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Request for Applications (RFA) Number DAI/LEAD/RFA/0001/2024 Civil Society Advocacy to improve Domestic Revenue Mobilization, Budget Transparency, and Local Development and Service Delivery in Grand Bassa County and Buchanan City.

  • Location:
  • Salary:
    negotiable
  • Job type:
    Bid / ToR/RFQ/RFP/EOI
  • Posted:
    3 weeks ago
  • Category:
    Accounting & Finance
  • Deadline:
    March 6, 2024

USAID Liberia Local Empowerment for Accountability and Decentralization (LEAD) Activity

Request for Application (RFA)

Issuance Date: February 1, 2024

Closing Date: March 6, 2024 (35 days after issuance date)

Closing Time: 4:30PM

Subject: Request for Applications (RFA) Number DAI/LEAD/RFA/0001/2024 Civil Society Advocacy to improve Domestic Revenue Mobilization,Budget Transparency, and Local Development and Service Delivery in Grand Bassa County and Buchanan City.

Reference: Issued Under USAID Liberia Local Empowerment for Accountability and Decentralization (LEAD) Activity. USAID Contract No.

7200AA21D00016

LEAD Background

The USAID Liberia Local Empowerment and Accountability for Decentralization (LEAD) Activity was awarded to DAI Global LLC for a period of five years, from May 19, 2023, to May 18, 2028. The goal of this activity is to improve the capacities of targeted ministries, agencies, and commissions (MACs) and local governments to formulate and administer sound tax policies, improve budget transparency, deepen decentralization, and deliver quality services at the national, and sub-national level through the following objectives:

Objective1: Domestic Resource Mobilization (DRM) Improved, which comprises of three sub objectives:

1.1 Tax policy formulation strengthened.

1.2 Tax Administration system strengthened.

1.3 Citizen participation in DRM improved.

Objective 2: Budget transparency improved, which comprises three sub-objectives. 2.1 Disclosure of public and fiscal information enhanced.

2.2 Coordination of budget transparency strengthened.

2.3 Citizen participation in budget processes increased.

Objective 3: Local development and service delivery improved, which comprises of three sub objectives.

3.1 Local government capacity enhanced.

3.2 Sub-national DRM and PFM systems strengthened.

3.3 Citizen participation in local governance increased.

LEAD applies an integrated Governance Systems Approach which recognizes the complex challenges facing the Government of Liberia (GOL) in building a well-functioning governance system with effective DRM and fiscal decentralization, budget transparency, and local governance frameworks. While these frameworks need to work well independently, they also

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must work well together within the local system to enable good governance. LEAD will build local capacity and pilot county-specific interventions, complemented with technical assistance at national level to accelerate reforms. LEAD will provide support within the context of the existing legal framework, identifying opportunities to facilitate complementary action from the national government to accelerate reforms.

The primary counterparts for LEAD are the therefore ministries, agencies as well as the partner counties and cities. However, an active civil society and professional media that provide effective oversight of government financial management and ensure proper use of revenues is critical to the process of proposed interventions.

Pursuant to 2 CFR 700.13, it is USAID policy not to award profit under assistance instruments such as grant awards. However, all reasonable, allocable, and allowable expenses, both direct and indirect, which are related to the grant program and are in accordance with applicable cost standards (2 CFR 200 Subpart E for all US-based and for non-US based non-profit organizations, and the Federal Acquisition Regulation (FAR) Part 31 for for-profit organizations), may be paid under the grant.

For non-US organizations, the Standard Provisions for Non-US Nongovernmental Recipients will apply. For US organizations, 2 CFR 200 and the Standard Provisions for U.S. Nongovernmental Recipients will apply. See Annex 1 for Standard Provisions.

DAI is soliciting application from experienced and legally registered organizations (CSOs, NGOs, Private sector, and others) to implement the LEAD activities in the County of Grand Bassa and the respective city of Buchanan. The role of the CSOs will be to carry out awareness to improve domestic revenue mobilization, budget transparency, and local development and service delivery. Please refer to the Program Description for a complete statement of goals and expected results

Subject to the availability of funds, DAI intends to provide grants to one or more legally registered organizations (CSOs NGOs, Private Sector, Others) in grant amounts ranging from 50,000 to 70,000 USD each depending on the type and size of the proposed solution. The expected duration of DAI support or the period of performance is to be determined based on the presented activities and not to exceed 18 months. DAI, as primary implementer of the LEAD Project, reserves the right to fund any or none of the applications submitted.

For the purposes of this program, this RFA is being issued and consists of this cover letter and the following:

Section A – Grant Application Instructions

Section B – Special Grant Requirements

Section C – Selection Process

Section D – Program Description

Annexes

Applications must be received at DAI via e-mail not later than 35 days after the date of issuance indicated at the top of this cover letter at the place designated below. Applications and modifications thereof shall be submitted in pdf (preferred) or other electronic format to the grants team at LEAD_GrantsApplications@dai.com.

Award will be made to the responsible applicant(s) whose application(s) offers the best value.

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Issuance of this RFA does not constitute an award commitment on the part of DAI, nor does it commit DAI to pay for costs incurred in the preparation and submission of an application. Further, DAI reserves the right to reject any or all applications received. Applications are submitted at the risk of the applicant. All preparation and submission costs are at the applicant’s expense.

DAI intends to hold an orientation session one week after issuance of this RFA. The orientation session is intended to guide potential eligible applicants on this application process in an attempt to allow all interested parties to have a fair chance in understanding the requirements and submitting relevant proposals. All interested applicants can submit the names of their representatives (not to exceed 2) to the orientation session. All communication should be addressed to LEAD_GrantsApplication@dai.com within three working days upon the issuance of this RFA. DAI will be reaching out via mail about the various dates of the training.

