of the above selected legal status;

One or more copies of board of directors resolutions, strategic plans (overall long-range plan for beneficiary’s organization) or other documentation indicating our organization’s managerial commitment to implementing objectives that are consistent with the broad objectives of [project name] and the specific objectives of the [project name] component recommending the grant for approval;

A memo signed by the Chairman of our board certifying all of the following: - that our organization has received a copy of the [PROJECT NAME] Program’s Grant Beneficiary

Handbook and that our organization’s board and senior management have read and understood its contents;

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- that our organization has not received any funding from the [PROJECT NAME] Program for the preparation of this Application;

- that our organization has no advances from USAID or a USAID contractor which have been outstanding and unliquidated for longer than 90 days, and that our organization has no grant completion report required under a grant from USAID or a USAID contractor which is more than 30 days past due;

- that at the time of application there exists no condition within our organization or with respect to our organization’s management which renders the organization ineligible for a grant directly or indirectly funded by USAID;

- that the proposed life-of-project funding in this Application does not exceed the [local currency] equivalent of: for Mini-Grants, and for Small Grants, $ whichever is applicable to this application; and

- that the proposed period of funding requested in the application does not exceed the life of [PROJECT NAME] and does not exceed one of the following: for Mini-Grants, 90 days and for Small Grants, 1 year, whichever is applicable to this application.

3. Statistical and other Information: a. Our members pay dues on the following basis (choose only one):

Voluntary Mandated by law or regulation Other (specify):

b. Fiscal Year end: _______ (for your accounting purposes) c. We have an operation accounting system in place? Yes No d. Our accounting system is computerized: Yes No e. Our total membership (if applicable) is: ____ members f. As of the above date of application, the number of our members (if applicable) who have fully paid

their annual dues for this year is: ____ members g. Our organization chart is attached? Yes No 5. Information related to the proposed Project or Activity a. Our organization’s mission and/or objectives are the following: [Include brief description] b. This application is for a (choose only one of the following): Small Grant Mini-Grant

i. If this is an application for a Mini-Grant, we hereby certify that we are not requesting funding for any of the following: - to cover international travel, or - commodities that have a useful life of greater than one year or that cost more than $ , - indirect costs of our organization.

ii. If this is an application for a Small Grant, we have described as part of the proposed Project/Activity

below the specific costs that may be related to on or both of the following: - to cover international travel, or


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- commodities that have a useful life of greater than one year or that cost more than $ , and we hereby certify that we are not requesting funding for any indirect organizational costs and that we have the resources to fully fund our contribution to the total cost of the proposed activities.

c. The objective of the proposed Project/Activity is as follows: [Provide brief explanation of the activities] d. We would like the [PROJECT NAME] Program to fund the following specific activities/items (specify the

activity or cost item as well as the requested USD amount for each: 1- [Include activity] (Total: USD xxxx) 2- [Include activity] (Total: USD xxxx) 3 - [Include activity] (Total: USD xxxx) e. The total value of this grant Request is USD _______ Equivalent to Local currency _____ at a foreign

exchange rate of _____ f. Scheduled start date for proposed project/activity: __________ g. Scheduled end date for proposed project/activity: ___________ (cannot exceed 90 days from Funds

Disbursement Date) h. Our organization will contribute to the funding of the following funding specific activities/items

(specify the activity or cost item as well as the requested [local currency] amount for each and whether the contribution is in cash or in kind; note that our contribution exceeds XX% of the total cost of the Project/Activity):

[Describe the organizations contribution]

i. We will measure the success of this proposed Project/Activity as described below: j.

1- _________________________________ 2 - _________________________________ 3 - _________________________________

We would appreciate your timely consideration of our application. Sincerely, Name: Position: Date:


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3.4 Grants Presentation Template

Proposed Grant Title

Grant Application Form(Grantee)

Date:

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2

1. Abstract of Grant Activity

A. One line description: Under this grant, (grantee) will do X, Y, Z (the major grant activities)

Why is this Activity needed?

B. Objectives:1. This grant Activity will support the SOW by addressing this constraint through:

a.b.c.


