Conflict Management andMitigation (CMM)

Annual Program Statement (APS)Pre-Application Conference

March 18, 2014, 1-4pm USIAD/Nigeria, Abuja

March 20, 2014, 9am-12pmUSAID/Nigeria, Abujaand

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I. Welcome

II. CMM Overview

III. USAID/Nigeria Overview Portfolios

IV. Walk through the CMM APS Technical Criteria

Questions and Answers

Agenda

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• CMM is based in USAID/Washington’s Bureau for Democracy, Conflict and Humanitarian Assistance (DCHA)

• CMM support to USAID Missions :

– Operational and technical support

– Research

– Integrate conflict mitigation and management

II. Conflict Management & Mitigation (CMM) Office Overview

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III. USAID/Nigeria Strategic Development 2015-2019

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• Five year strategy that identifies the U.S. Government’s approaches to achieve development outcomes in Nigeria.

• The strategy supports Nigerian institutions and systems to deliver sustainable, high quality interventions that will improve the lives of its citizens.

• The goal is to mobilize key institutions to support a resilient, equitable, better-governed Nigeria.

• Focuses on two Development Objectives• Broadened Diverse and Inclusive Private Sector-led

growth• Responsiveness of Targeted Government Institutions for

health and social resilience improved

DO 1: Broadened Diverse and Inclusive Private-Sector led Growth

IR 1.1: Agricultural competitiveness increased

IR 1.2: Energy Access Increased

DO 2: Responsiveness of targeted government institutions for health and social resilience improved

IR 2.3: Access to quality basic education improved

IR 2.2: Utilization of Quality Health Services in Target Areas and Population Groups Increased

2015-2019 CDCS Goal: Key institutions mobilized to reduce extreme poverty and cultivate a more stable, democratic Nigeria

Poverty

Gender Youth Conflict Water

IR 2.1: Community-Government Engagement Improved

Government Transparency and Accountability Increased

Civic Advocacy Strengthened

SpO: Enhanced Credibility of Elections

Demand for Quality Primary Health Care Services Increased

Governance of Health Systems and Institutions Strengthened

Access to Quality Services Improved

Students’ Reading Outcomes Improved

Access to Basic Education for Out-of-School Youth Improved

Key:

Agricultural Productivity Increased

Trade & Transportation ImprovedResiliency of Vulnerable households

and Communities IncreasedPrivate Sector Agriculture Value

Chain Participation Increased

Private Sector Energy Participation Increased

Energy Sources Diversified

Legal & Regulatory Environment Improved

Access to Finance Improved

IR 1.3: Business Environment Reformed

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Objective: Make strides in overall goal of conflict mitigation, peace, and reconciliation in selected eligible conflict affected countries.

A. Technical Criteria: Details

IV. Walk through the CMM APS

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IV. Walk through the CMM APS:Technical Criteria

I. Analysis and Methodology (40 Points) a) Context & Conflict Analysis (15 Points)b) Theory of Change (10 Points) c) People-to-People Approach (15 Points)

II. Implementation Plan, Costs & Sustainability (35 Points local/ 45 non-local)

a ) Implementation Plan (25 Points) b) Do No Harm (10) c ) Local Engagement (10 Points) *** For Non-Local Applicants OnlyIII. Monitoring and Evaluation Plan (8 Points)

IV. Institutionnel Comptabilities (5 Points)

V. Past Performance (2 points)

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IV. Walk through the CMM APS:Analysis and Methodology

A. Country Specific Language

a) Context & Conflict Analysis

Must be responsive to Mission priorities noted in the Country Specific language

Must engage in one or more of the following three areas:

1. Promote linkages to existing mission activities: Program Areas: Governance, Economic Growth, Health and Education or Geographically: North: Bauchi, Borno, Gombe, Kaduna, Kano and Sokoto States; Middle Belt: Nasawara and Plateau States; South: Bayelsa, Delta, and River States.

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2. Target farmer and pastoral groups experiencing conflict or at risk for conflict.

