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Liberia Accountability and Voice Initiative (LAVI)

Request for Application (RFA) for Thematic Window Programming Grants IV: Collaborative Problem

Solving: Core CSO Partner for Community Forestry Governance

Issued under USAID Contract No. AID-669-C-16-00003

RFA Number: LAVI-RFA-015

Issuance Date: April 30, 2019

RFA Title: Core CSO Partner for Community Forestry Governance

Grant Ceiling: $120,000

Pre-submission Meeting: May 8, 2019,10:00AM, LAVI Conference Room, Sinkor

Deadline for Questions: May 13, 2019 via email to: LAVIgrants@dai.com

Deadline for Submission of Application: May 17, 2019 (5:00 pm) via email to:

LAVIgrantapplication@dai.com

TO INTERESTED APPLICANT:

Through this Request for Application (LAVI-RFA-015), DAI’s Liberia Accountability and Voice Initiative

(LAVI) is soliciting applications from civil society organizations to provide capacity development support

to the National Union of Community Forestry Management Body (NU-CFMB) and community forest

governance reform. The selected applicant will serve as LAVI’s Core CSO Partner for Community

Forestry Thematic Window.

LAVI is a five-year USAID-funded project implemented by DAI Global LLC (DAI) to strengthen multi-

stakeholder partnerships to advocate for and monitor policy and accountability reforms in Liberia. It aims

to increase the influence of citizens and media in the governance of public goods and services, as well as

to create more effective, accountable, and inclusive governance in Liberia. LAVI has four complementary

objectives:

1) Increased horizontal and vertical linkages among actors engaged in similar issues;

2) Increased organizational capacity of targeted Civil Society Organizations (CSOs) to participate in

issue-based reforms;

3) On-going capacity development services available in the `local market; and

4) Learning and methodologies shared and applied by other development actors.

In support of Objective 2, DAI anticipates to issue one fixed amount award (FAA) grant to a civil society

organization (CSO) through this open competition to serve, as LAVI’s Core CSO Partner and provide

organizational and advocacy capacity development support to NUCFMB and its member CFMBs. The

Core CSO partner direct role will be to provide on-site capacity development support including training,

coaching and mentorship to NUCFMB and ensure that NUCFMB achieve the project overall goal and

objectives. In support of Objective 1, DAI will support, via a separate award, the National Union of

Community Forestry Management Body (NUCFMB) in advocacy and awareness engagements both at the

national level targeting Community Forestry Working Group (CFWG) and Forest Development Authority

(FDA) and at the community level, targeting USAID Forest Incomes for Environmental Sustainability

(FIFES) 11 supported Community Forest Management Bodies (CFMBs) located in Southern Nimba,

Northern Nimba and Grand Bassa.

The Applicant will provide technical support and organizational capacity development to NUCFMB in its

engagement with the 11 CMFBs supported by USAID/FIFES project in Grand Bassa and Nimba counties.

This approach is considered sustainable as it develops the NUCFMB capacity to work with its CFMB

members and builds upon existing technical and institutional capacity of FIFES. As a matter of efficiency

and output productivity, the Applicant will be required to utilize the FIFES CFMB ‘Hub & Network Model’

by using a cluster approach for project implementation. For collaboration and communication purposes,

DAI will invite FIFES representatives to all NUCFMB capacity development supported activities by the

applicant. This also means the Applicant and NUCFMB will work with the Gbobayee Hub that coordinates

CFMBs in the Sanniquellie region (Blei, Gba, Zor and Sehyi community forests); Yriah Town Hub that

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coordinates CFMBs in the Tappita region (Gbear-Gblor, Kparblee, Boe-Quilla, Sehzueplay and Gblor

community forests); and Bleewein Town Hub that coordinates CFMBs in the Bassa region

(Barconnie/Harmonville and Matro community forests).

Additionally, DAI plans to support the Applicant to develop the capacity of NUCFMB build further linkages

and advocacy at the national level with the Forestry Development Agency (FDA) and the Community

Forestry Working Group (CFWG). Advocacy work will aim to ensure communities get the benefits

promised to them by law and various forest agreements, and that communities are adequately informed

about key details of relevant community forest governance documents.

DAI requests the Applicant to submit one grant application in response to this RFA. DAI anticipates one

fixed amount award (FAA) not more than $120,000 to be issued in response to a responsive application

to this solicitation. The expected duration of the grant is one year. DAI may choose to fully fund or

incrementally fund the selected application.

The Applicant is required to propose creative and effective approaches to enhance awareness and

advocacy in the community forestry sector at both community and national level as mentioned above.

Proposed activities will build on previous efforts supported by USAID-funded projects in order to

compliment and continue forestry reform efforts already in place. If selected, the Applicant will be

expected to share evaluation results and key lessons, and to disseminate periodic activities and outcomes

with the broader community and interested stakeholders.

Application must be received at the LAVI office in Sinkor, Monrovia or email no later than the day indicated

in the cover page. Applications and modifications thereof must be submitted electronically either in pdf

(preferred) or other electronic format to LAVIgrantapplication@dai.com or in hard copy to the following

address:

USAID/LAVI Project Office

18th Street and Warner Avenue

Sinkor, Monrovia

Please refer to the Program Description for a complete statement of goals and expected results. 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) may be paid under the grant.

For fixed amount awards to nongovernmental organizations, these Standard Provisions apply:

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

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 the application or any revised applications received. Application is submitted at the risk

of the applicant. All preparation and submission costs are at the applicant's expense. Any questions

concerning this RFA should be submitted in writing not later than the day indicated in the cover page to

the above physical address or by email LAVIgrants@dai.com

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

indicated in the table of contents.

