USAID Punjab Enabling Environment Project (USAID PEEP)
Capacity Development Support (CDS) Grants
Request for Applications (RFA) No. CDS Grants/RFA#003/2015
Capacity Development Support to Universities and Business Organizations (Chambers of
Commerce) for Sector Growth, Policy and Advocacy in Livestock, Dairy and Horticulture Sectors
Issuance Date: June 2, 2015
Dear Applicant:
Punjab Enabling Environment Project (PEEP) is seeking grant applications for implementation of its
Capacity Development Support Program (CDS). PEEP entails provision of technical assistance and grants
under its “Capacity Development Support” program. The CDS is part of PEEP efforts to strengthen
institutional and human capacity development in Punjab based entities contributing to policy and regulatory
reforms related research, implementation of reforms or delivery of support services to the private sector
enterprises in the horticulture, livestock and dairy sub-sectors.
The grants will be awarded and implemented in accordance with USAID and US Government regulations
governing grants under contracts and PEEP’s internal grant management policies.
Project and Chemonics employees may not ask for, and applicants are prohibited from offering, any money,
fee, commission, credit, gift, gratuity, thing of value, or compensation to obtain or reward improper
favorable treatment regarding this solicitation. Any improper request from a project employee should be
reported to the chief of party or BusinessConduct@chemonics.com.
Annexes included with this Request for Applications:
- Annex A – Grant Application Form
- Annex B – Implementation Timeline
- Annex C – Grant Application Budget Form
- Annex D – Applicant Self-Assessment Form
- Annex E – Required Certifications
- Annex F – Survey on Ensuring Equal Opportunity for Applicants
- Annex G – Standard Provisions for Fixed Amount Award to Nongovernmental Organizations
SECTION I. PROGRAM DESCRIPTION
I.A.
Project Background
Punjab’s agriculture sector, which includes livestock, dairy, and horticulture has long played a key role as
the region’s main economic driver. The province, however, faces many obstacles to growth including power
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and water shortages, natural disasters, crime, and security concerns – all contribute to what has been a
challenging business-enabling environment.
USAID’s Punjab Enabling Environment Project (PEEP) is a five-year effort to support the Government of
Punjab in improving business environment for the livestock, dairy, and horticulture sub-sectors. The project
is working to build a strong business enabling and policy environment to help boost private sector
investment in the three subsectors. The project efforts will contribute towards USAID’s development
objective of Increased Incomes and Employment in target sectors.
PEEP’s aim, therefore, is to focus on the following:
a) Accelerate advocacy for policy, regulatory and institutional reforms through the private sector,
leading to early adoption and implementation of reforms;
b) Support institutional capacity building to sustain enabling environment reforms;
c) Mobilize major private sector investments in livestock, dairy, and horticulture projects in
support of changes in the business environment.
Project interventions are meant to improve the business environment by reducing the cost and time of doing
business and influencing policy and regulatory reforms through consultative mechanisms. This will help
spur private sector investment leading to increased employment and incomes in the target subsectors. PEEP
stakeholders include private sector entrepreneurs, civil society actors, including local universities, business
service agencies and the Government of Punjab. Core advocacy groups, comprised of all sector
stakeholders, have been established to work together to help identify and advocate for better designing and
implementation of various initiatives to improve Punjab’s business environment in the target subsectors.
I.B.
GRANT OBJECTIVE AND SCOPE
In order to sustain policy reforms and advocacy initiatives, beyond the life of the project, institutional
development of the public and private sector organizations are imperative. To achieve this, USAID’s Punjab
Enabling Environment Project (PEEP) aims at working with a broad range of stakeholders including the
Government of Punjab, relevant associations, civil society, chambers of commerce, universities, and other
public policy institutions in livestock, dairy and horticulture sectors.
Universities and Business Organizations (Chambers of Commerce) play an important role in providing
inputs for effective decision making at business level, strategy formulation at the industry level and
evidence based policy formulation or reforms at the economy level. PEEP recognizes that strengthening
capacities of related institutions is important to enhance competitive strength of the livestock, dairy and
horticulture sectors in Punjab.
Through its grants program, PEEP will support targeted but integrated capacity building programs to
strengthen institutional capacities of universities and chambers of commerce to undertake evidence based
research initiatives for market / sector growth, policy and institutional reforms, and advocacy for developing
business enabling environment in Punjab
Through this RFA, PEEP is seeking applications from Universities and Chambers of Commerce, serving
livestock, dairy and horticulture sectors in Punjab, for the award of grant (combination of technical
assistance and in-kind / monetary grant), to facilitate them to become research entities that can provide
research based recommendations to investors, sector stakeholders, and policy makers of Punjab for the
mentioned sectors.
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This Request for Applications (RFA) is published to disseminate information with the aim to encourage
competition in the award of grants under contract (GUC). Issuance of this RFA is part of the USAID PEEP
processes for soliciting, evaluating and awarding grants support based on predefined processes and
evaluation criteria to ensure transparent and competitive processes for the selection of sub-grantees and
projects in line with USAID PEEP program goals.
USAID Punjab Enabling Environment Project’s goals will be achieved through this grant program
by extending support for the following activities:
1. Conduct market growth assessments, constraints analyses, and sector assessments needed to inform
strategic decision making, policy reforms, legislative reforms and investment decisions.
2. Undertake activities to strengthen capacities for market/sector research, analysis, compilation and
inputs to support strategy and policy formulation.
3. Engagement of industry experts for providing technical assistance needed for
establishing/strengthening systems, improving processes and devising improvement plans for
enhanced capacities to provide guidance and support for investment in the mentioned sectors.
4. Develop and conduct capacity development programs to enhance capacity of its human resources
on policy research / sector assessment / advocacy / investment.
5. Develop and undertake capacity development programs to enhance the capacity of its
stakeholders/clients including government, institutions, business associations, chambers of
commerce and private businesses on the policy and institutional reforms, advocacy, and investment.
6. Conduct research to provide policy inputs to government of Punjab on the mentioned economic
sectors.
7. Initiatives for capacity development of the grantee organizations on sector research, policy and
advocacy, especially setting up the “business and policy unit / cell” in grantee organization.
The above is an illustrative list of areas for support through this RFA. It is by no means exclusive and
creativity is encouraged from applicants.
Expected Outcomes:
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I.C.
Availability of facilities and human resources as well as improved processes / systems are expected
to enhance capacities of selected universities and chambers of commerce, which in turn would
contribute to strengthening evidence based decision making at the level of individual businesses,
business support organizations and policy formulation and reforms at the government of Punjab
level in the target sectors.
Inclusion of the academia and researchers, market / sector analyst and strategy development experts
in the strategy and policy formulation processes are expected to improve quality and effectiveness
of policy formulation in the target sectors in Punjab and spurring investment.