Any questions concerning this RFA or a request for the Microsoft Word version of the application templates (Annex 03, Annex 04 and Annex 05) should be submitted in writing not later than 5 working days prior to the closing date shown above to LEAD_Grantapplication@dai.com . Applicants should retain for their records one copy of all enclosures which accompany their application.

Thank you for your interest in DAI’s USAID funded Liberia Local Empowerment for Accountability and Decentralization (LEAD) Activity.

Sincerely,

George Akl

Chief of Party

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Civil Society Advocacy to Improve Domestic Revenue Mobilization, Budget Transparency, and Local Development and Service Delivery.

Table of Contents

Section A – Grant Application Instructions ……………………………………………………………….5 1. Application Procedure …………………………………………………………………………………….. 5 A. Completion and submission of applications…………………………………………………… 5 B. Preparation Instructions – Technical …………………………………………………………….. 6 C. Preparation Instructions – Financial and Administrative Documentation …………. 7 B. Special Grant Requirements …………………………………………………………………………………8 C. Selection Process………………………………………………………………………………………………11 D. Program Description………………………………………………………………………………………..14 Annex 1: Mandatory Standard Provisions ………………………………………………………………..16 Annex 2: Certifications, Assurances, Other Statements of the Recipient……………………16 Annex 3: Application Form…………………………………………………………………………………….17 Annex 4: Workplan……………………………………………………………………………………………….21 Annex 5: PROJECT BUDGET ………………………………………………………………………………..22 Annex 6: CV Form and BioData Form…………………………………………………………………….23 Annex 7: Financial Capability Questionnaire ……………………………………………………………25 Annex 8: Instructions for Obtaining an Unique Entity ID DAI’S Vendors, Subcontractors and Grantees………………………………………………………………………………………………………..35 Annex 9:Self Certification for Exemption from Unique Entity ID (SAM) Requirement ..36 Annex 10: Application Checklist …………………………………………………………………………….37

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Section A – Grant Application Instructions

  1. Application Procedure
  2. Completion and submission of applications

Eligibility Requirements

For organizations to be eligible for consideration by DAI under this LEAD Activity, organizations must meet the following eligibility requirements:

  • Have gained solid experience in implementing projects in local governance, and public participation in local development and fiscal transparency in Liberia.
  • Have solid professional relationships with keys contacts within the communities of the specified County and respective city in Liberia.
  • Can provide proof of internal managerial and financial management procedures that comply with USAID Grant management requirements.
  • Be legally registered organization in Liberia.
  • Must have a Unique Entity ID (UEI).
  • Can demonstrate previous experience in working for international organizations in Liberia Have background or experience in implementing advocacy related programs. Have experience to carry out outreach activities in the targeted county and city. The team managing the project should at least include (full time or part time basis, depending on the need):

o A project manager expert with at least 5 years’ experience in designing, managing and implementing advocacy and local governance programs and managing similar projects.

o A public finance expert with at least 3 years of relevant experience.

(the above two positions can be merged in one)

o A communications/social media expert with at least 3 years’ experience managing communication outreach and social media platforms.

o An M&E and Reporting Specialist on the team with at least 3 years’ experience. o A pool of trainers that they can refer to when customizing the capacity development programs.

Application Submission Requirements

Applications must be submitted only by e-mail to LEAD_GrantsApplications@dai.com . In case of hard copy of any document that supports the application is needed, it can be hand-delivered to DAI LEAD offices on 18th Street and Warner Avenue, Sinkor, Monrovia. Applications must include:

  • Completed Application Form (annex 3)
  • Complete Project Workplan
  • Projected Grant Budget and Budget Notes (annex 5)
  • CVs and Biodata forms of all project team members (annex 6)
  • Completed Financial Capability Questionnaire and attachments (annex 7) Statement of liability (part of application form)

Deadlines

Applications must be received on the 6th of March 2024 not later than 35 days of the date of issuance indicated in the cover letter. Applications and modifications thereof shall be submitted in electronic form, pdf format to the grants team on the following address: LEAD_GrantsApplications@dai.com .

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Late Applications

All applications received by the deadline will be reviewed for responsiveness and programmatic merit according to the specifications outlined in these guidelines and the application format. Section C addresses the evaluation procedures for the applications. Applications which are submitted late or are incomplete run the risk of not being considered in the review process.

  1. Preparation Instructions – Technical

Page Limitation: Applications should be specific, complete, presented concisely and shall not exceed 15 pages (exclusive of an annexes).

Applications submitted in response to this RFA must include the following information:

  1. Application Cover Page:

The application must include a cover page that provides general information about the organization including, but not limited to, its email and physical addresses, names and addresses of its head and contact person, purpose/mission of the organization, etc.

  1. Project Description:

The applicant must provide a detailed description of the project, specifying its goal, activities, and results. The information should clearly indicate what the project will accomplish, in addition to why and how it will be implemented.

  1. Monitoring (Results and Benchmarks):

The applicant should define, to the maximum extent possible at the application stage, results, and benchmarks for monitoring the performance towards attainment of Project objective.

Project should respond to the following minimum indicators:

Number of educational material developed on public participation

Number of people with enhanced knowledge on public participation in local development

Number of community based organizations trained

Number of consultative meetings between citizens and local government to discuss planning and budgeting

Number of talk shows conducted

Number of people reached through social and other media platforms

Citizens’ charter developed and shared

M&E Plans should be able to generate lessons learnt and success stories. The applicant’s M&E Plan should be tailored based on project activities.