Thank you for your interest in the USAID/Liberia Accountability and Voice Initiative.

Milica Panic,

LAVI Chief of Party

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Table of Contents

Section A – Grant Application Instructions .................................................................................................................4

1. Application Procedure ..................................................................................................................................................4

A. Completion and submission of application .............................................................................................................4

B. Preparation Instructions – Technical ........................................................................................................................5

C. Preparation Instructions – Financial and Administrative Documentation .......... Error! Bookmark not

defined.

Section B. Special Grant Requirements .........................................................................................................9

Section C. Selection Process ......................................................................................................................... 10

Section D. Program Description ................................................................................................................. 13

Annex 1: Mandatory Standard Provisions .................................................................................................. 18

Annex 2: Certifications, Assurances, Other Statements of the Recipient ......................................... 18

Annex 3: Application Form ............................................................................................................................ 19

Annex 4: Workplan ......................................................................................................................................... 19

Annex 5: Budget ............................................................................................................................................... 19

Annex 6: CV Form and BioData Form ....................................................................................................... 20

Annex 7: Accounting System and Financial Capability Questionnaire ................................................ 21

Annex 8: Instructions for Obtaining a DUNS Number - DAI’S Vendors, Subcontractors and

Grantees ............................................................................................................................................................. 28

Annex 9: Self-Certification for Exemption from DUNS Requirement ............................................... 29

Annex 10: Application Checklist .................................................................................................................. 30

Annex 11: Grantee Partners Reporting Indicators .................................................................................. 31

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Section A – Grant Application Instructions

1. Application Procedure

A. Completion and submission of application

Eligibility Requirements:

In order to meet minimum eligibility criteria for grant competition, applications must:

1. Support outcomes and objectives consistent with and linked to LAVI’s outputs and objectives;

2. Be submitted by registered Liberia Civil Society Organization (CSO) with background in the

forestry sector.

3. Contain evidence of a cost share commitment

LAVI staff will screen all applications to ensure compliance with all eligibility requirements.

DAI encourages an approach that establishes partnerships and builds into legacy institutions capable of

sustaining development projects in the future.

Application Submission Requirements

Application must be submitted either in electronic form by e-mail via

LAVIgrantapplication@dai.com or hard copy to the address below:

USAID/LAVI Project Office

18th Street and Warner Avenue

Sinkor, Monrovia

Application must include:

Completed application

Copy of valid registration document and/or Articles of Incorporation

Completed work plan

Budget and budget notes.

CVs and EBDs for organization’s key personnel (as an Annex)

Completed Financial capability questionnaire – note that your finance manual, systems, and

procedures should be submitted as an annex

Organization chat The overall page limit for the application is fourteen (14) pages excluding the annexes, and the individual

section page limit for the application must be adhered to. Pages in excess of the stated limitation may

not be considered.

Interest applicants are highly encouraged to request for the following templates via email

to LAVIgrants@dai.com to enhance the development of the application

Annex 3: Application Template

Annex 4: Work Plan Template

Annex 5: Budget and Budget Notes Template

Annex 8: Instructions for Obtaining a DUNS Number - DAI’S Vendors, Subcontractors and Grantees

Pre-Submission Meeting

LAVI will organize a pre-submission meeting with interested applicants on May 8, 2019 at LAVI Conference

Room, Sinkor, Monrovia at 10:00 AM to provide an overview of the grant application process and answer

questions from interested applicants.

RFA Questions

Questions regarding this RFA may be submitted electronically by May 13, 2019 via email to

LAVIgrants@dai.com or in hard copy to the USAID/LAVI Project Office. Questions should not be

submitted to USAID.

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Deadline for Submission of Application:

The application must be received at USAID LAVI Project no later than the day and time indicated in the

cover page. Application and modification thereof shall be submitted in electronic format to LAVI Grants

Team at LAVIgrantapplication@dai.com.

Late Applications

Application 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. If the application is submitted late or is incomplete, it will

run the risk of not being considered in the review process.

2. Preparation Instructions – Technical (Annex 1 – Application Template)

A. General Requirements

The Full Application must be submitted in Times New Roman font, size 11, and must include page

numbers. Each page must be marked with the RFA title and number.

The applications must be prepared in accordance with the instructions below. Selection for award will be

made in accordance with the evaluation criteria in Section V.

Applicants should retain for their records one copy of all parts of the application and all enclosures that

accompany their application. Erasures or other changes must be initialed by the person signing the

application.

B. Format of Application Submission.

The chart below lists each element required for submission of a complete application (Annex 4:

Application Checklist).

C. Content of Application Submission

1. Technical Application (maximum 14 pages in all including cover page)

To facilitate the competitive review of the applications, applications should include the following contents,

which adhere to the designated page limits (instructions for major categories are found under section

headings). Note: Please use the application and budget templates already provided by LAVI to develop

your application.

Cover Page: 1 page

Background: 1 page

Program Description

- Activity 1 (Maximum 2 pages per activity)

- Activity 2 (Maximum 2 pages per activity)

- Activity 3 (Maximum 2 pages per activity)

- Activity 4 (Maximum 2 pages per activity)

- Outcomes (1⁄2 page)

- Sustainability (1⁄2page)

- Project Management and Implementation. (1⁄2 page)

- Project Monitoring, Evaluation and reporting (1 page)

Work Plan (Annex 3)

The overall page limit for the application is 13 pages excluding the cover page and the individual section

page limit for the application must be adhered to. Pages in excess of the stated limitation may not be

considered.