AUTHORITY/GOVERNING REGULATIONS
USAID’s PEEP grant awards are made under the authority of the U.S. Foreign Affairs Act and USAID’s
Advanced Directive System (ADS) 302.3.5.6, “Grants under Contracts.” Awards made to non-U.S.
organizations will adhere to guidance provided under ADS Chapter 303, “Grants and Cooperative
Agreements to Non-Governmental Organizations” and will be within the terms of the USAID
http://www.usaid.gov/sites/default/files/documents/1868/303mat.pdf , as well as the PEEP’s grants
procedures.
ADS 303 references three additional regulatory documents issued by the U.S. Government’s Office of
Management and Budget (OMB) and the U.S. Agency for International Development:
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22 CFR 226: Administration of Assistance Awards to U.S. Non-Governmental Organizations
OMB Circular A-122: Cost Principles for Nonprofit Organizations
OMB Circular A-133: Audits of States, Local Governments, and Nonprofit Organizations
Full text of the OMB circulars can be found at http://www.whitehouse.gov/omb/circulars/. PEEP is required
to ensure that all organizations receiving USAID grant funds comply with the guidance found in these
circulars, as applicable to the respective terms and conditions of their grant awards.
Under the PEEP grant program, USAID retains the right at all times to terminate, in whole or in part,
PEEP’s grant-making authorities.
SECTION II. AWARD INFORMATION
PEEP anticipates awarding grants to Research and academic institutes for market growth analysis
amounting to an average of PKR 1,000,000. The award funding can be increased depending on the nature
and size of the project/grant.
Duration of grant awards under this solicitation will vary depending on the nature and size of the
project/grant. It is expected that initially these grants will be issued for 12 months. PEEP may increase the
period of grant and funding depending on performance of the project, availability of funds and USAID
approval. The estimated start date of grants awarded under this solicitation is to be determined.
II.A.
TYPE OF GRANT
PEEP anticipates to issue Fixed Amount Award (FAA) to successful applicants, considering most of the
activities under this type of grants pertain to capacity building and research based activities. This type of
grant is further described in ADS 303.3.25. Following are the key features of FOG:
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No advances may be provided under a FOG, however all grantees have access to a minimum
amount of working capital to initiate the grant activity.
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The grantee shall receive tranche payments upon completion of pre-determined milestones (no
advances). An initial milestone payment may be provided, and an initial milestone payment cannot
be for more than one month (less than 30% of the total budget) worth of grantee expenses.
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During the cost negotiation, PEEP may assist the applicant to establish a realistic budget for
milestones.
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Tranche payment amounts are fixed in the grant agreement, and will only be made based on verified
(by PEEP) milestone achievement.
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All costs that comprise the budget are identified in the budget and explained within the budget
notes, and may be subject to additional pre-award verification by PEEP staff.
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Any goods to be purchased meet 22 CFR 228 and ADS 310.
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Programmatic accomplishments or results in establishing grant milestones can be easily identified
and quantified.
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The grant shall not include sub-awards.
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No construction activities.
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Tranche payments will not be made unless Milestones have been approved and completed.
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SECTION III. ELIGIBILITY
III.A. ELIGIBLE RECIPIENTS
The Applicant must meet the following eligibility criteria:
1. Registered in Pakistan as a, public or private university, private sector business organization,
chamber of commerce, and think tank under applicable laws and regulations, and should be
compliant with mandatory laws and regulations.
2. Substantial experience of research and market growth analysis especially in the area of livestock,
dairy and horticulture sectors in Punjab province.
3. Have strong presence in PEEP priority areas and have done similar work with other international
or national agencies.
4. Applicants must be able to demonstrate successful past performance in implementation of
integrated development programs related to PEEP’s priority areas.
5. Applicants must have established outreach capabilities with linkages to the beneficiary groups,
farmers and value chain players.
6. The proposed activity must respond to the goals and objectives of the PEEP project.
7. When applicable, applicant must provide an environmental assessment and mitigation report to
comply with USAID environmental regulations.
8. Faith-based and community groups will receive equal opportunity for funding in accordance with
the mandated guidelines laid out in Annex F of this RFA except for faith-based organizations whose
objectives are for discriminatory and religious purposes, and whose main objective of the grant is
of a religious nature.
9. Applicants must display sound management in the form of financial, administrative, and technical
policies and procedures and present a system of internal controls that safeguard assets; protect
against fraud, waste, and abuse; and support the achievement of program goals and objectives.
PEEP will assess this capability prior to awarding a grant.
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Applicants must sign the following required certifications prior to receiving a grant. The
certifications are attached to this solicitation (Annex E).
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Assurance of Compliance with Laws and Regulations Governing Nondiscrimination in
Federally Assisted Programs
Certification Regarding Lobbying
Certification Regarding Terrorist Financing
Prohibition on Assistance to Drug Trafficking for Covered Countries and Individuals
Key Individual Certification Narcotics Offenses and Drug Trafficking
Requirement and Guidelines for obtaining Data Universal Numbering System (DUNS) number
Certification Regarding Drug Free Workplace
Initial Environmental Examination Form
Certification of Recipient
Survey on ensuring Equal Opportunity for Applicants
The project will work with the successful grantee to draft a marking and branding plan which will be
annexed to the grant agreement.
PEEP encourages applications from new organizations who meet the above eligibility criteria.
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SECTION IV – APPLICATION AND SUBMISSION INFORMATION
IV.A. INSTRUCTIONS TO APPLICANTS
Applicants must propose strategies for the implementation of the program description described above,
introducing innovations that are appropriate to their organizational strengths.
IV.A.1. APPLICANT SELF-ASSESSMENT
All organizations selected for award are subject to a pre-award responsibility determination conducted by
PEEP, to ascertain whether the organization has the minimum management capabilities required to handle
US government funds. The applicant self-assessment is the first step in the pre-award responsibility
determination process. The Applicant Self-Assessment Form is contained in Annex D.
Instructions and a template for the full application are in Annex A. Applicants that submit full applications
that meet or exceed the evaluation criteria shell be notified of next steps in the application process.
IV.A.2. GRANT APPLICATION
Templates to be utilized when developing the application are provided in Annex A-C. Applicants shall
present their technical application and budget in the formats provided and shall follow the instructions and
guidelines listed in these annexes.
All grant activity costs must be within the normal operating practices of the Applicant and in accordance
with its written policies and procedures. For applicants without an audited indirect cost rate, the budget may
include direct costs that will be incurred by the Applicant to provide identifiable administrative and
management costs that can be directly attributable to supporting the grant objective.
An applicant can apply for multiple funding streams/regions but the applicant will only be awarded one
grant at a time. For any queries related to RFA and application form, kindly email it to email PEEP.
The application must be signed by an authorized agent of the Applicant.
IV.A.3 INELIGIBLE EXPENSES
PEEP grant funds may not be utilized for the following:
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Private ceremonies, parties, celebrations, or "representation" expenses.