  1. Sustainability: The applicant should describe how the project, or its benefits will continue after grant funding ends.
  2. Personnel. The applicant should propose key personnel as described in the eligibility criteria section A.1 “Eligibility Criteria”. Each applicant should provide, as part of their application, detailed curriculum vitae that demonstrate the Key Personnel’s ability to perform the duties

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outlined in the statement of work and in accordance with the evaluation factors found herein. DAI will evaluate the CV to determine the individual’s knowledge, skills and abilities in the areas listed herein. During the implementation stage, any changes in personnel should be approved by the LEAD team.

  1. Organizational Capability: Each application shall include information that demonstrates the applicant’s expertise and ability to meet or exceed the goals of this program.
  2. Past Performance: Applicants must present evidence of their past experience in Liberia. Applicants may include descriptions of number of projects or other similar activities in has carried to similar the one been advertised. These references should include three (3) clients’ names and telephone numbers who will serve as references.
  3. Budget: All proposals must include a completed budget; see Section C for more details.
  4. Cost Sharing Contribution: Details regarding the proposed cost sharing contribution by your organization must be included. Applicants are encouraged, but not required or compulsory, to propose in-kind or financial contributions in their applications.

In-kind contributions are allowable as cost share, in accordance with 2 CFR 200.306. This includes such things as proportionate shares of management and other employee time, equipment, office supplies, and other costs of program operation. Rates for employee services shall be consistent with those paid for similar work in the recipient’s organization. The value of equipment (i.e., computers) shall not exceed the fair market value of equipment of the same age and condition. The basis for determining the valuation of services, equipment and supplies shall be documented in the application.

  1. Other material: Applicants may also want to submit other material as attachments along with their applications such as letters of reference, newspaper clippings reporting on the organization’s activities, brochures or other promotional material. Support letters demonstrating partnerships and cooperation with local government are of particular interest. However, attachments should be limited to 5 pages, and they will not be returned to the applicants.
  2. Preparation Instructions – Financial and Administrative Documentation
  3. Completed Budget. All budget lines must be clearly linked to specific project activities. This will include personnel, other administrative and those directly related implementing activities. Although DAI will support organization staff and operating costs that are necessary for reaching project goals, applicants should direct their resources primarily to project implementation, rather than organization operating costs. Sample budgets are included in this template package. See attached Annex 5 for the budget form. Supporting information shall be provided, as necessary, in sufficient detail to allow a complete analysis of each line-item cost.
  4. Completed Financial Capability Questionnaire, which includes: a. Audited Financial Reports: Copy of the applicant’s most recent financial report, which has been audited by a certified public accountant or other auditor satisfactory to DAI. If no recent audit, a “Balance Sheet” and “Income Statement” for the most current and previous fiscal year.
  5. Incorporation Papers or Certificate of Registration and Statute c. Organizational chart

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  1. Documentation that the applicant has the ability to comply with the award conditions, taking into account all existing and currently prospective commitments of the applicant. The applicant must demonstrate its ability to segregate funds obtained from the award of a capital grant from other activities of the organization. A separate bank account is required should a grant award be made. (Documentation may include certification from the applicant’s bank or a summary of previous awards, including type of funding, value, client, etc.)
  2. Documentation that the applicant has a satisfactory record of integrity and business ethics. (Documentation may include references from other donors or clients and a summary of previous awards, including type of funding, value, client, etc.)
  3. Depending on size, type, and complexity of the grant, the following may also specifically be requested at this stage:
  • if applicable – NICRA, or if no NICRA, the profit and loss statements which include detail of the total costs of goods and services sold, by information of the applicant’s customary indirect cost allocation method, together with supporting computations of the basis for the indirect cost allocation method
  • cash flow, description of management structure, and/or oversight procedures, if available copy of applicant’s accounting manual
  • copy of applicant’s operations manual
  • copy of purchasing policies and description of the applicant’s purchasing system (for large grantees)
  1. Unique Entity ID – UEI (SAM):

There is a mandatory requirement for the applicant to provide a Unique Entity ID (SAM)to DAI. Without an Unique Entity ID (SAM), DAI cannot deem an applicant to be “responsible” to conduct business with and therefore, DAI will not enter into an agreement with any such organization. The award of a grant resulting from this RFA is contingent upon the winner providing an Unique Entity ID (SAM) to DAI. Organizations who fail to provide an Unique Entity ID (SAM)will not receive an agreement and DAI will select an alternate awardee.

All U.S. and foreign organizations which receive a grant with a value of $25,000 and above are required to obtain an Unique Entity ID (SAM)prior to signing of the agreement. Organizations are exempt from this requirement if the gross income received from all sources in the previous tax year was under $300,000. DAI requires that grant applicants sign the self-certification statement if the applicant claims exemption for this reason. For those required to obtain an Unique Entity ID (SAM), see Annex 8- Instructions for Obtaining an Unique Entity ID (SAM)- DAI’S Vendors, Subcontractors and Grantees. For those not required to obtain an Unique Entity ID (SAM), see Annex 9- Self Certification for Exemption from Unique Entity ID (SAM)Requirement

  1. Special Grant Requirements

The applicant shall bear in mind the following special requirements for any grants awarded in response to this RFA:

Separate Account: A separate account must be established to house all funds provided under the grant, as well as all interest income.