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Abstract of Grant Activity (continued)

C. This grant Activity will be carried out: 1. By (Summary description of approach)2. By the following Team members and stakeholders

--Etc…

3. In (location) during the period (_________)

D. The grant Activity will have the following impacts:


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4

Abstract of Grant Activity (continued)

F. We will report on these impacts in the following way: 1. We will report to Deloitte every (Frequency)2. We will report the impact through (how will you gather the information)

E. We will monitor the impact of grant Activity by:


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5

Narrative of Grant Approach & Activity

Attachment of not more than 3 pages organized by Abstract topics (concept paper)


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6

2. Sustainability Plan

B. How will the grantee report on results after the grant period is over?(Describe)

A. How will the grantee sustain the impact of the grant Activity after the grant is closed?(Describe)


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7

3. Background

E. Prior experience related to this grant Activity

A. Brief background on grantee:1. Date Established2. Type of Organization3. Legal Status

B. If Association:Dues Basis# Members# Current with DuesAnnual Revenue

C. If NGO:Sources of FundingAnnual RevenueAnnual Programs Funded

D. If Private Firm:No. of employeesAnnual Revenue


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8

Budget A. One Page Summary

CostBudget Item Name of

EntityGrant Funds

OtherSources

Total:

Total grant requested:


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Budget B. Budget Details

Appendix D

Budget Summary

Use this template for the budget summary

Organization: Purpose: Date:

Item Cost (JD) SABEQ Organization Other Sources Grand Total* Personnel

Technical Assistance and Training

Program Activity Expenses

Equipment


Other Direct Costs

Indirect Costs (Program Development Grants Only)

Define Other Sources:

Sub-Totals

* all personnel daily rates should reflect biodatas and will be paid accordingly


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Thank you!


USAID Grants Manual


3.5 Pre-award Questionnaire Template

MANAGEMENT QUESTIONNAIRE For

Grantee Evaluation Under

[Name of project] Program

Accepting a grant from the [Name of project] XXX creates a legal duty for the awardee to use the funds in accordance with the requirements of the [Name of project] agreement and United States federal regulations. Prior to making an award, [Name of project] must assess the adequacy of the financial and accounting systems of a prospective grantee to ensure responsibility and accountability if an award is made. In filling out the Questionnaire, each question should be answered as completely as possible, using extra pages if necessary. Please return your completed questionnaire to [Name of project]. Complete the questionnaire and checklist on page 7, sign and return it (along with any attachments) to [Name of project]. If you have questions, please contact:

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CONTACT INFORMATION Please complete this section with information on how we can communicate with each other.

Legal Name of Organization (that will sign the grant agreement and accept responsibility for [Name of project] funds):

Mailing Address:

Street Address: (used for express delivery)

Telephone:

Fax Number:

E-mail:

To help us communicate with your organization, please indicate your current capabilities and preferences below Paper copies will always be available and can be sent by fax, mail or courier service.

1. Does your organization have the computer capability needed to receive documents sent by e-mail? Yes: __ No: __

2. Please check the software programs you can receive documents in by email:

Excel __ Lotus __ MSWord __ WordPerfect __


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SECTION A: General Information 1. Does your organization have the computer capability needed to receive documents sent by e-mail?

2. Is your organization incorporated or legally registered?

Yes: __ No: __ (Explain)

3. When and where was your organization incorporated or registered?

4. Please provide copies of any materials which describe your organization, its mission and history.

Enclosed: __ Not Enclosed: __ (Explain)

5. Is your organization affiliated with any other organization (governmental, quasi-governmental,

public or private)?

Yes:__ No: __ If yes, please provide details:

6. Please list the names of your organization’s officers and provide an organizational chart, if available.

President/Director:


USAID Grants Manual


Chief Financial Officer:

7. List the number of employees your organization has:

Full-Time Employees: ____ Part-Time Employees: _____ Volunteers: ____ 8. Will your organization have other sources of U.S. government funds (such as USAID, OTI, or

USIA/USIS) during the period of the [Name of project] grant?

Yes : __ No: __

8a. If yes, please provide the name of the U.S. federal agency or agencies, the grant period and amount of funds provided.

9. Will you receive support from non-U.S. government sources during the grant period?

Yes : __ No: __ 9a. If yes, please provide an estimate of all significant (more than 5% of your total expected revenues)

support you expect to receive and include both monetary and non-monetary (equipment, free services) amounts to support your program.