Purchases of restricted goods, such as certain agricultural commodities, motor vehicles (including
motorcycles), pharmaceuticals and contraceptive items, pesticides, used equipment, U.S.
government excess property and fertilizers without the previous approval by the USAID
Contracting Officer through PEEP. If procurement of these restricted goods is necessary, PEEP
may decide to procure items directly and provide them in kind to the grantee after receiving
approval from the USAID Contracting Officer.
Prohibited goods under USAID regulations, including but not limited to: military and surveillance
equipment, police or law enforcement equipment, abortion equipment and services, weather
modification equipment, luxury goods, and gambling equipment.
Purchases of goods or services restricted or prohibited under the prevailing USAID source/
nationality regulations per 22 CFR 228 and relevant Standard Provisions; or from countries or
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suppliers as may be identified by USAID's consolidated list of debarred, suspended, or ineligible
subcontractors at www.sam.gov.
Any purchases or activities deemed unnecessary to accomplish grant purposes as determined by
PEEP, including any grantee headquarters expenses that are not directly linked to the
implementation of the proposed program.
Previous obligations and/or bad debts.
Fines and/or penalties.
Creation of endowments.
Other costs unallowable under USAID and/or federal regulations, such as alcoholic beverages.
Refer to Subpart E- Cost Principles in 22 CFR 200 for non-profit organizations and FAR 31.2
“Cost principles for Commercial Organizations”
Indirect costs such as but not limited to overhead or indirect fringe (unless the applicant has
documented proof of such rates through audits or USAID-issued NICRA). Indirect costs are never
allowed under simplified grants.
In general, costs not included in the approved budget may not be allowed unless approved in
writing by PEEP.
IV. B. Application and Submission Information
Applications shall be submitted in English and may not be more than 10-15 pages, excluding Annexes.
Applications (Technical and budget proposals and supporting documentation) should be submitted
electronically and should reference RFA No. CDS Grants/RFA#003/2015. Applications must be
submitted no later than July 3, 2015, 18:00 hours local time. Late or unresponsive applications will not be
considered.
Name of Project: Punjab Enabling Environment Project (PEEP)
E-mail: For Application Submission Electronically: grants@usaidpeep.com.pk
In addition to the application forms (Annex A), applicants should submit the following to PEEP:
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Implementation plan or chronology of activities and results (Annex B)
Proposed activities detail budget with notes (Annex C)
Copy of valid Pakistani registration certificate and related GOP documentation
Copy of last 3 annual financial report, income and expenditure report audited by licensed audit
firm or practitioner, if available
Applicant Self-Assessment Form (Annex D)
Signed copies of the required certification package (included in the Annex E)
CVs of proposed project personnel
Copy of the organization's charter and by-laws.
Please submit all questions concerning this solicitation via email to FAQgrants@usaidpeep.com.pk.
PEEP will assist applicants in understanding the application process, and can provide coaching in
application development at the request of applicants. Please note that no applications shall be accepted
by hand.
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Note: Failure to submit necessary documentations and information (within due date) to substantiate
basic criteria shall result in disqualification of the application for the next steps.
SECTION V. APPLICATION EVALUATION
V. EVALUATION CRITERIA
Grants applications shall be evaluated based on defined criteria in ADS 303.3.6.3. All applications should
be reviewed by Technical Evaluation Committee (TEC) of PEEP project as per the evaluation criteria in
the table below.
Evaluation Category
Design & Approach
Impact on Target Group
Management & Programmatic Capacity
Sustainability
Cost efficiency
Past Performance
Overall Rating (out of 100 points)
Rating (Points)
25
20
15
20
10
10
100
These evaluation criteria elements are described more fully below.
A. Design & Approach. The quality and feasibility of the application, in terms of the appropriateness of
the proposed methodology, innovativeness, and the work plan for achieving program objectives such as
creating an internationally competitive horticulture, livestock and dairy sector in Punjab and improving the
quality and quantity of domestic markets. Proposed mechanisms for monitoring and evaluation with
objectively measurable indicators will also be appraised. 25 points.
B. Impact on target group. The extent to which the proposed activity corresponds to the needs of the target
group and will directly benefit that group. This includes the participation of and benefit of women in
income-generating opportunities. Also, the degree to which it will directly or indirectly stimulate other
organizations and resources to develop or implement activities supporting the objectives of the project.
20 points.
C. Management and Programmatic Capacity. Evidence of the capability to undertake and accomplish the
proposed activities. Appraisal will be based principally on reference checks by program staff; the
background, qualifications, reputation, and skills of its key personnel; and the “track record,” reputation,
achievements (including development of self-sufficient, sustainable activities) of the organization involved.
15 points.
D. Sustainability. The extent to which the funded activity will result in building and strengthening the
capacity of the community and local organizations, and whether the activity itself is sustainable or will
stimulate sustainability of the organization. 20 points.
E. Cost efficiency. The degree to which budgeting is clear and reasonable and reflects best use of
organizational and grant resources. The grantee contribution reflects commitment to the program by the
targeted beneficiaries and local institutions. 10 points.
F. Past Performance. Previous or ongoing experience implementing similar activities. This examines an
Applicant’s track-record, which is a critical factor in assessing the capacity of the Grantee to implement the
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activity. Demonstrated ability carrying out policy advocacy, government monitoring and oversight, and
other activities in support of targeted reforms. 10 points.
Additionally, PEEP will ensure environmental soundness and compliance in design and implementation as
required by 22 CFR 216.
SECTION VI. AWARD AND ADMINISTRATION INFORMATION
All grants will be negotiated, denominated and funded in local currency.
All costs funded by the grant must be allowable, allocable and reasonable. Grant applications must be
supported by a detailed and realistic budget as described in Section IV.
Issuance of this RFA and assistance with application development do not constitute an award or
commitment on the part of PEEP, nor does it commit PEEP to pay for costs incurred in the preparation and
submission of an application. Further, PEEP reserves the right to accept or reject any or all applications
received. Applicants will be informed in writing of the decision made regarding their application. Also, the
preparations of all materials for submittal against this RFA to PEEP will be at the applicant’s sole cost and
expense, and PEEP shall not under any circumstances be responsible for any cost or expense incurred by
the applicant. All documentation and/or materials submitted with the RFA document shall become and
remain the property of PEEP.
ANNEXES –
- Annex A – Grant Application Form
- Annex B – Implementation Timeline
- Annex C – Grant Application Budget Form
- Annex D – Applicant Self-Assessment Form
- Annex E – Required Certifications
- Annex F – Survey on Ensuring Equal Opportunity for Applicants
- Annex G – Mandatory Standard Provisions for Non-U.S Organizations
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Annex A - Grant Application
A.1. General Instructions
PEEP will assist applicants in understanding the application process, answer questions from applicants, and
may provide coaching in application development at the request of applicants. Annex C includes a detailed
budget format that must be completed and submitted with your application. Annex B, Implementation Plan
Timeline, should also be completed at the time of submission of the grant application. This application may
not exceed 10-15 pages in length. Pages exceeding the limit will not be reviewed (does not include Annex
B, Implementation Plan Timeline, or Annex C, Detailed Grant Budget).