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Permitted Uses of Program Income: The Grantee will inform DAI of any program income generated under the grant and agrees to follow USAID’s disposition requirements for such program income, which is in accordance with 2 CFR 200.307. Program income earned under this agreement shall be applied and used in the following descending order:

  1. Added to funds committed by USAID and the recipient to the project or program, and used to further eligible project or program objectives;
  2. Used to finance the non-Federal share of the project or program; and 3. Deducted from the total project or program allowable cost in determining the net allowable costs on which the federal share of costs is based.

If the terms and conditions of the award do not specify how program income is to be used, then number 2) shall apply automatically. Grantees who are commercial organizations may not apply Option 1) to their program income.

Use of Funds: Funds provided under any grant awarded shall be used exclusively to cover the costs of the awarded applicant’s project activities. Diversion of grant funds to other uses will result in cancellation of award and retrieval of funds disbursed to the grant recipient.

Reporting Procedures: A description of reporting requirements will be included in the Grant Agreements. The types of reporting required, along with the schedule of reporting, will depend on the grant type and project duration. Reporting forms will be provided to grant recipients. Types of reporting will include the following:

  • Program report to be submitted during project implementation according to a schedule determined by DAI. This report will include a description of project activities and progress towards meeting the project goal; problems in project implementation; actions taken to overcome them; and plans on how the next phase of the project will be implemented.
  • Final program report will describe how the project objectives and goals were reached, results of the project, and problems and solutions during implementation. This information should be presented in a manner suitable for presentation to the public.
  • Financial reports will be submitted to DAI according to a schedule described in the grant agreements. Types of financial reports, as well as the schedule of reporting, will depend on the type of grant, length of project, and amount of grant funding. Financial reports will be required in order to receive grant installments. These reports will describe the amount of grant funds spent during the previous period, total amount spent to date, and amount remaining in each budget line item. In addition, all grant recipients are required to submit a detailed Final Financial Report.

Issuance of the final installment of grant funds is contingent upon DAI’s receipt and acceptance of Final Financial and Final Program Reports.

Project Monitoring: DAI staff will monitor projects in terms of both programmatic and financial aspects. Grant recipients will be expected to facilitate monitoring by making relevant information available to DAI staff. Grantees will be expected to facilitate field visits for DAI’s LEAD team, and coordination meetings with the implementing team will be requested.

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Restrictions: The Grant Funds provided under the terms of this Agreement shall not be used to finance any of the following:

  1. Goods or services which are to be used primarily to meet military requirements or to support police or other law enforcement activities,
  2. Surveillance equipment,
  3. Equipment, research and/or services related to involuntary sterilization or the performance of abortion as a method of family planning,
  4. Gambling equipment, supplies for gambling facilities or any hotels, casinos or accommodations in which gambling facilities are or are planned to be located,
  5. Activities which significantly degrade national parks or similar protected areas or introduce exotic plants or animals into such areas, or
  6. Establishment or development of any export processing zone or designated area where the labor, environmental, tax, tariff, and/or safety laws of the country in which such activity takes place would not apply.
  7. Pharmaceuticals,
  8. Pesticides,
  9. Logging equipment,
  10. Luxury goods (including alcoholic beverages and jewelry),
  11. Establishing or expanding any enterprise that will export raw materials that are likely to be in surplus in world markets at the time such production becomes effective and that are likely to cause substantial injury to U.S. producers,
  12. Activities which would result in the loss of forest lands due to livestock rearing, road construction or maintenance, colonization of forest lands or construction of dams or other water control structures,
  13. Activities which are likely to have a significant adverse effect on the environment, including any of the following (to the extent such activities are likely to have a significant adverse impact on the environment):

i.) Activities which may lead to degrading the quality or renewability of natural resources;

ii.) Activities which may lead to degrading the presence or health of threatened ecosystems or biodiversity;

iii.) Activities which may lead to degrading long-term viability of agricultural or forestry production (including through use of pesticides);

iv.) Activities which may lead to degrading community and social systems, including potable water supply, land administration, community health and well-being or social harmony.

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  1. Activities which are likely to involve the loss of jobs in the United States due to the relocation or expansion outside of the United States of an enterprise located in the United States, or
  2. Activities which the Grantee is aware are reasonably likely to contribute to the violation of internationally or locally recognized rights of workers,

Other: As mentioned, grants will be made available to qualified organizations in grant amounts ranging up from USD70,000 to USD90,000 subject to the availability of funds and the type and size of the proposed solution but should not exceed 18 months (all grants will be distributed in United State Dollars). Payment will be made according to a monthly or installment schedule, and in no event will more than 90% of the total agreed budget be disbursed prior to receiving and approving the Final Financial and Final Program Report.

  1. Selection Process

Within 5 working days of the deadline for submitting applications, a review panel will convene. The review panel will include LEAD staff members who will be nominated as the Grants Evaluation Committee. DAI shall take steps to ensure that members of the review panel do not have any conflicts of interest or the appearance of such with regard to the organizations whose applicants are under review. An individual shall be considered to have the appearance of a conflict of interest if that person, or that person’s spouse, partner, child, close friend or relative works for or is negotiating to work for, or has a financial interest (including being an unpaid member of a Board of Directors) in any organization that submitted an application currently under the panel’s review. Members of the panel shall neither solicit nor accept gratuities, favors, or anything of monetary value from parties to the awards.

All applications that meet the application requirements will be reviewed by the review panel. Verification of the application submission requirements will be conducted at the USAID Liberia Local Empowerment for Accountability and Decentralization (LEAD) Activity Headquarters by its grants team.