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There are no page limits for:

Table of Contents

Dividers

2. Cost Application

The cost application should detail all direct costs associated with the implementation and completion of

activities, as well as any indirect costs and program costs such as those related to any sub-agreements

and/or contracts as detailed below. Further, apparently successful applicants may be asked to scale back

portions of their programs to accommodate funding constraints.

The cost application includes specific cost information for this project and additional required information

from the applicant. Certain documents are required to be submitted by an applicant in order for DAI Staff

to make a determination of responsibility.

The application must also provide evidence that the funds requested are reasonable and would be used in

a cost-effective manner. DAI will assess whether the overall costs are realistic for the work to be

performed, whether the costs reflect that the Applicant understands the requirements, and whether the

costs are consistent with the technical application. The application also will be assessed for cost

effectiveness, and applications that minimize administrative costs in order to maximize program, outreach,

and capacity building activities will generally be considered a better value.

Cost Summary

Applicants should include an overall summary budget and a detailed annual budget defined by general

program activities.

Cost Spreadsheets

Detailed breakdown of the budget in spreadsheet format. The spreadsheet(s) must be submitted

electronically in MS Excel format and text accessible (Annex 2 – Budget and Budget Notes).

These spreadsheet breakdowns must include:

The breakdown of all costs and supporting justification (justification such as policy, payroll documents,

vendor quotes, or specific historical program costs and award number) according to each partner

organization (if more than one organization is proposed in a consortium/network approach) involved in

the program;

The breakdown of the financial and in-kind contributions of all organizations involved in implementing this

Agreement;

Potential contributions of non-USAID or private commercial donors to the grant;

Budget Narrative

The budget must have an accompanying detailed budget narrative and justification that provides in detail

the total costs for implementation of the program your organization is proposing. The budget narrative

must be written in the third person. The combination of the cost data and breakdowns specified above

and the cost notes must be sufficient to allow a determination of whether the costs estimated are

reasonable. If the information described below is provided in the cost matrices described above, then the

information need not be included in the Budget Notes. The following is provided as guidance on issues

involving specific types of costs:

(1) Salary and Wages: Direct salaries and wages should be proposed in accordance with the

Applicant's personnel policies.

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(2) Fringe Benefits: If the Applicant has a fringe benefit rate that has been approved by an agency of

the U.S. Government, such rate should be used and evidence of its approval should be provided.

If a fringe benefit rate has not been so approved, the application may propose a rate and explain

how the rate was determined. If the latter is used, the narrative should include a detailed

breakdown comprised of all items of fringe benefits (e.g., unemployment insurance, workers’

compensation, health and life insurance, retirement, FICA, etc.) and the costs of each, expressed

in dollars and as a percentage of salaries. Alternatively, if the applicant has no approved rate, it

may elect to directly charge all project expenses.

(3) Travel and Transportation: The application should indicate the number of trips, domestic and the

estimated costs per trip. Specify the origin and destination for each proposed trip, duration of

travel, and number of individuals traveling.

(4) Equipment: Specify all equipment to be purchased, including the type of equipment, the

manufacturer, the unit cost, the number of units to be purchased and the expected geographic

source.

(5) Source and Origin Requirements: Goods and services provided by the Recipients under this award

must be in accordance with geographic code 937 which includes Liberia as approved source and

origin. Procurement source and origin requirements under the agreement will be dependent upon

the source of funding.

(6) Materials and Supplies: Specify all materials and supplies expected to be purchased, including type,

unit cost, and number of units.

(7) Communications: Specific information regarding the type of communication cost (e.g., mail,

telephone, cellular phones, internet, etc.) must be included in order to allow an assessment of the

realism and reasonableness of these costs.

(8) Training: Provide budgetary information on all training, including the number of people to be

trained, the number and cost of each session, and the cost of materials.

(9) Subcontracts/Consultants: Information sufficient to determine the reasonableness of the cost of

each specific subcontract and consultant expected to be hired must be included. Similar

information should be provided for all consultants who are provided under the category for

personnel.

(10) Direct Facilities Costs: Specific information regarding the cost of any facilities needed to

perform program activities. The information provided should include the unit cost (rent), the time

period the facilities are needed and the number of facilities. Only facilities that directly benefit the

program activities should be included in this category; all other facility costs should be included in

the indirect cost category.

(11) Other Direct Costs: This may include report preparation costs, training, Applicant's fringe

benefits, as well as any other miscellaneous costs that directly benefit the program proposed by

the Applicant. The narrative should provide a breakdown and support for all other direct costs.

If seminars and conferences are included, the Applicant should indicate the subject, venue, and

duration of proposed conferences and seminars, and their relationship to the objectives of the

program, along with estimates of costs.

(12) Cost Share

Cost share is required; applicants are encouraged to contribute resources from their own private

or local sources for the implementation of this program where feasible.

(13) Alliance Opportunities: DAI encourages, where appropriate and possible given the subject

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matter, the creation of alliances. An "alliance," in this sense, is a formal agreement between two

or more parties created to jointly define and address a development problem. Alliance partners

combine resources, risks and rewards in pursuit of common objectives. Alliance partners make

financial and/or in-kind contributions to increase the impact and sustainability of development

efforts. Their support may take many forms. Mechanisms for collaboration include parallel

financing (with common objectives, clear understanding of roles and separate funding tracks) or

pooled resources (with agreed upon and legally binding governance structures and common

funding tracks).