A.2. Instructions by Section
Templates for presentation of both the technical and budget aspects of the application are provided in
Annexes A-C. Applicants shall present their proposals in the formats provided. Those applications that are
not submitted according to the formats requested and in accordance with the instruction in this RFA will
be considered as non-responsive and will be disqualified.
The application elements and guidelines are summarized below:
Section I (Basic Information). The Applicant provides basic contact information and information
regarding the status of the organization.
Items 1-2: Organization’s name, date organization was founded, and current registration status.
Item 3:
Contact Information— Contact name, title, address, telephone, fax, e-mail, etc. The contact
person (agent) is responsible for communications between PEEP and the Applicant. This
applies to all aspects of the grant, from initial application, negotiation, award, and close out.
The agent must have full authority and responsibility to act on behalf of the Applicant. The
agent should be someone who will be directly involved with the grant activity and has a proven,
established relationship with the Applicant.
Item 4:
Organizational Structure— List board members (or founding members if you do not have a
formal board of directors) and key staff (president, directors, treasurer, etc). If available, please
attach an organizational chart.
Item 5:
Briefly describe the organization and its activities — Should introduce the Applicant and its
background: how it was formed, its mission or purpose, major accomplishments in the area of
the targeted activity, current activities, past related experience, and clients.
Item 6:
References—List three donors, partner organizations, or community leaders that can provide
references for your organization’s ability to successfully carry out the financial, administrative,
and technical requirements of the grant activity. Briefly describe your relationship to the
reference and the nature and duration of your work together. If the reference is a previous
donor, list the activity and location of the activity(s) they funded. Be sure to provide complete
information, including a point of contact, with telephone and email address.
Section II (Program Description). The Applicant describes overarching program elements such as
objective of the grant and the linkage to PEEP’s objectives, results, the activity’s beneficiaries, and plan for
disseminating activity deliverables.
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Item 7:
Grant Activity Title—The title given to the activity should relate to the grant activity objective.
Item 8:
Background—Identify the problem that the grant activity proposes to address.
Item 9:
Grant Objective – Briefly state the objective of the proposed grant activity.
Items 10:
Grant Activity Detail – Provide a thorough, detailed description of the activity, including how
the activity links to PEEP’s objectives, and the expected results. Please refer closely to the
evaluation criteria and program description sections of the RFA.
Item 11:
Beneficiaries – Identify beneficiaries/participants, disaggregated by gender if possible,
estimated number, and location. Identify how the grant activities will reach the intended
beneficiaries, how they will benefit from the grant, and how the beneficiaries will be identified
or selected.
Section III (Program Implementation Plan). This section covers information regarding activity
implementation, including proposed personnel and descriptions of each task. This should be the most
detailed section, depending on the nature of the grant activity and tasks involved.
Item 12:
Anticipated duration should be stated with a degree of accuracy of plus or minus two weeks.
Item 13:
Main tasks of the activity— Provide details regarding the specific tasks of the activity in Annex
A. The implementation plan must be supported by Annex B, Implementation Plan Timeline,
listing all identified main tasks over the duration of the activity. Please include all events,
trainings, publications, etc. For each task, provide the following information:
Task # / Title
1.
2.
3.
4.
5.
6.
Task description
Target Audience
Grant-financed resource required & detailed explanation of use
Non-grant-financed resources required
Start and end dates
Person(s) responsible
Each task must be:
 Complete and sound
 Integrated and scheduled with dependent tasks
 Assigned to a responsible party
 Defined in terms of resources required
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Concluded with a viable milestone of achievement. (Milestones must be
linked to results)
Applicant must describe any relevant material assumptions made and/or
conditions required for the achievement of the grant objective
Implementation plans may be supported by a bar chart that shows all
identified tasks over the duration of the activity
The tasks listed must show a logical, thoughtful approach to the overall
implementation plan. Tasks should describe actions and be logically sequenced.
The Applicant should also describe any relevant material assumptions made and/or
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conditions or precedent required for the achievement of the tasks.
Item 14:
Applicant lists the location(s) of the activity, adding rows as needed.
Item 15:
Applicant lists the personnel who will be involved in implementing the grant activity. Attach
updated CVs all grant activity personnel.
Section IV (Experience and Capacity).
Item 16:
Applicant should describe past experience or on-going carrying out similar technical activities.
This is a critical factor in assessing the capacity of the applicant to implement the activity. If
the applicant does not have similar experience, state that here and describe any other relevant
qualifications that will allow you to successfully implement the grant activity.
Section V (Cost). This is a summary of the information provided in the application budget forms, and
includes total grant request, Grantee's cash or in-kind contributions (Leveraging / cost-sharing) for the
activity, and contributions from other sources (co-funding) for the activity. Applicant also describes any
other US Government funding they are currently receiving for other purposes. Applicant must identify any
long-term, recurrent commitments resulting from activity, and Applicant’s plan for sustainable coverage.
Item 17:
Detailed cost of this activity (cash, in-kind [i.e. donated goods or services], and third-party
sources)
Item 18:
Discuss strategies for ensuring the sustainability of the proposed activity and organization,
including proposed Leveraging (Funds raised from other sources) on top of grant funds,
expected program income generation (if any), and third party leveraging of funds (if any).
Program income is defined as gross income earned by the Grantee that is directly generated by
a supported activity or earned as a result of this grant, during the period of the grant.
Item 19:
List any major donor-funded activities (U.S. and other) that your organization has managed in
the last two years, currently receives, or expects to receive within the duration of the grant
activity.
Applications must be supported by Annex C, Detailed Grant Budget. This excel budget template, when
properly completed, reviewed, and approved by PEEP, will serve as the mutually agreed-upon guide for
activity financial management. All activity costs must be identified. Cost data must be accurate; proposed
amounts should not be unrealistically high or low.
It is important that the budget clearly indicate where specific project funds are to come from (from USAID,
co-funding by another donor, or the applicant’s Leveraging / cost-sharing contribution). Furthermore,
contribution from other donors and Applicant resource commitment will be investigated and documented.
In order to avoid double financing/ billing, PEEP will require full disclosure by all involved parties and will
maintain contact with co-funders to verify their contributions. Budgeted amounts must also be supported
by justification, and the applicant must be able to provide such backup to Project Name if requested.
All grant activity costs must be within the normal operating practices of the Applicant and in accordance
with its written policies and procedures. For applicants without an audited indirect cost rate, the budget may
include direct costs that will be incurred by the Applicant to provide identifiable administrative and
management costs that can be directly attributable to supporting the grant objective.