If suitable applications are received, one or more awards will be made within 35 working days of the review panel meeting provided that the awardee (s) furnish (es) DAI with all the required documentation as itemized in Section A of this RFA.

The applications will be evaluated according to the evaluation criteria set forth below. To the extent necessary (if award is not made based on initial applications), negotiations may be conducted with each applicant whose application, after discussion and negotiation, has a reasonable chance of being selected for award. Award will be made to responsible applicants whose applications offer the best value.

Awards will be made based on the ranking of applications by the review panel according to the evaluation criteria and scoring system identified below noting that the passing grade is 60/100:

  1. Organization’s Profile, Past Performance, and Capabilities

The applicant’s past experience and capabilities in conducting projects of a similar nature with good understanding of relevant county dynamics.

Very good = 10 points; good = 8 points; average = 6 points; poor = 4 points;

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Very poor.

  1. Project Background: Problem Statement and Advocacy Goal

How clear and achievable are the problem statement and advocacy goal?

Very good = 10 points; good = 8 points; average = 6 points; poor = 4 points; Very poor= 0 point.

  1. Project Result and Potential Impact

What tangible or specific changes in knowledge, attitudes, practices, and/or behaviors does your organization anticipate that this grant will be achieved?

Very good = 20 points; good = 15 points; average = 10 points; poor = 5 points; Very poor= 0 point.

  1. Program Description and Technical Approach

Is the design innovative, creative and realistic?

Very good = 15 points; good = 12 points; average = 9 points; poor = 6 points; Very poor= 0 point.

  1. Monitoring and Evaluation

Alignment of proposed monitoring and evaluation activities with LEAD indicators

Very good = 10 points; good = 8 points; average = 6 points; poor = 4 points; Very poor = 0 point.

  1. Gender Equity and Social Inclusion

To what extent does the proposed project include gender equity and social inclusion?

Very good = 10 points; good = 8 points; average = 6 points; poor = 4 points; Very poor=0 point.

  1. Potential for Sustainability

Is the project or its benefits likely to continue after grant funding ends?

Very good = 10 points; good = 8 points; average = 6 points; poor = 4 points; Very poor=0 point.

  1. Project Management (Personnel).

Qualifications and cost reasonableness of the proposed team in terms of the expected results?

Very good = 15 points; good = 12 points; average = 9 points; poor = 6 points; Very poor= 0 point.

DAI and USAID reserve the right to fund any or none of the applications received

Signing of Grant Agreements

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Upon USAID concurrence of the applicant, a Grant Agreement will be prepared. After DAI and the successful applicant have signed the Grant Agreement, DAI will provide training on financial management and reporting on grant funds. All reporting and contractual obligations will be explained to the grant recipients. Before receiving the first grant installment, all grant recipients must open a separate bank account as this is the only means by which grant funds will be transferred from DAI to the grant recipient.

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  1. Program Description

This grant program falls under the overarching LEAD mandate to enhance civil society advocacy to improve domestic revenue mobilization, budget transparency, local development and service delivery.

Aligned with the Integrated Governance Systems Approach, DAI is launching this RFA to collaborate with qualified entities, CSOs, capacity development firms and other private sector firms to advance systems improvements, in support of decentralization and local governance, while fostering transparency and accountability at the local level.

DAI will use this grants program to equip each grantee with the technical and financial capacity to manage and execute activities. The applicant is expected to propose activities to scale innovation in engaging citizens in local decision-making processes and use of social accountability tools to oversee service delivery at the County of Grand Bassa and the city of Buchanan level.

DAI will encourage diversity among grantees by streamlining the application process, identifying women’s and youth organizations, and ensuring equitable allocation of grant funding. Recognizing that new partners may be new to the USAID grant guidelines, DAI has provided hereto clear processes that minimize the burden on grant applicants. Where possible, DAI will strengthen grantees capacities to integrate the voices of marginalized populations by engaging groups representing diverse constituencies, including LGBTQI+ and people with disabilities (PWD).

Proposed interventions should cover most, if not all the following objectives and activities at both the County and the City level:

Produce and disseminate public information programs using user friendly formats over multiple media platforms to educate citizens on local governments mandates and recent policy changes, including Local Governance Act 2018, municipal fees and services.

Partner and train local CSOs on mastering the Local Governance Act of 2018 and facilitate town hall meetings for local CSOs to spread awareness about the Act. Design debates and talk shows to discuss revenue sharing bill as well as fiscal and administrative decentralization.

Train citizens and community groups on county and city development process Organize and facilitate county public dialogues and engagement events between citizens, county councils, local legislature caucus and local government officials

Organize awareness sessions with various communities to include:

o Roles and responsibilities of county council

o Roles and responsibilities of county Administration

o Roles and responsibilities of County Service Centers

o Conduct pre and post test to measure percentage improvement in knowledge gained on roles and responsibilities of county administration

Support County Councils logistics in terms of office location/venue, needed office equipment as well as mobilization of monthly meetings

Facilitate training workshops for local officials on citizens’ participation in local decision making to include:

o Engage in consultative Budgetary planning

o Budget allocation and expenditure

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o Revenue Analysis Exercise

Produce and disseminate public information programs using user friendly formats over multiple media platforms to educate citizens on local governments mandates and recent policy changes, including Local Governance Act 2018, municipal fees and services.

Design debates and talk shows to discuss revenue sharing bill as well as fiscal and administrative decentralization.

Train citizens and community groups on county and city development process Organize and facilitate public dialogues and engagement events between citizens and local government officials for participation on topics to include:

o Community Development Action Plans

o Engage in consultative Budgetary planning

o Budget allocation and expenditure

o Revenue Analysis Exercise

Facilitate training workshops for local officials on citizens’ participation in local decision making.