Source:______________________________ Support:______________________________________ Source:______________________________ Support:______________________________________ Source:______________________________ Support:_____________________________________

SECTION B: Internal Controls Internal controls are procedures that ensure: 1) financial transactions are approved by an authorized individual and follow laws, regulations and the

organization's policies, 2) assets are kept safely, 3) accounting records are complete, accurate and kept on a regular basis. Please complete the following questions concerning your organization's internal controls: 1. List the name, position/title, and telephone number for the individuals responsible for checking

expenditures to make sure they are allowable:


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2. Responsible for maintaining accounting records: _______________________________________

3. Responsible for preparing financial reports:____________________________________________

4. Responsible for preparing narrative reports:____________________________________________

5. Are timesheets kept for each paid employee?

Yes: __ No: __

6. Is your organization familiar with U.S. government regulations concerning costs which can be charged to U.S. grants (OMB Circular A-122 "Cost Principles for Nonprofit Organizations" or OMB Circular A-21 "Cost Principles for Educational Institutions")?

Yes: __ No: __

SECTION C: Accounting System The purpose of an accounting system is to1) accurately record all financial transactions, 2) ensure that all financial transactions are supported by invoices, timesheets and other documentation, and 3) ensure that transactions can be segregated if project specific cost reporting is required or if any final determinations might be necessary and are based on costs incurred. The type of accounting system often depends on the size of the organization. Some organizations may have computerized accounting systems, while others use a manual system to record each transaction in a ledger. In either case, [Name of project] grant funds must be properly authorized, used for the intended purpose and recorded in an organized and regular manner. 1. Briefly describe your organization's accounting system including: a) any manual ledgers used to

record transactions (general ledger, cash disbursements ledger, suppliers ledger etc.); b) any computerized accounting system used (please indicate the name); and c) how transactions are summarized in financial reports, (by the period, project, cost categories)?

__________________________________________________________________________________ __________________________________________________________________________________ __________________________________________________________________________________

2. Does your organization have written accounting policies and procedures?

Yes: __ No: __


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3. Are your financial reports prepared on a:

Cash basis: __ Accrual basis: __ (Accrual - bill for costs before they are incurred)

4. Can your accounting records separate the receipts and payments of the [Name of project] grant from the receipts and payments of your organization's other activities?

Yes: __ No: __

5. Can your accounting records summarize expenditures from the [Name of project] grant according to different budget categories such as salaries, rent, supplies and equipment?

Yes: __ No: __

6. How do you allocate costs that are “shared” by different funding sources, such as rent, utilities, etc.?

__________________________________________________________________________________

__________________________________________________________________________________

7. How often are financial reports prepared?

Monthly: __ Quarterly: __ Annually: __ Not Prepared: __ (explain)

8. How often do you input entries into the financial system?

a. daily __ b. weekly __ c. monthly __ d. ad hoc/as needed __

9. How often do you do a cash reconciliation?

a. daily __ b. weekly __ c. monthly __ d. by accountant=s decision __

10. Do you keep invoices, vouchers and timesheets for all payments made from grant funds?

Yes:__ No: __

SECTION D: Funds Control

[Name of project] awardees often receive some form of advance payments and therefore must maintain a separate bank account registered in the name of the organization for the purpose of safeguarding these funds. The bank account may be in local currency or U.S. dollars depending upon local requirements. Access to the bank account must be limited to authorized individuals. Bank balances should be compared each month with your accounting records. If cash cannot be kept in a bank, it is very important to keep the cash in a strong safe and have strict controls over cash maintenance and


USAID Grants Manual


disbursement. For petty cash, it is very important to keep the cash in a strong safe and have strict controls over cash maintenance and disbursement.

1. Do you have a bank account registered in the name of your organization?

Yes: __ No: __

1a. If not, how do you plan to receive funds from a possible grant?

2. Will funds in the bank account be in:

Local currency: __ U.S. dollars: __

3. Will the bank account draw interest:

Yes: __ No: __

4. Are all bank accounts and check signers authorized by the organization's Board of Directors or Trustees or other authorized persons?

Yes: __ No: __

5. Will any funds from [Name of project] be kept outside the bank account (in petty cash funds, etc.)?

Yes: __ No: __

5.a. If yes, please explain the amount of funds to be kept and the name and position/title of the person responsible for safeguarding cash.