3. Supporting Documentation

Applicants that have never received a grant, cooperative agreement, or contract are required to submit

a copy of their accounting manual and personnel and policy manual.

Applicants must submit evidence of a DUNS Number or a Self-Certification for Exemption from DUNS

Requirements.

The Applicant is reminded that U.S. Executive Orders and U.S. law prohibits transactions with, and the

provision of resources and support to, individuals and organizations associated with terrorism. It is the

legal responsibility of the Applicant/Recipient to ensure compliance with these Executive Orders and laws.

This provision must be included in all subcontracts/sub-awards issued under this contract/agreement.

(1) Submission Instructions

All materials must be in English.

Full Application: Applications must be submitted electronically or in hard copy. For electronic submission

use: may be submitted via e-mail to: LAVIgrantapplication@dai.com. All correspondence must include the

relevant RFA number and title.

Hard copies may be submitted as set forth below:

Project Name: Liberia Accountability and Voice Initiative

Attn: LAVI Grants Team

Address: 18th Street & Warner’s Avenue Sinkor, Monrovia

Date: No later than May 17, 2019

1. Data Universal Numbering System (DUNS) There is a mandatory requirement for the applicant to

provide a DUNS number to DAI. The Data Universal Numbering System is a system developed and

regulated by Dun & Bradstreet (D&B) that assigns a unique numeric identifier, referred to as a

"DUNS number" to a single business entity. Without a DUNS number, 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 a DUNS number to DAI. Organizations who fail to provide a DUNS

number 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 a DUNS number 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 a DUNS number, see Annex 8- Instructions for Obtaining a DUNS

Number - DAI’S Vendors, Subcontractors and Grantees.

For those not required to obtain a DUNS number, see Annex 9- Self Certification for Exemption

from DUNS Requirement

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Section B. 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.

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 community forestry

governance 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.

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.

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,

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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.

14. 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

15. Activities which the Grantee is aware are reasonably likely to contribute to the violation of

internationally or locally recognized rights of workers,

16. Activities to support the production of agricultural commodities for export from Liberia

when such commodities would directly compete with exports of similar United States

agricultural commodities to third countries and have a significant impact on United States

exporters.

Section C. Selection Process

Within five (5) working days of the deadline for submitting applications, a review panel will convene.

Throughout the evaluation process, DAI shall take steps to ensure that members of the review panel do

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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.

Verification of the application requirements will be conducted at the LAVI Project Headquarters by the

Grants Evaluation Committee (GEC).

If a suitable application is received, an award will be made within ten (10) working days of the review

panel meeting provided that the awardee furnishes DAI with all the required documentation as itemized

in Section A of this RFA, and contingent upon client approval.

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 applicant(s) whose application offer the best

value.

Awards will be made according to the evaluation criteria and scoring system identified below:

Category Description 100

Points

Past Performance

(20 Points)

Demonstrated performance in achieving results and

implementation of capacity development activities in

community forest governance program in Liberia or

activities similar in nature, including evidence of adherence

to contract schedules and requirements; timely and

thorough periodic reporting, forecasting and controlling

cost.

10pts

Successful institutional track record in capacity

development and qualification of program staff 10pts

Technical

Approach (40

points)

Effectiveness: The organization proposes approaches

and activities for proposed capacity building of NUCFMB

as indicated in the background and program description

will enhance and strengthen NUCFMB advocacy,

awareness, monitoring and coordination capacities in

community forest governance in Liberia.

20pts

Engagement: that the proposed activities and

approaches for NUCFMB capacity building will encourage

cooperation and collaboration with CFWG, FDA as well

as with other stakeholders including FIFES and World

Bank.

10pts

Accountability and Transparency: that the proposed

community forest governance capacity building support to

NUCFMB will ensure accountability and transparency and

build horizontal and vertical linkages

10pts

Project

Management and

Institutional

Capacity (20

points)

Demonstrated institutional capacity to manage

(technically, administratively and financially) a capacity

development project relevant to community forest

governance in Liberia

20 pts

Cost Effectiveness Costs are reasonable based on current market price for

similar goods and services 10pts

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(20 Points) Budget clearly matches proposed capacity building

activities 10pts

Signing of Grant Agreements

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, the grant recipient 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.

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

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Section D. Program Description

Description of the Proposed Program

Introduction

The Liberia Accountability and Voice Initiative (LAVI) is a USAID-funded activity designed to strengthen

multi-stakeholder partnerships to advocate for and monitor policy and accountability reforms. LAVI

focuses on developing a portfolio of initiatives with the potential for cumulative impact around issues that

have the greatest potential for change and are responsive to locally defined priorities. LAVI works to:

1) Increase the horizontal and vertical linkages among actors involved in similar issues;

2) Increase organizational capacity of targeted civil society actors, including CSOs, professional

associations, trade associations, private sector and others) to participate in issue-based reforms;

3) Promote the development of ongoing capacity development services in the local market; and

4) Ensure that both learning and methodologies are shared and applied by other development

partners.

Under Objective 2, LAVI aims to enhance and refine Liberian civil society skills in key capacity domains,

such as the ability to conduct real-time research and collect evidence; coalesce into flexible, impact-

focused advocacy coalitions; raise funds for specific issues; monitor and report on outcomes; conduct

outreach and strategic messaging; and demonstrate impact. Led by LAVI’s Capacity Development Team

(CDT), LAVI examines capacity through a broad systemic lens to prioritize areas that improve the capacity

of the greatest number of partners, while recognizing that needs vary within each domain depending on

size, location, experience, and topical issues. Since its inception three years ago, LAVI has been building

civil society’s skills base and improving professional practice through thematic issues of public interest,

thereby strengthening its ability to advocate for reform.