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Section A.3. Grant Application Form
The application must be signed by an authorized agent of the Applicant.
This application is in response to RFA No. CDS Grants/RFA#003/2015
Section I. Basic Information
1. Organization name:
2. Date organization was founded and registration status:
3. Contact information:
Key contact person(s) and title:
Office address:
Mobile:
Email:
Office phone:
Fax:
Website:
4. Organizational Structure – List board members (or founding members if you do not have a formal board
of directors) and key staff (president, directors, treasurer, etc). If available, please attach an
organizational chart.
5. Briefly describe the organization, its purpose, and past related experience:
6. List contact information for three (3) references from previous donors or organizations (U.S. and other)
that your organization has collaborated with in the last two years:
Donor Agency
Nature of Relationship or
or
Title of Project, Location
Organization
Start & End Dates of Contact Person
Collaboration
Name & Position:
Email:
Tel:
Name & Position:
Email:
Tel:
Name & Position:
Email:
Tel:
Section II. Program Description
7. Title of the proposed grant activity:
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8. Background: What is the issue or problem that the activity will address? Why is it critical to address
this
issue?
9. Objective of the proposed grant activity:
10. Describe the proposed activity and expected results in detail (or attach a project description). Describe
the main tasks that are proposed to meet the grant objective, the expected results to be achieved, and
how the tasks are linked to the grant objective. Describe any relevant material assumptions made and/or
conditions or precedent required for the achievement of the grant objective. This activity detail should
keep in mind the evaluation criteria contained in the solicitation:
11. Describe the proposed participants and/or beneficiaries, and your method for identifying or selecting
participants and beneficiaries:
Section III. Implementation Plan
12. Anticipated duration of the grant activity:
Overall length (total number of months)
Start and end date (day, month, and year)
13. Location(s) of the activity.
Please note that the location of the activity is Punjab Province only.
14. List personnel who will be involved in implementing this project. CVs are required for all project
personnel.
Section IV. Experience and Capacity
15. Describe the organization’s experience implementing similar activities:
Section V. Cost
Note: All applications must be supported by the attached Annex C, Detailed Grant Budget.
16. Cost in local currency per the attached budget:
Amount requested from PEEP project:
In-kind (i.e. donated goods or services) or other contribution
from organization: (If any)
Total Estimated Grant Activity Cost:
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17. Discuss strategies for ensuring the sustainability of the proposed activity and organization, including
proposed Leveraging / cost share, expected program income generation (if any), and third party
leveraging of funds (if any).
18. List any major donor-funded activities (U.S. and other) that your organization has managed in the last
two years, currently receives, or expects to receive within the duration of the grant activity. Add
additional lines if necessary:
Donor
Agency
Total
Title of Project, Location, & Start Funding
Donor Contact Person
& End Dates
(in local
currency)
Name:
Email:
Tel:
Name:
Email:
Tel:
Name:
Email:
Tel:
By affixing my signature below, I certify that to the best of my knowledge, the information provided in this
application is accurate and correct:
Submitted by (name and title): ____________________________________________________
Signature: _____________________________________ Date: __________________________
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FOR PROJECT USE ONLY
Date received _______________
Grant Reference No. ____________________
The undersigned hereby certifies that: (a) the prospective grantee has received an official delivery
receipt for its Grant Application, (b) a copy of that receipt has been filed, (c) a reference number has
been assigned, and (d) a grant application file has been opened. In addition, the prospective grantee
has been advised as to the review and appraisal process, and its primary project point of contact.
Grants Manager_____________________ Date ________________
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ANNEX B - Implementation Plan Timeline
IMPLEMENTATION PLAN
Task
List
each
task.
Please be as specific
as possible.
Use
additional pages if
necessary.
Target
Audienc
e
Who is
the
audience
targeted
for the
task?
Non-Grant
Resources
Grant
Required
Resources (Grantee or
Required Third Party
and
Contribution)
Detailed
and Detailed
Explanatio Explanation
n of Use
of Use
12 Month Timeline
Place an X in the appropriate
box to indicate the first and last
month of the task, with
approximate start and end dates.
(Add more months if necessary)
Person(s)
Responsible
Who
is
responsible
for
overseeing
and
implementing
the task?
Evaluation
Indicators and
Milestones
How will you
measure
the
success of the
task?
1 2 3 4 5 6 7 8 9 1 1 1
0 1 2
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ANNEX C – Detailed Grant Budget Template (Excel).
This template will be provided separately as part of the package.
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Annex D – Applicant Self-Assessment Form
If required in a given solicitation, this form is completed by the Applicant and submitted to PEEP along
with the grant application. It is used as part of PEEP’s assessment of a given Applicant adherence to
eligibility requirements as well as capacity to adequately handle grant funds. It may be used in lieu of or in
conjunction with other pre-award responsibility determination tools.
-----------------------------------------------------------------------------------------------------------------------PEEP
Applicant Self-Assessment Form
Accepting a grant from PEEP creates a legal duty for the grantee to use the funds according to the grant
agreement and United States federal regulations. Prior to awarding a grant, PEEP must assess the adequacy
of the financial and accounting systems of a prospective grantee (and, if applicable, any sub recipients) to
ensure accountability if a grant is awarded.
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 PEEP.
APPLICANT INFORMATION
Name of Organization
Activity Title:
Name, Title, Contact Information of Individual Completing Questionnaire:
SECTION A: INTERNAL CONTROLS
Internal controls are procedures that ensure:
a. financial transactions are approved by an authorized individual and follow laws, regulations and the
organization's policies,
b. assets are kept safely,
c. 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:
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: __
19
No: __
GRAN.FT.024, Rev.002, 9/9/2013
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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 B: ACCOUNTING SYSTEM
The purpose of an accounting system is to 1) accurately record all financial transactions, and 2) ensure that
all financial transactions are supported by invoices, timesheets and other documentation. 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, PEEP 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: __
before they are incurred)
Accrual basis: __(Accrual - bill for costs
4. Can your accounting records separate the receipts and payments of the PEEP grant from the receipts and
payments of your organization's other activities? Yes: __
No: __
5. Can your accounting records summarize expenditures from the PEEP 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.?
______________________________________________________________________________
______________________________________________________________________________
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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 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 C: FUNDS CONTROL
PEEP grantees and recipients who receive advances of grant funds must maintain a separate bank account
registered in the name of the organization for the purpose of keeping only PEEP grant funds. The bank
account must be in local currency. PEEP normally pays grantees monthly by bank transfer to the separate
account. Access to the bank account must be limited to authorized individuals. Bank balances should be
compared each month with your accounting records. 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: __
2. Will the bank account draw interest:
Yes: __
No: __
3. Are all bank accounts and check signers authorized by the organization's Board of Directors or Trustees
or other authorized persons?