___________

6. If your organization doesn’t have a bank account, how is cash kept safely?


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SECTION E: Audit

[Name of project] may require an audit of your organization's accounting records. An audit is a review of your accounting records by an independent accountant who works for an accounting firm. An audit report contains your financial statements as well as an opinion by the accountant that your financial statements are correct. Please provide the following information on prior audits of your organization. 1. Does your organization have regular independent audits that you contract and pay for?

Yes: __ (please provide the most recent copy) No audits performed: __

2. If yes, who performs the audit?

____________________________________________________________________________________

3. How often are audits performed?

Quarterly: __ Yearly: __ Every 2 years: __ Other: __ (explain)

4. If your organization does not have a current audit of its financial statements, please provide a copy of the following financial information, if available:

a. A "Balance Sheet" for your prior fiscal or calendar year; and

b. A "Revenue and Expense Statement" for your prior fiscal or calendar year.

5. Are there any reasons (local conditions, laws, or institutional circumstances) that would prevent an independent accountant from performing an audit of your organization?

Yes: __ No: __

If yes, please explain:


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CHECKLIST AND SIGNATURE PAGE [Name of project] requests that your organization submit a number of documents along with this completed questionnaire. Complete this page to ensure that all requested information has been included. Please complete the checklist below, then sign and return the questionnaire and any other requested documents to [Name of project]. 1. Complete the checklist:

__ Certificate of Registration and Statute (requested on page 2) is attached.

__ Information describing your organization (requested on page 2-3) is attached.

__ Organizational chart, if available, (requested on page 4) is attached, (if applicable).

__ Copy of your organization's most recent audit (requested on page 6) is attached.

__ If no recent audit, a "Balance Sheet" and "Revenue and Expense Statement" for the prior fiscal year (requested on page 7).

__ All questions have been fully answered.

__ An authorized individual has signed and dated this page.

The Accounting Questionnaire must be signed and dated by an authorized person who has either completed or reviewed the form. Approved by: _______________ __________________________ Print Name Signature ______________ __________________________ Title Date


USAID Grants Manual


3.6 Fixed Amount Awards Entity Eligibility Checklist FIXED AMOUNT AWARD ENTITY ELIGIBILITY CHECKLIST

1. Organizational Integrity a. Obtain a copy of the articles of incorporation or other documentation which substantiates

the b. legal character/registration of the entity in country/region of operation. c. Identify principals/key personnel/organization structure. d. Vet the organization/principals through the

i. Regional Security Officer or other checkpoints to validate good standing in the local community (integrity, reputation, internal controls) and ensure that the minimum statutory requirements are met.

ii. Excluded Parties List System (EPLS). iii. Terrorism/Special Designated Nationals (SDN)/Blocked Persons/Office of Foreign Assets

Control (OFAC)/etc.

2. Organizational Capacity to Achieve the Proposed Fixed Amount Awards Activity a. Assess management and staff expertise/resources to accomplish the Fixed Amount Awards

activity b. Intellectual property to be applied c. Technology resources to be applied d. Other assets available and commitments incurred to determine cash flow e. Assess ability to procure/manage property/personnel

3. Past Performance in the Sector a. Identify similar activities the entity has implemented b. Obtain third-party information on performance related to quality of performance,

timeliness of completion, and input from past funding entities and activity beneficiaries c. Review, if available, objective performance documentation, such as evaluations

4. Fixed Amount Awards Activity Implementation Viability a. Are the milestones appropriate to the activity? b. Can USAID reasonably define the accomplishments required to achieve the purpose of the

grant in the milestones? c. Are the milestones verifiable? d. Is there sufficient information available on estimated costs to: e. price milestones such that the Fixed Amount Awards represents a good value to the

Agency?

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i. identify risks to both the implementing entity and Agency, and mitigate the risks through “special conditions”?

f. Are the milestones priced to balance liquidity with incentives for the recipient to keep performing?