Through its first identified issue area project, LAVI supported eight Liberian CSOs to form the Natural

Resource Management (NRM) Coalition and helped develop their capacity to advocate for increased

citizen participation in the management and monitoring of County Social Development Funds (CSDFs).

LAVI is also supporting the capacity development of the “More-4-Education” platform, a group of seven

Liberian organizations to collaborate on the design and implementation of an advocacy campaign in the 15

counties of Liberia. The campaign seeks to increase the national budget allocation to the education sector

and support the implementation of 2011 Education Reform Act through enhancing monitoring and

coordination within the education sector. In 2018, two LAVI core CSO partners provided technical

support towards the development of the education sector coalitions and their advocacy strategy.

Since September 2016, LAVI continues to provide capacity development support to LAVI civil society

organizations partners in the Natural Resource Management (NRM) and Education sectors using the

following two-prong capacity development approach:

a. Strengthening civil society organizations systems and structures in support of policy reforms

b. Supporting the development of civil society organizations institutional policies and staff skills in

key technical advocacy areas

As a starting point for CSOs to receive organizational and technical capacity building support, LAVI

conducts its Institutional and Advocacy Capacity Assessment (IACAT) baseline using the IACAT Tool.

IACAT assessed and analyzed civil society organizations Institutional and Advocacy capacities through a

self-assessment process that is participatory and facilitated by LAVI Capacity Development Team. As key

output of the IACAT process, civil society organizations develop a capacity development plan to address

specific capacity needs identified during the IACAT self-assessment. Following IACAT assessment and the

development of civil society organizations capacity development plan, LAVI identifies core CSO partners

or service providers to provide quick win capacity development support to civil society organization to

address capacity needs identified in the capacity development plan.

14

Community Forestry Thematic Window

LAVI has embarked on expanding its program interventions portfolio to the “Community Forestry

Thematic Window,” which broadly seeks to support civil society actors in the forest sector by building

institutional and advocacy capacities to strengthen their roles at community and national levels. LAVI also

intends to strengthen forest governance by increasing citizens’ knowledge principally about Community

Forestry Management Agreements (CFMAs), Community Forestry Management Plans (CFMPs),

Commercial Use Contracts (CUCs) and social agreements, Community Rights Law (CRL), Community

Forestry Management Bodies (CFMBs) and CFMB Constitutions, and segments of the recently passed

Land Rights Law (LRL), as applicable. Providing adequate knowledge to citizens about forest contracts and

associated benefits will enhance citizens’ knowledge and participation in decision making that affect their

livelihoods, thereby enabling them to demand accountability from CFMBs and the government.

Objectives and illustrative activities

This possible grant is capacity development intervention envisioned in LAVI’s Community Forestry

Thematic Window.

The intent of this grant activity is to support the capacity development of the NUCFMB and its member

CFMBs in the community forest (CF) sector by promoting citizens’ ongoing participation and advocacy in

CF governance. This will be done by building the capacity of NUCFMB to conduct massive public

awareness on existing Community Forestry Management Agreements (CFMAs), Community Forestry

Management Plans (CFMPs), Commercial Use Contracts (CUCs) and social agreements, Community

Rights Law (CRL), Community Forestry Management Bodies (CFMBs) and CFMB Constitutions, the

Community Rights Law (CRL) as well as portion of the Land Rights Law (LRL) in the 11 CFMBs.

Additionally, DAI hopes to create a framework in which citizens’ voices are heard at the national level

through a redress mechanism as a result of proper coordination. When adequately informed, LAVI

believes citizens will be well equipped to demand accountability and transparency in their forest

governance. Furthermore, LAVI intends to support NUCFMBs to advocate for resolution of community

forestry issues at a national level, in particular with CFWG and FDA.

In anticipation of this project, the LAVI Capacity Development team used the Institutional Advocacy

Capacity Assessment Tool (IACAT) in workshops with the NUCFMB Secretariat and CFMBs from the

three hubs in early March 2019. The objective of the assessment was to evaluate the quality of capacity

possessed by the Union to engage in strategic advocacy in the forestry sector in order to inform the

design of capacity development support. The IACAT found the three hubs have limited clear understanding

of forest sector policy documents, and competency and skills needed to develop and implement awareness

activities related to community forestry.

The IACAT also found the NUCFMB have limited skills in identifying advocacy goals and in developing and

conducting advocacy awareness plans and strategies, including media engagement. As key outputs of the

IACAT process, a joint capacity development plan was developed through a participatory process for each

hub and the NUCFMB, which provides a basis for the objectives outlined in this RFA. Key areas most in

need of strengthening under this grant are the following:

Project Management and Control:

M&E tools and processes to monitor and verify community forestry activities;

Mechanisms for coordinating CFMB activities; and

Report writing and record-keeping skills.

Advocacy Activities:

Understanding of the forestry sector policy environment;

Planning and awareness skills;

Research and analysis skills;

15

Messaging skills; and

Media engagement strategy.

In support of these objectives, LAVI is soliciting applications from civil society organization to support the

capacity development of NUCFMB and its member CFMBs to engage in community forest governance.