Collaborate with other players if need be to organize and facilitate public dialogues in addressing the youth at high schools, community colleges and universities, as well as marginalized groups, LGBTQ and people with disabilities (PWD), to build awareness about public participation and include trainings in topics such as but not limited to: o Persuasive speaking

o Advocacy

o Lobbying

Update the quick reference pamphlet on local decision making and ensure proper distribution and outreach

Establish a consultative process to develop a citizens’ charter that reflects standards of service delivery in Community Service Centers

Indicators to measure impact of the above activities can include but not limited to:

Number of educational materials developed on public participation

Number of citizens, including women, youth, and people with disabilities (PWD) who participate in local government process

Number of local organizations and CSOs trained on Local Governance Art and public participation

Number of consultative meetings held between communities and County administration to include County Councils

Percent change in citizens’ awareness of local government functions

Number of persons trained to advance outcomes consistent with gender equality or female empowerment through their roles in public or private sector institutions or organizations

Number of talk shows conducted

Number of people reached through social and other media platforms Citizens’ charter developed and shared

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Annex 1: Mandatory Standard Provisions

Mandatory Standard Provisions for US Nongovernmental Recipients:

https://www.usaid.gov/sites/default/files/documents/1864/303maa.pdf

or

Mandatory Standard Provisions for Non-US Nongovernmental Recipients: https://www.usaid.gov/sites/default/files/documents/1868/303mab.pdf

Annex 2: Certifications, Assurances, Other Statements of the Recipient

In accordance with ADS 303.3.8, DAI will require successful grant applicants to submit a signed copy of the following certifications and assurances, as applicable:

  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.) 2. Certification Regarding Lobbying (This certification applies to grants greater than $100,000.)
  2. Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206)
  3. Certification Regarding Terrorist Financing, Implementing Executive Order 13224
  4. Certification Regarding Trafficking in Persons, Implementing Title XVII of the National Defense Authorization Act for Fiscal Year 2013 (Note: This certification applies if grant for services required to be performed outside of the United States is greater than $500,000. This certification must be submitted annually to the USAID Agreement Officer during the term of the grant.)
  5. Certification of Recipient

In addition, the following certifications will be included Part II – Key Individual Certification Narcotics Offenses and Drug Trafficking (Note: Only as required per ADS 206 for Key Individuals or Covered Participants in covered countries.)

Part III – Participant Certification Narcotics Offenses and Drug Trafficking (Note: Only as required per ADS 206 for Key Individuals or Covered Participants in covered countries.)

Part IV – Representation by Organization Regarding a Delinquent Tax Liability or a Felony Criminal Conviction

Part V – Other Statements of Recipient

Part VI – Standard Provisions for Solicitations

(Note: Parts V & VI – Are included in the grant file as part of the grant application.)

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Annex 3: Application Form

Annex 3

A P P L I C A T I O N F O R M

  1. THE APPLICANT
  2. Name of applicant

(please include also acronyms, if any)

  1. Address of applicant

(please include official address as well as postal address)

Official address:

Postal address:

  1. VAT registration number

(if applicable)

  1. Telephone
  2. Fax
  3. E-mail
  4. Web site
  5. Contact person
  6. PROJECT INFORMATION
  7. Title of proposed project
  8. Location and duration

Location: [city / commune], [county]

Duration: ____ months, from [month] [year] to [month] [year]

  1. Summary Budget

Total budget (USD) (100%) Amount requested (%)

(USD)

 

Applicant contribution (USD) (%)

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  1. OPTIONAL: Partners involved in the project – Use if appropriate

(Please list all partner organizations involved in the project; insert as many lines as necessary)

NAME OF PARTNERROLE IN THE

PROJECT

CONTACT DATA
Official address:

Phone and fax:

E-mail:

Contact person:

Official address:

Phone and fax:

E-mail:

Contact person:

 

III. PROJECT DESCRIPTION ADJUST THIS ENTIRE SECTION AS NECESSARY

  1. Project summary

(Please provide a brief summary of your project and any necessary background information; the summary must be no more than 2 pages and should clearly address what your project will accomplish, in addition to why and how it will be implemented.)

  1. Project goal, activities and results

(Please provide accurate and detailed information, no more than 2 pages.)

  1. a) How will the project goals be achieved?
  2. b) What are the specific activities that you will undertake?
  3. c) What are the specific expected results that your project will bring about?

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  1. Cost share

(Explain the cost share to the project in terms of type of contribution and value.)

  1. Monitoring and evaluation
  2. a) How will you know that your project was successfully implemented? What criteria will you use to measure the achievements of your project?

(Please include the tools you will use to monitor project activities and evaluate project results) 5. Sustainability

  1. a) Describe how the activities in your project will be sustained after funding ends. How will the activities or results of your project continue?
  2. Project activity schedule and timeline (work plan)

(Based on the activities listed in section III.2(b) above, please fill in the work plan using the template provided in Annex 4)

  1. PROJECT TEAM

Please list all project team members, including their position, role in the project and a short description of their assigned responsibilities. (Insert as many lines as necessary). (Please attach CVs for key personnel involved in the project, using the template provided in Annex 6; also include a 1420 BioData Form to be filled out by all key personnel)

NONAME & SURNAMEPOSITIONROLE IN THE

PROJECT

DESCRIPTION
1
2
3
4
5
6
7
8

 

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  1. APPLICANT CAPABILITY AND PAST PERFORMANCE
  2. Organizational capability and resources

Annual income over the past three years, mentioning the names of your main financial contributors (where applicable)

YEARTOTAL ANNUAL INCOME (in USD)MAIN FINANCIAL CONTRIBUTORS

 

  1. a) Please describe the various resources at the disposal of your organization such as: equipment, offices etc.
  2. Past performance

Please describe no more than three major projects in which your organization was involved over the past three years, using the table below.