5. Fixed Amount Awards Pre-Award Financial Review Checklist Applicable for Authorizing Advances of Funds, if Necessary a. Is there a properly established bank account to receive USAID advances? b. Are account-related unused bank checks and petty cash on hand adequately safeguarded? c. Are there appropriate controls established over account disbursements? d. Are procedures established adequate to document account disbursement usage for grant

activities? e. Are appropriate procedures established for regular reconciliation of bank account

statements with internal records? f. If recipient had prior experience with managing advances from external sources, was past

accountability adequate and were any past issues resolved? (Note: prior advance management experience not required).

g. Does recipient have a comprehensive cash-flow projection for the proposed activity which supports the proposed implementation plan?

h. Does the recipient understand USAID cash management requirements using either the 30-day rolling advance process or the working capital advance type methodology (see ADS 303, Awarding Fixed Amount Award Additional Help Document)?

i. A written report of findings on the above points should be made as part of the Fixed Amount Awards checklist documentation. The report should provide a summary assessment of the overall advance fiduciary risks as high, medium or low, with a brief summary supporting narrative.

6. Certifications/Representations Included/Obtained, as Appropriate

Use the certifications as specified in ADS 303.3.8 with particular attention given to applicability for Non-U.S. Non-Governmental Organization (NGO) recipients when awarding to a Non-U.S. NGO.

303mak_031212

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Section 4 Appendices 4.1 Progress Report

[Name of project] Project

Grant Progress Report

Organization Name: Date of Report: Grant Project Name: Reporting Period: Grant Number: Report Submitted by:

1. Introduction

Provide a brief overview of your project and objectives.

2. Major Activities and Accomplishments this Reporting Period Describe the activities conducted during this reporting period, including the targets you have achieved. Describe planned activities that you were not able to implement and targets that you were not able to meet.

3. Analysis How do your actual activities and achievements compare to what was planned for this period?

a. Successes Describe successes this period and the factors that contributed to your success. Describe innovations or potential best practices that could be shared with other implementing groups.

b. Challenges Discuss obstacles to implementing activities and achieving planned results (e.g. obstacles related to technical, managerial, financial, political or other constraints). Describe actions taken (how you attempted to overcome these obstacles and whether your efforts were successful) and actions required if the obstacle has not yet been overcome.

c. Capacity Improvements Describe how organizational development activities have affected your operations, programs, and services.

d. Lessons Learned and Recommendations

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Describe lessons you have learned and recommendations you have to report, particularly around new strategies, approaches, or activities you implemented this quarter, and the outcomes of those efforts.

4. Monitoring and Evaluation Describe M&E activities implemented this period, including actions taken to ensure quality of M&E data. Describe any planned changes to M&E indicators or targets.

Activity Performance Indicator Targets Achieved (this period)

Targets Achieved (Cumulative)

End of Project Target

Notes

5. Financial Analysis

Indicate the burn rate for your budget (burn rate = total expenses/total budget). Are you spending according to your budget? If not, why not?

Describe cost share contributions or external resources you have leveraged this quarter.

Describe what you have done this period, if anything, to increase your cost effectiveness on this project.

Include financial report as Attachment.

6. Plans for Next Reporting Period

Briefly describe plans for the next period under your agreement

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4.2 Financial Report Template

[Name of Project]

To: [Name of Project]Contact Name:

Addresss:

From:

Grant Project Title:

Grant #: Amendment #:

Date of Report Submission:

Reporting Cycle (check one):

Reporting Period:

A. Approved Budget 0

B. Total Amount Received as of: January-00

C. Total Amount Spent thru: January-00 0

D. **Cash Balance ( B - C ) as of: January-00 0

E. Amount Received Since Reporting Month:

F. Current Month Planned Expenses January-00 0

G. Cash Balance ( D + E - F ) currently on hand: 0

H. Next month planned Expenses: January-00 0

I. Amount of Advance Request ( H - G ): 0

Certifications:

BeneficiaryAuthorized

Official: Typed Name, Title Signature Date

REQUEST FOR PAYMENT/ADVANCE Certification & Approvals

Organization Name:

Organization Address:

I certify that any detailed supporting financial information as the Grantor may require will be furnished by the Recipient promptly upon request; I certify that all sums claimed comply with the terms of 22 CFR 226 and the mandatory standard provisions as they apply to this grant.

I certify that to the best of my knowledge and belief, this Financial Report is a correct, complete and accurate statement, that my organization is properly entitled to payment, and that all amounts requested are for appropriate purposes in strict accordance with the terms and conditions of the subaward.