3. Advocate work with groups that target:Conflict related gender-based violence Promote women and youth’s participation in proposed activities

(youth may include street children, Almajiri students, child beggars, abandoned/orphaned children and those from broken homes).

IV. Technical Criteria: I. Analysis and Methodology, cont.

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IV. Technical Criteria: I. Analysis and Methodology

B. Page 16

a) Context & Conflict Analysis cont.

Conflict analysis: Sources of grievances and resilience, factors that can contribute to violence or opportunities to mitigate violence, highlight potential trigger events, examine key actors to conflict/peace and experience of women and men in the conflict context.

What others are doing?: GON, donors, private sector, etc.

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IV. Technical Criteria: I. Analysis and Methodology

C. Page 17

b) Theory of Change

“A theory of change explains why we think certain actions will produce desired change in a given context

“If we do X (action), then we will produce Y (change/shift towards peace, stability, security).”

Ex. If we provide employment for youth, then we will reduce the likelihood of inter-communal violence, because unemployed youths are the most likely to be recruited into fighting.

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IV. Technical Criteria: I. Analysis and Methodology, cont.

D. Page 17

c) People to People Approach

Bringing together representatives of conflicting groups to interact purposefully in a safe space.

Must be clear what people/groups in conflict will be brought together, why and when. Must be linked to implementation plan.

Explain relevance of the groups to the conflict, key actors in conflict or agents of peace.

Ex. Respected leader to both sides of the conflict to foster constructive dialogue between them.

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III. Technical Criteria: II. Implementation Plan, Costs & Sustainability

D. Page 18

a) Implementation Plan

Logical Sequence of proposed activities. Demonstrate long-term sustainability beyond the life

of the project. Illustrative first-year plan must be realistic.

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IV. Technical Criteria: II. Implementation Plan, Costs & Sustainability, cont.

E. Page 18

b) Do No Harm Must provide sufficient explanation:

• How will the project affect the conflict environment?

• How will the program not exacerbate tensions that will lead to violence?

• How will risk be mitigated against individuals and communities?

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IV. Technical Criteria: II. Implementation Plan, Costs & Sustainability, cont.

F. Page 19

c) Local Engagement *** For Non-Local Only

USAID Forward• Goal 2 of 3: Strengthen local capacity,

enhance and promote country ownership, increase sustainability

• Required to outline local contribution: Conflict Analysis, Program Design, Program implementation and Evaluation

Capacity Building Plan: Organizational management and Technical Capacity

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IV. Technical Criteria: III. Monitoring and Evaluation Plan

F. Page 19a) Performance Monitoring Plans

Illustrative Indicators Indicator Data ( data sources, data collection, methods

and reporting. Must include gender-sensitive indicators and any other

appropriate disaggregation Baseline data Targets and milestones

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Indicator Number of host national inhabitants reached through the organization’s public information campaigns to support peaceful resolution of conflicts.

Definition This indicator tallies the number of host nation inhabitants who have heard or viewed public information campaigns collected by the grantee or an outside independent monitoring unit related to resolving the conflict, which were funded by organization.

Linkage Outcome orImpact

Conflict Mitigation programs aim to address social, ethnic, and religious conflicts, as well as the underlying causes that fuel them.

By one theory of change, as people become more informed and have a greater understanding of the peace process they are more likely to support it and there is then a greaterchance of achieving peace.

Indicator Type Output

Unit of Measure Each person exposed to the message counts as one unit.

Data Source and Reporting Frequency This indicator would be reported on a yearly basis by the organization responsible for aggregating information and collected by the program management staff.Primary data is generated by implementing partners through observation and administrative records.

Baseline Timeframe Baseline to be established .

Disaggregate(s) Sex.

IV. Technical Criteria: III. Monitoring and Evaluation Plan, Indicator Example

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IV. Technical Criteria: VI. Institutional Capabilities

F. Page 20a) Describe organizational history of all partners proposed

All partners must demonstrate experience and success. Composition of team must be described. Organogram is required (ex. next slide) Provide sufficient information on technical and

managerial experience for director and relevant management staff identified by applicant.