The CSO selected by LAVI under this RFA (hereafter “LAVI Core CSO Partner” or “CSO Partner”) will

work under the overall guidance of the LAVI Capacity Development Department. The application is

expected to focus on addressing the following details of the project objectives:

I. Support NUCFMB to raise awareness on existing community forestry

governing documents in CFMBs using the Hub Approach:

At the project outset, LAVI will support NUCFMB to develop knowledge of the 11 targeted CFMB

members on key community forestry governance documents, in particular:

Community Forest Management Agreements (CFMAs);

Commercial-Use Contracts (CUCs) and social agreements;

Community Forest Management Plans (CFMPs);

Community Rights Law (CRL);

Land Rights Law (LRL); and

Community Assembly (CA) constitutions and by-laws.

Under the guidance of LAVI’s Capacity Development Department, the LAVI Core CSO Partner will

support NUCFMB under Objective One to design simplified messages on relevant governance-related

portions of the above documents for NUCFMB awareness trainings at hub and community level. The

awareness engagements will be conducted in stages, with the first exercise targeting CFMB leadership,

executive committees (ECs) and CA representatives of the 11 CFMBs in CFMB hubs (Gbobayee, Yriah

town & Bleewein town). The second exercise will roll out awareness exercises in select towns of each

CFMB that are located in the three hubs. In parallel, the CSO Partner will support NUCFMB with content

for awareness-related media messages to inform local forest community populations via community radio.

On a technical level, the Applicant should identify in coordination with NUCFMB the most relevant aspects

of the above documents for communities to gain awareness and develop sustainable local participation in

CF decision-making. At a minimum, such content should address: roles and responsibilities of governance

structure members; monitoring, implementation and review of relevant plans or obligations, approval

processes, and relevant guidelines; and conflicts between various laws and policies. Regarding messaging,

the Applicant should use innovative, easy to understand and culturally-appropriate methods, for example

experiential learning, dramas and role plays, graphics for illiterate populations, and posters for display in

CFMB hubs, towns and surrounding villages. In an effort to increase participation in CFMBs across

representative community demographic groups, awareness trainings and materials should include gender

sensitivity/mainstreaming aspects and empower groups such as women and youth to become involved in

CF decisions and support sustainable CF outcomes.

The following are minimum outputs expected from Activity I:

Awareness-related technical content developed on key community forestry governance

documents for both hub- and community-level trainings

Awareness-related media content on community forestry governance documents developed for

community radio

II. Support NUCFMB to improve monitoring of implementation of forestry

governing agreements and plans in eleven CFMBs, including review of governance

aspects:

After raising awareness on CF governing documents, LAVI will support NUCFMB to improve monitoring

of implementation in the 11 target CFMBs of the community forestry governing agreements and plans

referenced in the previous objective. In parallel under Objective Two, LAVI will fund its Core Partner to

develop NUCFMB capacity on monitoring and review of forest governance agreements.

16

With LAVI inputs, the LAVI CSO Partner will support NUCFMB by developing simple tools for monitoring

implementation of key agreements and plans. Towards this end, the CSO Partner will consult with

NUCFMB and the targeted CFMBs to decide which governing agreement(s) each CFMB will monitor.1 For

example, most of the 11 communities targeted have CFMPs in place, but citizens are not aware of them

and not ensuring implementation. Once the monitoring tools are created, the CSO Partner will train both

NUCFMB staff and select CF monitors at the three hubs. Additionally, the CSO Partner will train

NUCFMB staff on reviewing and revising governance aspects of CFMBs under their five-year

review/revision process. Finally, the CSO Partner will provide guidance as needed to NUCFMB as it

conducts three quarterly monitoring exercises in targeted communities and develops three quarterly

bulletins on monitoring results to share with NUCFMB members and forest sector stakeholders.

The following are minimum outputs expected from Activity II:

Community monitoring tools developed for governance aspects of key community forest

documents relating to CFMB, government and commercial forestry operations

Monitors from each FIFES hub and NUCFMB staff trained on community forest governance

monitoring tools

NUCFMB staff trained on five-year review/revision of governance aspects of CFMBs

Guidance to NUCFMB on quarterly monitoring exercises in targeted communities

Guidance to NUCFMB on quarterly bulletins on monitoring results

III. Establish dispute resolution mechanisms in the three Hubs:

LAVI’s initial capacity assessments revealed that formal dispute resolution is a somewhat new phenomenon

across the 11 CFMBs. To date, CFMBs are accustomed to informal mechanisms for conflict resolution

and redress in their respective forest communities. A proactive and workable dispute resolution

mechanism (DRM) will require proper trainings on frameworks to be developed under this project. The

CSO Partner will lead work to develop one or more DRM(s) and conduct three training events across

the three hubs in Gbobayee, Yriah town and Bleewein town, with support from NUCFMB. Thereafter,

the CSO Partner will formerly establish the three structures, with NUCFMB support as needed. NUCFMB

will work with CFMBs to identify and involve participants, including local government officials in DRM to

increase their legitimacy and effectiveness. The exact scope of work will be developed based on the DRM

but key training issues will include: conflict resolution, mediation, and select legal issues (CRL, LRL, CUC,

CFMB/CFMA) related to dispute resolution. NUCFMB will participate in the trainings to develop capacity

and support the CSO partner as needed.