** A copy of the bank statement and bank reconciliation must be submitted to support the amount stated as the balance on hand.

Award Period of Perf:

Financial Reconciliation attached for the period ending:

I certify that appropriate refund or credit to the grant will be made in the event of a disallowance in accordance with the terms of the award, for nonperformance in whole or in part under this award, in the event funds are not expended, and that any interest accrued on the funds made available

Monthly

Quarterly

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4.3 Bank Information Form

BANKING DETAILS

PLEASE TYPE OR PRINT IN BLOCK LETTERS (See following page for further instructions) GENERAL INFORMATION

Account Holder :

Acct. Holder Address Last (Family) Name First Name(s) :

Account Currency :

Bank Name :

Bank Address :

FOR BANK ACCOUNTS IN EUROPE

IBAN :

BIC : FOR BANK ACCOUNTS IN USA

Account No. :

ABA-ACH No. :

SWIFT : FOR BANK ACCOUNTS ELSEWHERE

Account No. :

SWIFT :

Bank Code : CORRESPONDENT BANK

Bank Name :

Bank Address :

SWIFT :

Inter-bank Account :

Please mail, fax or e-mail completed form to: PAYEE: By signing below, I absolve Deloitte of any

liability arising from payments to a third party.

(your contact point in [Name of Project]

Name

Date Signature

Bank Information Form, Page 1 of 3

USAID Grants Manual


Please Note: 1) Only one bank account per currency will be accepted. 2) Fund transfers in currency other than the account currency will be converted by the receiving bank. 3) Please provide complete and correct bank details. The [Name of project] is not responsible for any delay in payments resulting from changes in banking information that have not been promptly communicated to the [Name of project]. 4) In event that the [Name of project] incurs any bank charges as the result of the provision of incorrect or incomplete information, the [Name of project] may deduct such charges from any subsequent payment. Field Description General Information: These are the details, which are common to all types of bank accounts. Account Holder: Exact name on the account. In case of joint ownership, it should contain the full

names. Please make sure that Last (or Family) name is followed by first name.

Account Currency: The base currency in which the banks account is held. Bank Name: Full name without acronyms or abbreviations. Bank Address: Street and city are required; branch name is appreciated if available. Bank accounts in Europe: This section should be completed for bank accounts, which are maintained with bank branches in European countries, which are participants of the “EU internal Market payment system”, regardless of base currency. IBAN: Stands for International Bank Account Number and is used by nearly all the countries in Europe and many individual banks around the world. It has a different structure according to different countries’ national rules, but it always begins with two letters of the country code and two “check” numbers, followed by the bank code and account number. BIC: Same as the SWIFT code. It contains 8 or 11 alpha-numeric characters. Both IBAN and BIC can be found on the bank account statement. Bank accounts in USA: This section should be completed for the bank accounts, which are maintained with bank branches in the USA, regardless of base currency. Account No.: The regular account number. ABA-ACH No.: Stands for American Banking Association-Automated Clearing House (also called “Direct Deposit”), which is 9 digits long and unique for each branch of bank that is an ACH participant.


USAID Grants Manual


SWIFT: For other non-participants of ABA another code is needed called SWIFT. This stands for Society for Worldwide Inter-bank Financial Telecommunication and contains 8 or 11 alpha-numeric characters. Bank accounts elsewhere: This section should be completed for bank accounts with banks located anywhere other than Europe or the USA. Account No.: Same as above. SWIFT: Same as above. Bank Code: In case of non-participants of SWIFT, the national bank code is needed. There are different formats used around the world with different names, e.g., BSB (Australia, 5 Characters), Transit No (Canada, 9 Characters) etc. Correspondent Bank: Some banks can receive fund transfers only through a third bank, also called intermediary or pay through bank. Bank Name: Same as above. Bank Address: Same as above. SWIFT: Same as above. Inter-bank Account: Account number of the beneficiary’s bank with the correspondent bank


USAID Grants Manual


USAID Grants Manual


4.4 Acknowledgment of Funds Form

ACKNOWLEDGMENT OF FUNDS RECEIVED Date: _____________________________ On behalf of the _________________________________, I acknowledge receipt of Print name of Grant Beneficiary funds from [Name of Project] through a bank transfer in the amount of $_____________. I further acknowledge that these funds have been set aside for the project(s) described Grant Agreement number XXXXX between Grant Beneficiary and Deloitte’s {Name of Project}. ________________________________________ _____________________ Signature Print Name, Position Date Dates to Remember: Interim Report due: [Date] Final Report due: [Date]

Acknowledgment of Funds Form, Page 1 of 1

USAID Grants Manual


USAID Grants Manual


4.5 Advance Request Form [Grant Beneficiary Letterhead]

Grants Advance Request Form

Unless specifically waived in writing, this request form must be accompanied by the financial reports required by the grant contract agreement between the Beneficiary and Deloitte.