  1. a) Project title
  2. b) Duration (months)
  3. c) Year
  4. d) Location
  5. e) Role of your

organization

(leader, partner)

  1. f) Project objectives
  2. g) Project results
  3. h) Total budget (USD)
  4. i) Funding sources and

types of funding

(grants, contract, or

other)

Please include contact

information for funding

sources.

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Annex 4: Workplan

ANNEX 4

Name of applicant:

Insert desired workplan format here

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Annex 5: PROJECT BUDGET

Kindly click the icon below to access the grant budget and budget notes template:

Annex – 5 Budget and

Budget Notes Template

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Annex 6: CV Form and BioData Form

ANNEX 6

Curriculum Vitae

Proposed position in the project:

Name (First, Middle, Last):

Citizenship:

Education:

Name and location of institutionMajor(s) or Degree(s) obtained:

 

Language proficiency – indicate proficiency on a scale of 1 (poor) to 5 (native):

LanguageReadingSpeakingWriting

 

Membership of NGOs or other professional bodies:

Key skills and qualifications relevant to the project (e.g. computer literacy, etc.):

Employment history:

Position

Title

Employer’s name and addressDates of employmentShort description

of tasks performed

From

(month,

year)

To

(month,

year)

 

Other relevant information: (e.g. publications, seminars/courses etc.):

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STATEMENT OF LIABILITY

I, the undersigned, being the person responsible in the applicant organization for this project, certify that the information given in this application is true and accurate.

Name and

surname:

Position:
Signature & stamp:
Date and Place:

 

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Annex 7: Financial Capability Questionnaire

Accounting System and Financial Capability Questionnaire For DAI Grant Recipients

The main purpose of this questionnaire is to understand the systems adopted by your institution for financial oversight and accounting of grant funds, especially those provided through the U.S. Federal Government. The questionnaire will assist DAI program and accounting staff to identify the extent to which your institution’s financial systems match the requirements of the U.S. Federal Government. This information will help the program staff work with you and your institution to review any problem areas that may be identified; thereby avoiding any problems or oversights which would be reportable should an audit of the program or institution be required.

The questionnaire should be completed by the financial officer of your institution in collaboration with DAI program staff. This questionnaire is informational only, and will not have any bearing on the agreement to support your institution based on the technical merit of the proposal. Therefore, please answer all questions to the best of your knowledge.

While 2 CFR 200 does not cover awards to non-U.S. recipients, DAI shall rely on the standards established in that regulation in determining whether potential non-U.S. recipients are responsible to manage Federal funds. A determination shall be made on the potential recipient’s ability, or potential ability, to comply with the following USAID and federal-wide policies:

1) 2 CFR 200 Subpart D (Financial and Program Management);

2) 2 CFR 200 Subpart D (Property Standards);

3) 2 CFR 200 Subpart D (Procurement Standards); and

4) 2 CFR 200 Subpart D (Performance and Financial Monitoring and Reporting).

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SECTION A: General Information

Please complete this section which provides general information on your institution. Name of Institution:

Name and Title of Financial Contact Person:

Name of Person Filling out Questionnaire:

Mailing Address:

Street Address (if different)

Telephone, Fax, Email (if applicable)

Enter the beginning and ending dates of your institution’s fiscal year:

From: (Month, Day) To: (Month, Day)

SECTION B: Internal Controls

Internal controls are procedures which ensure that: 1) financial transactions are approved by an authorized individual and are consistent with U.S. laws, regulations and your institution’s policies; 2) assets are maintained safely and controlled; and 3) accounting records are complete, accurate and maintained on a consistent basis. Please complete the following questions concerning your institution’s internal controls.

  1. Does your institution maintain a record of how much time employees spend on different projects or activities?

Yes: No:

  1. If yes, how?

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  1. Are timesheets kept for each paid employee?

Yes: No:

  1. Do you maintain an employment letter or contract which includes the employee’s salary? Yes: No:
  2. Do you maintain inventory records for your institution’s equipment? Yes: No: (if no, explain)
  3. How often do you check actual inventory against inventory records?
  4. Are all financial transactions approved by an appropriate official?

Yes: No:

  1. The person responsible for approving financial transactions is: ________________ Title: ______________
  2. Is the person(s) responsible for approving transactions familiar with U.S. Federal Cost principles as described in 2 CFR 200 Subpart E?

Yes: No:

  1. Does your institution use a payment voucher system or some other procedure for the documentation of approval by an appropriate official?

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Yes: No:

  1. Does your institution require supporting documentation (such as original receipts) prior to payment for expenditures?

Yes: No:

  1. Does your institution require that such documentation be maintained over a period of time?

Yes: No:

If yes, how long are such records kept?

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  1. Are different individuals within your institution responsible for approving, disbursing, and accounting of transactions?

Yes: No:

  1. Are the functions of checking the accuracy of your accounts and the daily recording of accounting data performed by different individuals?

Yes: No:

  1. Who would be responsible for financial reports? ________________________________________

SECTION C: Fund Control and Accounting Systems

Fund Control essentially means that access to bank accounts and/or other cash assets is limited to authorized individuals. Bank balances should be reconciled periodically to the accounting records. If cash cannot be maintained in a bank, it is very important to have strict controls over its maintenance and disbursement.