Yes: __
No: __
4. Will any cash from PEEP grant funds be kept outside the bank account (in petty cash funds, etc.)?
Yes: __
No: __
4.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.
SECTION D: AUDIT
PEEP 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: __
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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:
________________________
CHECKLIST AND SIGNATURE PAGE
PEEP 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 PEEP.
1. Complete the checklist:
__ Incorporation Papers or Certificate of Registration and Statute have been provided to PEEP
__ Organizational chart, if available, has been provided to PEEP (if applicable).
__ Copy of your organization's most recent audit has been provided to PEEP (If no recent audit, a "Balance
Sheet" and "Revenue and Expense Statement" for the prior fiscal year).
__ 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
22
__________________________
Signature
__________________________
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Annex E – Required Certifications
[To be submitted as part of an Applicant’s application. To be signed by an authorized agent of the applicant at
the end of this Section]
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I.
ASSURANCE OF COMPLIANCE WITH LAWS AND REGULATIONS
GOVERNING NON-DISCRIMINATION IN FEDERALLY ASSISTED
PROGRAMS
(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 grant 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. 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. 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 were 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.
Signature __________________________________________Date_______________
Name_____________________________________________
Organization________________________________________
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II.
CERTIFICATION REGARDING TERRORIST FINANCING
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 list is maintained by the U.S. Treasury’s Office of Foreign Assets Control
(OFAC) and is available online at OFAC’s website:
http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf, 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 (UNSC)
sanctions committee established under UNSC Resolution 1267 (1999) (the “1267 Committee”)
[individuals and entities linked to the Taliban, Usama 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/1267/1267ListEng.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 Certificationa. “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 sub-national groups or clandestine agents; or
25
GRAN.FT.024, Rev.002, 9/9/2013
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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.
Signed: ___________________________________
Name and Title: ____________________________
Name of Organization: _______________________
Date: _____________________________________
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III. 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 grant, 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 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 sub-awards at all tiers (including subcontracts, sub-grants, and contracts under grants,
loans, and cooperative agreements) and that all sub-recipients 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 $10,000 and not more than
$100,000 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 $10,000 and not more than
$100,000 for each such failure.
Signature __________________________________________Date_______________
Name_____________________________________________
Organization________________________________________
27
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IV. PROHIBITION ON ASSISTANCE TO DRUG TRAFFICKERS FOR COVERED COUNTRIES
AND INDIVIDUALS (ADS 206)
USAID reserves the right to terminate this [Agreement/Contract], to demand a refund or take other
appropriate measures if the [Recipient/ Contractor] 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 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.
Signature __________________________________________Date_______________
Name_____________________________________________
Organization________________________________________
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V. KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING
I hereby certify that within the last ten years:
1.
I have not been convicted of a violation of, or a conspiracy to violate, any law or regulation of the
United States or any other country concerning narcotic or psychotropic drugs or other controlled
substances.
2.
I am not and have not been an illicit trafficker in any such drug or controlled substance.
3.
I am not and have not been a knowing assistor, abettor, conspirator, or colluder with others in the
illicit trafficking in any such drug or substance.
Signature:
____________________________
Date:
____________________________
Name:
____________________________
Title/Position: ____________________________
Organization:
____________________________
Address:
____________________________
Date of Birth: ____________________________
NOTICE:
You are required to sign this Certification under the provisions of 22 CFR Part 140, Prohibition on
Assistance to Drug Traffickers. These regulations were issued by the Department of State and require that
certain key individuals of organizations must sign this Certification. If you make a false Certification you
are subject to U.S. criminal prosecution under 18 U.S.C. 1001.
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VI. Requirement and Guidelines for obtaining Data Universal Numbering System (DUNS) number
(To be submitted with the sub-award application)
Data Universal Numbering System (DUNS) Number
(a) In the space provided at the end of this provision, the recipient should supply the Data Universal
Numbering System (DUNS) number applicable to that name and address. Recipients should take care
to report the number that identifies the recipient's name and address exactly as stated in the proposal.
(b) The DUNS is a 9-digit number assigned by Dun and Bradstreet Information Services. If the recipient
does not have a DUNS number, the recipient should call Dun and Bradstreet directly at 1-800-3330505. A DUNS number will be provided immediately by telephone at no charge to the recipient. The
recipient should be prepared to provide the following information:
(1) Recipient's name.
(2) Recipient's address.
(3) Recipient's telephone number.
(4) Line of business.
(5) Chief executive officer/key manager.
(6) Date the organization was started.
(7) Number of people employed by the recipient.
(8) Company affiliation.
*(c) Recipients located outside the United States refer to the appended guidelines for obtaining DUNS
number which is a web-enabled process. The information in clause b (1) to b (8) must be available even
for filing the form online.
The DUNS system is distinct from the Federal Taxpayer Identification Number (TIN) system.
DUNS: ________________________________________ (Provide your DUNS # here)
Guidelines for obtaining DUNS number
Definition
The Data Universal Numbering System, abbreviated as DUNS or D-U-N-S, is a system developed
and regulated by Dun & Bradstreet (D&B), that assigns a unique nine-character numeric identifier,
referred to as a "DUNS number" to a single business entity.
Purpose
The DUNS number is entered into a publicly available, searchable website that contains information of
each Federal award and the entities receiving US Government funds through Federal awards such as
Federal contracts and their sub-contracts and Federal grants and their sub-grants.
30
Form
and
Instructions
Obtaining a DUNS number is FREE.
Do not trust any website that requires a payment.
GRAN.FT.024, Rev.002, 9/9/2013
FO.FOGM.FT.001





Click on the link below to request your DUNS number
http://fedgov.dnb.com/webform/pages/CCRSearch.jsp
The website will first determine whether your organization already have a DUNS number. The
screen will firsts prompt you to select the country where your company is physically located.
Once you select the country, you will be prompted to enter the name of your company.
If you do not see your company listed, click on Request for a New DUNS number”.
Fill out the form to request the DUNS number and click on the “Submit Your Request” button
at the bottom of the page.
Help
Send an e-mail to govt@dnb.com
Please be sure to include your contact information and a brief description of the problem you
experienced.
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VII. Certification Regarding Drug Free Workplace
(To be submitted with the sub-award application)
The grant beneficiary of this Grant Agreement hereby certifies the following:
1
That this certification is a material representation of fact from the grant beneficiary upon which
reliance was placed when PEEP awarded the grant;
2
That the grant beneficiary understands that if it is later determined that the grant beneficiary
knowingly rendered a false certification, or otherwise violated the requirements of the Drug-Free
Workplace Act, PEEP, in addition to any other remedies available, may take action authorized under
the Drug-Free Workplace Act; and
3. That the Beneficiary currently maintains and will continue to maintain and provide throughout
the life of the grant a Drug-Free Workplace by:
3
a. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession or use of a controlled substance is prohibited in the grant beneficiary's workplace and
specifying the actions that will be taken against employees for violation of such prohibition:
b. Establishing a Drug-Free awareness program to inform employees about:
i.
ii.
iii.
iv.