Beneficiary name:

Grant Tracking No.:

Grant Program title:

Calendar quarter start date that this advance corresponds to:

Date that funds are required:

Advance amount required:

Details of Projected Expenditures for the Quarter

1st Month 2nd Month 3rd Month Total

Salaries and Wages

Fringe Benefits

Consultants


Total

BENEFICIARY CERTIFICATION: I certify that, to the best of my knowledge and belief, the data reported above and the attached monthly financial statements are correct and that this request and our entire grant program are in full compliance with the terms and conditions of the grant agreement between ourselves and Deloitte.

Signature of Beneficiary Authorized Agent Name Date

FOR PROJECT GRANTS FUND MANAGEMENT OFFICE USE ONLY

ADVANCE REQUEST FORM COMPLETE

Signature Grants Manager Name Date

ADVANCE AUTHORIZATION

Signature Grants Manager Name Date

FOR PROJECT ACCOUNTING OFFICE USE ONLY

Check Payee Name:

Check #: Check Amount: Date:

CHECK RECEIVED BY:

Signature of Beneficiary’s Representative Name Date

Advance Request Form, Page 1 of 1

USAID Grants Manual


USAID Grants Manual


4.6 Request for Direct Payment by the Project of Vendor Invoices

[Grant Beneficiary Letterhead] Date Grant Manger, USAID [Name of Project] Address: Subject: Grant Award XXXX, Dated YYY Dear Madam/Sir, Please find enclosed the following invoices pertaining to the subject grant activities. The undersigned requests that the {Project Name} pay this vendor directly from funds allocated to the subject grant. 1. 2. The undersigned acknowledges that the total amount of the invoices of [Country currency]_____________ will be deducted by the Project from the approved grant budget. Thank you very much for your support and assistance, ________________________________ Name Position

Request for Direct Payment by the Project of Vendor Invoices, Page 1 of 1

USAID Grants Manual


USAID Grants Manual


4.7 Travel Expense Form

Traveler/Expense report for:

Reason for expenses:

Originator:

Code * Amount Code * Amount Miles Amount

- - - - - - - - - - - - - - - - - -

-$ -$ 0 -$ Lodging: -

Per diem start: MI&E:Per diem end: Meetings: -

Miscellaneous:Total Reimbursable Expenses: -

Travel Advance: - Total:

Traveler: Title: Date:

Project Approval: Title: Date:

OH Approval: Title: Date:

Traveler: Title: Date:

Subtotals:

Fares AutoBilling Code

Traveler: I cerify that the air ticket received by Deloitte has not been transferred or used for anything other than government purposed.

USAID [Name of Project] Expense Report

SubtotalDate(s)Rec.

#Communications

Location: City, State/Country

* Comm. Code * Fare CodeA = Telephone A = AirplaneB = Telex B = TaxiC = Fax C = Car rentalD = Other D = OtherI = Internet

STOP: Before sign-ing and submitting, did you remember to: Specify whom the re-port is for? Include the origina-tor's name? Attach a receipt for each item? Include a billing code for each line?

Exchange Rate:

Country: US$1=

Country: US$1=

Country: US$1=

Prepare electronically. Itemize expenses on daily basis. Receipts MUST be attached for ALL items

except: taxi fares or baggage handling less than $15 and auto mileage.

With Accounting's permission, submit employee-certified statement for items without a receipt.

Include Visas, airport taxes, passports, travelers check charges under miscellaneous.

More Help

New

Click here if the report is for a non-consultant without an established vendor card

Travel Expense Form, Page 1 of 1

USAID Grants Manual


USAID Grants Manual


4.8 Final Report Template

Final Report Template, Page 1 of 9

USAID Grants Manual