All personnel must be experienced and qualified in the relevant area.

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IV. Technical Criteria: VI. Institutional Capabilities, cont. ORGANOGRAM EXAMPLE

BOARD OF TRUSTEES

BOARD OF DIRECTORS

CO- EXECUTIVE DIRECTORS DIRECTOR RESEARCH AND DIRECTOR DIRECTOR M & E DIRECTOR TRAINING DOCUMENTATION INTERVENTION

PROGRAM MANAGER M&E COMMUNICATION OFFICER FINANCE &ADMIN MANAGER

ZONAL COORDINATORS STATE COORDINATORS PROGRAMME OFFICER ACCOUNT OFFICER WOMEN CORDINATORS YOUTH CORDINATORS (CHRISTINA/MUSLIM MUSLIM/CHRISTIAN MATTERS SEC/RECEPTIONIST MATTERS) DRIVER OFFICE ASSISTANT

SECURITY

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IV. Technical Criteria: VII. Past Performance

H. Page 21

• References: No more than three similar projects over the last three years

Award Numbers Name of the Organization/Agency Point of Contact: Name, e-mail and phone number Overall dollar amount of the project Must include information of any problems

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• Context & Conflict Analysis• Gender Integration• Theory of Change• People to People Approach

Application Requirements: Resources

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Thank You! Any Technical Questions?

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Break

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The APS Application

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V. Application Details

Office of Acquisition & Assistance (OAA)Office of Financial Management (OFM)

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Introduction of Office of Acquisition & Assistance (OAA)

OAA is responsible for:

• Receiving inquiries and questions from the public relating to the APS;• Responding to such inquiries and questions;• Receiving and acknowledging receipt of the applications;• Overseeing evaluation of all applications received;• Communicating results of the evaluation to the applicants;• Conducting responsibility determination of successful applicants;• Negotiation of grants and cooperative agreements; and• Signing of awards by the warranted Agreement Officer.

Note: The Agreement Officer is the only warranted official to award a grant or cooperative agreement resulting from this APS.

V. The APS Application: OAA

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The Annual Program Statement (APS)• Regulatory Authority governing Assistance Programs

– Foreign Assistance Act of 1961, as amended (FAA) – Grants and Cooperative Agreements Act

• Purpose of APS– To disseminate information to prospective applicants so they may develop and submit

applications for USAID funding. – (A) describes the types of activities for which applications will be considered; (B)

describes the funding available and the process and requirements for submitting applications; (C) explains the criteria for evaluating applications; and (D) refers prospective applicants to relevant documentation available on the internet.

– USAID anticipates awarding multiple grants and/or cooperative agreements as a result of this APS

• Congressional Appropriation for the APS– To meet Congressional intent, this APS will support “people-to-people” conflict

mitigation and reconciliation programs and activities that bring together individuals of different ethnic, religious, or political backgrounds from areas of civil conflict and war in the countries

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V. The APS Application: APS

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APS CONTENTS

a. Cover Letter

b. The APS

1. Objectives and Scope

2. Award Information

3. Applicant Eligibility and Program Eligibility

4. Application and Submission Requirements

5. Award and Administration and Information

V. The APS Application: Contents

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COVER LETTER

a. Issuance Date – February 24, 2014

b. Closing Date – March 28, 2014 (unless otherwise amended)

c. List of Eligible Countries

d. Reference to the APS and Attachment

V. The APS Application: Cover Letter

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• 2.1 Anticipated Funding Available– $16 million for all participating countries to support program(s) or activity(ies)

described.– final funding levels will depend on content, quality, and number of applications

received, needs, availability of funding, and competing priorities.

• 2.2. Anticipated Number of Awards: – USAID plans to make multiple awards, subject to the availability of funds. – Nevertheless, USAID reserves the right to make a single award, to fund parts of applications,

or not to make any awards at all.