The dangers of drug abuse in the workplace;
The grant beneficiary’s policy of maintaining a Drug-Free Workplace;
Any available drug counseling, rehabilitation, and employee assistance programs; and
The penalties that may be imposed upon employees for drug abuse violations occurring in the
workplace;
c. Making it a requirement that each employee to be engaged in the performance of the grant be given
a copy of the statement required by paragraph (a);
d. Notifying the employee in the statement required by paragraph (a) that, as a condition of employment
under the grant, the employee will:
i. Abide by the terms of the statement; and
ii. Notify the employer of any criminal drug statute conviction for a violation occurring in the
workplace no later than five days after such conviction;
e. Notifying PEEP within ten days after receiving notice under subparagraph (d) (3) from an employee
or otherwise receiving actual notice of such conviction:
f.
Taking one of the following actions, within 30 days of receiving notice under subparagraph (d) (3),
with respect to any employee who is so convicted:
i.
Taking appropriate personnel action against such an employee, up to and including termination;
or
ii. Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation
program approved for such purposes by local health law enforcement, or other appropriate
agency;
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Making a good-faith effort to continue to maintain a drug-free workplace through implementation of
paragraphs (a), (b), (c), (d), (e) and (f).
The grant beneficiary further certifies that the site(s) for the performance of work to be done in connection
with the grant is:
Street address:
City, postal code:
The grant beneficiary certifies that, as a condition of the grant, it will not engage in the unlawful
manufacture, distribution, dispensing, possession, or use of a controlled substance in conducting any
activity with the grant.
Certified by: _________________________________
(Authorized official)
Name: ______________________________________
Title:
______________________________________
Date:
______________________________________
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VIII. Initial Environmental Examination Form
(To be submitted with the sub-award application)
A. Applicant information
Grantee
(organization)
Individual contact
and title
Address, phone and
email
(if available)
Activity (brief
description)
Amount
Location of activity
Start and end date of
activity
34
No
significant
adverse
impact
With
specified
mitigation,
no significant
Significant
adverse
Adverse
impact,
impact
Recommended
Determinations
(Step 6 of instructions.
Complete for all moderate
and high-risk activities)
High Risk
Moderate
Risk
Very
Risk
Proposed Sub-activities
Low
B. Activities, screening results, and recommended determination
TABLE 1
Screening result
(Step 3 of
instructions)
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C. Summary of recommended determinations
The activity contains. . .
 Very low risk sub-activities
(equivalent regulation 216 terminology)
categorical exclusion(s)

After
environmental
review,
sub-activities
determined to have no significant adverse impacts
negative determination(s)

After
environmental
review,
sub-activities
determined to have no significant adverse impacts,
given appropriate mitigation and monitoring
negative determination(s) with conditions
After
environmental
review,
sub-activities
determined to have significant adverse impacts
positive determination(s)

D. Certification:
I, the undersigned, certify that:
1. The information on this form is correct and complete
2. The following actions have been and will be taken to assure that the activity complies with
environmental requirements for the Citizen’s Voice Project under the Code of Federal Regulations 22
CFR 216:

These design elements and best practices will be followed in implementing this activity, except
with the approval of PEEP.

Any specific mitigation or monitoring measures described in the attached information will be
implemented in their entirety.

Compliance with these conditions will be regularly confirmed and documented by on-site
inspections during the activity and at its completion.
Solicitation Number: ____________________________________________
Grant Agreement Number (if applicable): ___________________________
Date of Application: ____________________________________________
Name of Grantee Organization: ___________________________________
Name and Title of authorized representative: _________________________
Signature: ______________________________ Date: _________________
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XI. Certification of Recipient
To:
USAID - PEEP
I,______________________, _____________________, as a legally authorized
Name (Printed or Typed)
Title
Representative of ________________________________
Organization Name
do hereby certify that, to the best of my knowledge and belief, this organization's management and other
employees responsible for their implementation are aware of the requirements placed on the organization
by OMB Circulars, and Federal and USAID regulations with respect to the management of, among other
things, personnel policies (including salaries), travel, indirect costs, and procurement under this agreement
and I further certify that the organization is in compliance with those requirements and other applicable
U.S. laws and regulations.
I, we, understand that a false, or intentionally misleading certification could be the cause for possible actions
ranging from being found not responsible for this award, termination of award, or suspension or debarment
of this organization in accordance with the ADS 303 Standard Provision for Non-U.S. Nongovernmental
Organizations (for in-kind, standard, and simplified grants) entitled “Award Termination and Suspension”
and the ADS 303 Standard Provision for Fixed Amount Award to Nongovernmental Organizations entitled
“Debarment and Suspension.”
I, we, further agree that by signing below, we provide certification and assurance for the following:
(1) Assurance of Compliance with Laws and Regulations Governing Non-Discrimination in Federally
Assisted Programs
(2) The Certification Regarding Lobbying
(3) The Key Individual Certification Narcotics Offenses and Drug Trafficking
(4) Participant Certification Narcotics Offenses and Drug Trafficking
(5) The Certification Regarding Terrorist Financing
(6) Prohibition on Assistance to Drug Trafficking for Covered Countries and Individuals
(7) Initial Environmental Examination
These certifications and assurances are given in consideration of and for the purpose of obtaining any and
all U.S. Federal grants, loans, contracts, property, discounts, or other U.S. Federal financial assistance
extended after the date hereof to the recipient by Chemonics, including installment payments after such
date on account of applications for U.S. Federal financial assistance which was approved before such date.
The recipient recognizes and agrees that such U.S. Federal financial assistance will be extended in reliance
on the representations and agreements made in these assurances, and that the United States will have the
right to seek judicial enforcement of these assurances. These assurances are binding on the recipient, its
successors, transferees, and assignees, and the person or persons whose signatures appear below are
authorized to sign these assurances on behalf of the recipient.
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I declare under penalty of perjury that the foregoing is true and correct.
_________________________
Signature
_________________________
Type or Print Name
_________________________
Position Title
_________________________
Date of Execution
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Annex F - SURVEY ON ENSURING EQUAL OPPORTUNITY FOR APPLICANTS
http://www.usaid.gov/forms/surveyeo.doc contains a survey on ensuring equal opportunity for applicants.
The applicant’s completion of the survey is voluntary. The absence of a completed survey in an application
may not be a basis upon which the application is determined incomplete or non-responsive. Applicants who
volunteer to complete and submit the survey under a competitive or non-competitive action are instructed
within the text of the survey to submit it as part of the application process; applicants who chose to submit
the survey shall include it in the technical application in the “annexes” section.