In designing the implementation strategy, the CSO Partner will work with the CMFBs in these hubs to set

up the structures using the Feedback Grievance and Redress Mechanism currently being developed by the

FDA and World Bank. Additionally, LAVI will provide an opinion paper on DRM options. However, the

CSO Partner will need to synthesize these ideas and conduct further research as needed, including

consulting CFMBs, communities and key government stakeholders to fill gaps in establishing a sustainable

DRM suitable for community forests. Rather than creating new parallel structures in the community forest

areas under consideration, the DRM should integrate existing formal and informal mechanisms already

used or available in CFMBs to promote harmonization. Similarly, the DRM should be able to function

without external financial sources (i.e., after USAID and other donors end funding, and without

unreasonable assumptions of FDA or other Liberian Government branches providing new or additional

funding), and without creating new dedicated positions (e.g., by identifying actors who would participate

in the DRM without additional incentives). Towards this goal, the Applicant should emphasize culturally-

sensitive, innovative approaches that incorporate sensitivities to gender, youth, and other demographic

and local realities essential for sustainable and meaningful dispute resolution. LAVI reserves the right to

cancel this portion of the grant in case it is determined that such a DRM is not timely or feasible to pursue

during the project life.

1 NUCFMB and the LAVI Core Partner will coordinate with FIFES at project launch and on an ongoing basis to verify which

CFMPs are undergoing review. In such cases, monitors will focus on if communities are using the CFMP, if it is important to

what they are doing, where improvements are needed

17

The following are minimum outputs expected from Activity III:

DRM(s) developed for ensuring equitable governance in Liberia’s authorized community forests

Training events in the three hubs conducted on DRM(s) covering conflict resolution, mediation,

and key relevant legal issues

IV. Support increased NUCFMB coordination and national-level advocacy

Improved NUCFMB coordination is essential to gathering lessons from the activity in order for the CFMBs

to grow and to strengthen the ability of the Union to represent its members. Under the guidance of LAVI’s

Capacity Development Department, the LAVI CSO Partner will support the Union to coordinate CFMB

activities and communications. The CSO Partner should identify and develop efficient, sustainable

mechanism(s) for communicating between and synchronizing NUCFMB members and Secretariat.

Successful Applicants will demonstrate an approach for achieving strong and sustainable coordination

among the NUCFMB and its members despite their remote distances and lack of financial support.

LAVI expects numerous findings to arise from the NUCMFB community engagements contemplated

above. With inputs from LAVI, the CSO Partner will provide technical support to NUCFMB to help it

design creative approaches to engage CFWG, FDA and other government agencies, as well as civil society

and private sector stakeholders in advocating for resolution of issues raised at the community level. It is

expected that these activities will initiate CFWG and FDA to take more active roles in community forestry

disputes and protect the rights of citizens as indicated in Community Rights Law and Land Rights Law.

Four combined NUCFMB coordination and advocacy forums will take place over the course of the project

to elevate monitoring exercise and other findings from the project.2 The CSO Partner will participate in

meetings and support NUCFMB to both coordinate and gather lessons from its member CFMBs and to

develop strong and coherent policy discussions in advocacy forums.

Additionally, the CSO Partner will be responsible for contracting an audiovisual firm and providing it

technical oversight to develop one or more documentary(ies) on affected forest communities, for

NUCFMB to show to non-CFMB communities in relevant local languages. The documentary will

demonstrate the plight of communities whose forests were negatively impacted where commercial logging

took place without full community understanding or approval and include direct footage of forest damage

and personal accounts from community members. By overseeing development of a powerful documentary

to show to communities who have not yet signed commercial logging agreements, it will warn communities

and CFMBs of potential dangers more powerfully than other awareness messages may be able to do.

Excerpts of the documentary also will be re-purposed and disseminated for shorter video statements and

footage on TV, radio and/or social media for even greater impact. NUCFMB will support the LAVI CSO

partner and audiovisual firm by identifying and working both with communities that will supply audiovisual

content for the documentary and those which will be shown the documentary.

Finally, the CSO Partner will provide support to NUCFMB by way of technical content for media outreach

to disseminate key awareness/advocacy messages and lessons learned from the project via radio, TV, print

and/or social media. Messages will draw on key thematic findings relevant for the project’s goals from the

awareness and trainings, monitoring exercises, dispute resolution mechanism and any other emerging

issues from the forest sector. NUCFMB will conduct a minimum of 12 total appearances on national radio

and/or TV stations that cover the entire country or a significant portion (1 per month), 12 stories in print

media (1 per month) and 60 social media posts (5 per month).

The following are minimum outputs expected from Activity IV:

Development of coordination mechanism(s) for NUCFMB members and Secretariat;

2 The first two days of each meeting will consist of stocktaking/coordination meetings for the 36 NUCFMB members, including roughly a half day devoted to the 11 FIFES CFMBs. The third day of each meeting will be devoted to advocacy forums/policy dialogues, two in Monrovia and two in the capitals of forest counties.

18

Technical support for NUCFMB national-level advocacy to engage government and other forest

sector stakeholders, including in four coordination and advocacy forums;

Technical production of documentary on affected forest communities to show to new

communities and wider stakeholders and public

Technical guidance on content for NUCFMB media outreach

Overall expected outcomes from the grant include the following:

NUCFMB capacity developed to increase public awareness in FIFES communities within

authorized forest communities and at national level on governance aspects of key community

forest documents (CFMP, CFMA, CRL, Constitutions and By-Laws, key portions of CRL, LRL,

CUCs and social agreements);

NUCFMB capacity developed to strengthen community monitoring in FIFES communities on key

community forest document governance issues of relating to CFMB, government and commercial

forestry operations;

NUCFMB capacity developed to manage and effectively resolve community forestry-related

conflicts and disputes in FIFES communities through sustainable DRM;

Advocacy roles of NUCFMB and member communities strengthened locally and at the national

levels relating to forest governance;

NUCFMB advocacy research, planning, messaging and media engagement strengthened;

NUCFMB coordination capacity strengthened;

NUCFMB member communities’ awareness, advocacy, monitoring and dispute resolution

capacities strengthened through learning lessons of FIFES interventions; and

Overall forest communities and civil society awareness strengthened of potential pitfalls of current

community forest governance and need for CF governance reforms.

