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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
top related