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- Annex G – STANDARD PROVISIONS
NONGOVERNMENTAL ORGANIZATIONS
FOR
FIXED
AMOUNT
AWARD
TO
MANDATORY STANDARD PROVISIONS FOR FIXED AMOUNT AWARD TO NONGOVERNMENTAL GRANTEES
PEEP will ensure that all organizations receiving USAID grant funds comply with the following provisions.
These provisions (title and full text) will form an annex to the grant agreement.
This annex’s sole purpose is to provide an outline of the provisions. It is not intended or meant to be a
definitive reference source for issues concerning regulatory compliance. The definitive reference sources,
including the clauses, can be found at:
http://www.usaid.gov/sites/default/files/documents/1868/303mat.pdf
Mandatory Standard Provisions For Fixed Amount Award to Nongovernmental Recipients are:
MANDATORY STANDARD PROVISIONS FOR FIXED AMOUNT AWARD TO
NONGOVERNMENTAL ORGANIZATIONS ............................................................... 5
M1. SUBMISSIONS TO THE DEVELOPMENT EXPERIENCE CLEARINGHOUSE
AND DATA RIGHTS (JUNE 2012) .............................................................................. 5
M2. MARKING AND PUBLIC COMMUNICATIONS UNDER USAID-FUNDED
ASSISTANCE (AUGUST 2013) .................................................................................. 6
M3. DRUG TRAFFICKING AND DRUG-FREE WORKPLACE (JUNE 2012) .......... 9
M4. DEBARMENT AND SUSPENSION (JUNE 2012) .............................................. 9
M5. PREVENTING TERRORIST FINANCING (AUGUST 2013) ............................. 10
M6. TRAFFICKING IN PERSONS (JUNE 2012) ..................................................... 11
M7. VOLUNTARY POPULATION PLANNING ACTIVITIES – MANDATORY
REQUIREMENTS (MAY 2006) .................................................................................. 11
M8. EQUAL PARTICIPATION BY FAITH-BASED ORGANIZATIONS (JUNE 2012)
.................................................................................................................................... 12
M9. USAID Implementing Partner Notices (IPN) Portal for Assistance (July
2014) .......................................................................................................................... 14
M.10 - PILOT PROGRAM FOR ENHANCEMENT OF GRANTEE EMPLOYEE
WHISTLEBLOWER PROTECTIONS (September 2014). ........................................ 16
M11. SUBMISSION OF DATASETS TO THE DEVELOPMENT DATA LIBRARY
(October 2014) ......................................................................................................... 17
(END OF MANDATORY STANDARD PROVISIONS)
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REQUIRED AS APPLICABLE STANDARD PROVISIONS FOR FIXED AMOUNT AWARD TO
NONGOVERNMENTAL RECIPIENT
PEEP will ensure that all organizations receiving USAID grant funds comply with the following provisions.
These provisions (title and full text) will form an annex to the grant agreement.
This annex’s sole purpose is to provide an outline of the provisions. It is not intended or meant to be a
definitive reference source for issues concerning regulatory compliance. The definitive reference sources,
including the clauses, can be found at:
http://www.usaid.gov/sites/default/files/documents/1868/303mat.pdf
The following standard provisions are required to be used when applicable. Applicability statements are
contained in the parenthetical statement preceding the standard provision. When a standard provision is
determined to be applicable in accordance with the applicability statement, the use of such standard
provision is mandatory unless a deviation has been approved in accordance with relevant USAID
regulations.
REQUIRED AS APPLICABLE STANDARD PROVISIONS FOR FIXED AMOUNT
AWARD TO NONGOVERNMENTAL ORGANIZATIONS ....................................... 22
RAA1. FIXED AMOUNT AWARD ADVANCE PAYMENT AND REFUNDS (JUNE
2012) .......................................................................................................................... 22
RAA2. CENTRAL CONTRACTOR REGISTRATION AND UNIVERSAL IDENTIFIER
(OCTOBER 2010) ...................................................................................................... 23
RAA3. REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION
(OCTOBER 2010) ...................................................................................................... 26
RAA4. USAID ELIGIBILITY RULES FOR PROCUREMENT OF COMMODITIES
AND SERVICES (JUNE 2012) .................................................................................. 30
RAA5. FLY AMERICA ACT RESTRICTIONS (AUGUST 2013) .............................. 32
RAA6. OCEAN SHIPMENT OF GOODS (JUNE 2012) ........................................... 34
RAA7. REPORTING HOST GOVERNMENT TAXES (JUNE 2012) ........................ 34
RAA8. PATENT RIGHTS (JUNE 2012) ................................................................... 35
RAA9. EXCHANGE VISITORS AND PARTICIPANT TRAINING (JUNE 2012) ..... 37
RAA10. INVESTMENT PROMOTION (NOVEMBER 2003) ..................................... 40
RAA11. PROTECTION OF HUMAN RESEARCH SUBJECTS (JUNE 2012) ........ 40
RAA12. STATEMENT FOR IMPLEMENTERS OF ANTI-TRAFFICKING ACTIVITIES
ON LACK OF SUPPORT FOR PROSTITUTION (JUNE 2012) ............................... 42
RAA13. ELIGIBILITY OF SUBRECIPIENTS OF ANTI-TRAFFICKING FUNDS
(JUNE 2012)............................................................................................................... 43
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RAA14. PROHIBITION ON THE USE OF ANTI-TRAFFICKING FUNDS TO
PROMOTE, SUPPORT, OR ADVOCATE FOR THE LEGALIZATION OR PRACTICE
OF PROSTITUTION (JUNE 2012) ............................................................................ 43
RAA15. VOLUNTARY POPULATION PLANNING ACTIVITIES – SUPPLEMENTAL
REQUIREMENTS (JANUARY 2009) ........................................................................ 44
RAA16. CONSCIENCE CLAUSE IMPLEMENTATION (ASSISTANCE) (FEBRUARY
2012) .......................................................................................................................... 47
RAA17. CONDOMS (ASSISTANCE) (SEPTEMBER 2014) ................................... 48
RAA18. PROHIBITION ON THE PROMOTION OR ADVOCACY OF THE
LEGALIZATION OR PRACTICE OF PROSTITUTION OR SEX TRAFFICKING
(ASSISTANCE) (SEPTEMBER 2014) ....................................................................... 48
RAA 19. .... METRIC SYSTEM OF MEASUREMENT (AUGUST 1992) ................... 50
RAA20. ACCESS TO USAID FACILITIES AND USAID’s INFORMATION SYSTEMS
(AUGUST 2013) ........................................................................................................ 51
RAA21. LIMITATION ON SUBAWARDS TO NON-LOCAL ENTITIES (July 2014) . 52
(END OF THE STANDARD PROVISIONS)
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