Annex 1: Mandatory Standard Provisions

For fixed amount awards to nongovernmental organizations, these Standard Provisions apply:

https://www.usaid.gov/sites/default/files/documents/1868/303mat.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.)

3. Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals

(ADS 206)

4. Certification Regarding Terrorist Financing, Implementing Executive Order 13224

5. 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.)

6. 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.)

19

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.)

Please request for the following templates via the email below: LAVIgrants@dai.com

Annex 3: Application Template

Annex 4: Work Plan Template

Annex 5: Budget and Budget Notes

20

Annex 6: CV Form and Biodata Form

Curriculum Vitae

Proposed position in the project:

Name (First, Middle, Last):

Citizenship:

Education:

Name and location of

institution Major(s) or Degree(s) obtained:

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

Language Reading Speaking Writing

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 address

Dates of employment

Short description

of tasks performed From

(month,

year)

To

(month,

year)

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

21

Annex 7: 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).

22

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:

2. If yes, how?

3. Are timesheets kept for each paid employee?

Yes: No:

4. Do you maintain an employment letter or contract which includes the employee’s salary?

Yes: No:

4. Do you maintain inventory records for your institution's equipment?

23

Yes: No: (if no, explain)

5. How often do you check actual inventory against inventory records?

6. Are all financial transactions approved by an appropriate official?

Yes: No:

7. The person responsible for approving financial transactions is: ________________ Title:

______________

8. 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:

9. Does your institution use a payment voucher system or some other procedure for the documentation of

approval by an appropriate official?

Yes: No:

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

expenditures?

Yes: No:

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

Yes: No:

If yes, how long are such records kept?

12. Are different individuals within your institution responsible for approving, disbursing, and accounting of

transactions?

Yes: No:

13. Are the functions of checking the accuracy of your accounts and the daily recording of accounting data

performed by different individuals?

24

Yes: No:

14. 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:

2. 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.

4. If your institution doesn't have a bank account, how do you ensure that cash is maintained safely?

5. Does your institution have written accounting policies and procedures?

Yes: No:

6. How do you allocate costs that are “shared” by different funding sources, such as rent, utilities, etc.?

25

7. Are your financial reports prepared on a:

Cash basis: Accrual basis:

8. Is your institution's accounting system capable of recording transactions, including date, amount, and

description?

Yes: No:

9. 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?

Yes: No:

10. Is your institution's accounting system capable of accumulating individual grant transactions according to

budget categories in the approved budget?

Yes: No:

10. Is your institution's accounting system designed to detect errors in a timely manner?

Yes: No:

11. How will your institution make sure that budget categories and/or overall budget limits for the grant will

not be exceeded?

12. Are reconciliations between bank statements and accounting records performed monthly and reviewed

by an appropriate individual?

Yes: No:

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

26

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, 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:

2. Do you anticipate that your institution will have other sources of U.S. government funds during the period

of this grant agreement?

Yes: No:

3. 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.

4. Does your institution have regular audits?

Yes: No:

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

5. 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:

a. A "Balance Sheet" for the most current and previous year; and

b. An "Income Statement" for the most current and previous year.

6. Are there any circumstances that would prevent your institution from obtaining an audit?

Yes: No:

If yes, please provide details:

27

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 Consortium'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.

Optional:

Incorporation Papers or Certificate of Registration and Statute is attached.

Information describing your institution is attached.

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 _____________

28

Annex 8: Instructions for Obtaining a DUNS Number - DAI’S Vendors, Subcontractors

and Grantees

29

Annex 9: Self-Certification for Exemption from DUNS Requirement

Annex 9 - Self Certification for Exemption from DUNS Requirement.docx

30

Annex 10: Application Checklist

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

The application dossier is submitted in electronic format

Applicable certifications and assurances are signed and included (see Annex 2)

The workplan is included (Annex 4)

Budget is included

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 DUNS Number or a Self-Certification for Exemption from DUNS Requirement.

31

Annex 11: Grantee Partners Reporting Indicators

The LAVI Grantee Partners Indicator Reporting Table below is intended to summarize the data reported

on LAVI indicators by grantee partners for each milestone period as necessary. While the grantee partners

are required to strictly adhere to LAVI’s ongoing quality control measures in terms of following timeline

for collecting and reporting data, the reporting table will help to aggregate the data for each milestone

period. It will also serve as a source document to verify which activities were implemented during a

reporting period. LAVI will update the table when necessary to include additional indicators as applicable.

Organization:

Ind. # Indicator Title March 2019

April 2019

May 2019

Jun 2019

Jul 2019

Etc. Cumulative (Aggregate)

LAVI

2.3

Number of CSO

organizational capacity

building activities

conducted by LAVI or

Local Service Provider

LAVI

2.4:

Number of individuals

who participate in LAVI

supported organizational

capacity building activities

LAVI

4.3:

Number of outputs by

grant partners and

Contractor that generate

information on issues and

practices