An Accounting System accurately records all financial transactions and ensures that these transactions are supported by documentation. Some institutions may have computerized accounting systems while others use a manual system to record each transaction in a ledger. In all cases, the expenditure of funds provided by the USAID-funded program must be properly authorized, used for the intended purpose, and recorded in an organized and consistent manner.

  1. Does your institution maintain separate accounting of funds for different projects by: Separate bank accounts:

A fund accounting system:

  1. Will any cash from the grant funds be maintained outside a bank (in petty cash funds, etc.)? Yes: No:

If yes, please explain the amount of funds to be maintained, the purpose and person responsible for safeguarding these funds.

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  1. If your institution doesn’t have a bank account, how do you ensure that cash is maintained safely?
  2. Does your institution have written accounting policies and procedures? Yes: No:
  3. How do you allocate costs that are “shared” by different funding sources, such as rent, utilities, etc.?
  4. Are your financial reports prepared on a:

Cash basis: Accrual basis:

  1. Is your institution’s accounting system capable of recording transactions, including date, amount, and description?

Yes: No:

  1. Is your institution’s accounting system capable of separating the receipts and payments of the grant from the receipts and payments of your institution’s other activities?

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Yes: No:

  1. Is your institution’s accounting system capable of accumulating individual grant transactions according to budget categories in the approved budget?

Yes: No:

  1. Is your institution’s accounting system designed to detect errors in a timely manner? Yes: No:
  2. How will your institution make sure that budget categories and/or overall budget limits for the grant will not be exceeded?
  3. Are reconciliations between bank statements and accounting records performed monthly and reviewed by an appropriate individual?

Yes: No:

  1. Briefly describe your institution’s system for filing and keeping supporting documentation.

SECTION D: Audit

The grant provisions require recipients to adhere to USAID regulations, including requirements to maintain records for a minimum of three years to make accounting records available for review by appropriate representatives of USAID or DAI, and, in some cases,

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may require an audit to be performed of your accounting records. Please provide the following information on prior audits of your institution.

  1. Is someone in your institution familiar with U.S. government regulations concerning costs which can be charged to U.S. grants (2 CFR 200 Subpart E “Cost Principles” )?

Yes: No:

  1. Do you anticipate that your institution will have other sources of U.S. government funds during the period of this grant agreement?

Yes: No:

  1. Have external accountants ever performed an audit of your institution’s financial statements?

Yes: No:

If yes, please provide a copy of your most recent report.

  1. Does your institution have regular audits?

Yes: No:

If yes, who performs the audit and how frequently is it performed?

  1. If you do not have a current audit of your financial statements, please provide this office with a copy of the following financial statements, if available:
  2. A “Balance Sheet” for the most current and previous year; and
  3. An “Income Statement” for the most current and previous year.
  4. Are there any circumstances that would prevent your institution from obtaining an audit? Yes: No:

If yes, please provide details:

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CHECKLIST AND SIGNATURE PAGE

DAI requests that your institution submit a number of documents along with this completed questionnaire. Complete this page to ensure that all requested information has been included.

Complete the checklist:

Copy of your organization’s most recent audit is attached.

If no recent audit, a “Balance Sheet” “Income Statement” for the most current and previous fiscal year.

All questions have been fully answered.

An authorized individual has signed and dated this page.

Incorporation Papers or Certificate of Registration and Statute is attached. Information describing your institution is attached.

Optional:

Organizational chart, if available is attached (if applicable).

The Financial Capability 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 _____________

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Annex 8: Instructions for Obtaining an Unique Entity ID DAI’S Vendors, Subcontractors and Grantees

Form 3.9 Attachment

A – Instructions for Obtaining an Unique Entity ID.docx

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Annex 9: Self Certification for Exemption from Unique Entity ID (SAM) Requirement

Form 3.10 – Self

Certification for Exemption from Unique Entity ID Requirement (2).pdf

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Annex 10: Application Checklist

Before submitting your application, please check to make sure the following are included:

The application dossier is comprised of ___ original and ___ copies of all documents If applicable: The application is submitted also in electronic format

Applicable certifications and assurances are signed and included (see Annex 2) If applicable: The workplan is included (Annex 4)

Budget is included

If minimum cost-share required include the following: In the budget, the applicant’s contribution is identified and is at least _____% of total project costs

The CVs and BioData Forms are included (Annex 6)

The statement of liability is signed and stamped (last page of application form – Annex 3) Completed Financial Capability Questionnaire (Annex 7)

Audited Financial Reports: Copy of the applicant’s most recent financial report, which has been audited by a certified public accountant or other auditor satisfactory to DAI. If no recent audit, a “Balance Sheet” and “Income Statement” for the most current and previous fiscal year.)

Incorporation Papers or Certificate of Registration and Statute

Organizational Chart

Documentation that the applicant has the ability to comply with the award conditions, taking into account all existing and currently prospective commitments of the applicant. The applicant must demonstrate its ability to segregate funds obtained from the award of a capital grant from other activities of the organization. A separate bank account is required should a grant award be made. (Documentation may include certification from the applicant’s bank or a summary of previous awards, including type of funding, value, client, etc.)

Documentation that the applicant has a satisfactory record of integrity and business ethics. (Documentation may include references from other donors or clients and a summary of previous awards, including type of funding, value, client, etc..) Evidence of a UEI Number or a Self Certification for Exemption from UEI Requirement.

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