• 2.3 Types of Awards/Substantial Involvement:– Assistance Award i.e. Grant or Cooperative Agreement– This type is used when the principal purpose of the transaction is to accomplish a

public purpose of support or stimulation, as authorized by the Foreign Assistance Act of 1961, as amended (FAA).

– The Difference Between Grants and Cooperative Agreement is the Substantial Involvement

Note: USAID will determine the type of award on a case by case basis

V. The APS Application: Award Information

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Substantial Involvement - USAID’s active involvement in certain programmatic elements of the project during the performance of the proposed activity.

• Areas of Substantial Involvement for Cooperative Agreement:– USAID approval of the recipient’s implementation plans – USAID approval of specified key personnel (limited to 5 positions or 5% of the

recipient’s total team size, whichever is greater);– USAID and recipient collaboration or joint participation, which includes one or

more of the following:• Collaborative involvement of selection of advisory committee members

(USAID may also choose to become a member), if applicable;• USAID concurrence on the selection of sub-award recipients and/or the

substantive technical/programmatic provisions of sub-awards;• USAID approval of a program monitoring and evaluation (M&E) plan (to the

extent that such information is not included in the application);• USAID monitoring to permit direction and redirection because of

interrelationships with other projects; and • USAID authority to immediately halt a construction activity, if applicable.

V. The APS Application: Award Information, cont.

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• Grant - A legal instrument used when the principal purpose is the transfer of

money, property, services or anything of value to a recipient in order to

accomplish a public purpose of support or stimulation authorized by Federal

statute and when substantial involvement by USAID is not anticipated.

• Cooperative Agreement - A legal instrument used when the principal

purpose is the transfer of money, property, services, or anything of value to a

recipient in order to accomplish a public purpose of support or stimulation

authorized by Federal statute and when substantial involvement by USAID is

anticipated.

• Fixed Obligation Grant (FOG)

A type of grant where payments are based on the achievements of the

milestones or outputs. The amount for each year of the FOG must not

exceed $500,000 and the duration must not exceed three years.

V. The APS Application: Award Information, cont.

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2.4 - Award Durations: – minimum period of 1 year and a maximum period of 4 years from

the date of award (1-4 years)

2.5 - Award Size Thresholds and Competitive Categories:• Applications below a minimum amount of US$100,000 or above a

maximum amount of US$1,200,000 will not be considered.

• Two separate competitive categories in FY14.

– Category One: Local Organizations only - for proposals in the range of $100,000 – $500,000

– Category Two: Open to both local and non-local organizations - for proposals in the range of US$500,000 to US $1,200,000.

– Note: No limit on number of applications any one organization may submit.

V. The APS Application: Award Information, cont.

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3.1 - Types of Organizations Eligible to Apply

• U.S. and Non-U.S. Non-Profit Organizations (NGOs)• U.S. and Non-U.S. For-Profit Organizations• U.S. and Non-U.S. Colleges and Universities• Public International Organizations (PIOs)• New Partners

NOTE:• USAID encourages applications from new partners that have not previously received

USG funding. • Foreign government-owned parastatal organizations from countries that are ineligible

for assistance under the FAA or related appropriations acts are ineligible• Payment of fee/profit to the prime recipient under grants and cooperative agreements

is prohibited by USG regulation• APS is not intended to fund academic research

V. The APS Application: Applicant Eligibility

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3.2 Types of Programs Eligible

• Cross Border Programs: Does Not Apply– Proposed activities focus on a unified group (e.g. cultural or ethnic

group) and where the population straddles a border with a majority of activities in one country.

• On Going Programs: – Applications are for follow on programs and will be evaluated

according to the evaluation criteria in section 4.6.– Programs applying for ongoing funds must discuss how continued

programming will contribute to a sustainable approach. – Note: simply applying for another grant because a previous or current

grant is running out of funding is not in and of itself sufficient justification.

V. The APS Application: Applicant Eligibility and Program

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V. The APS Application: Application & Submission Requirements, cont.

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4.1 - General Application Instructions

• Written applications received by March 28, 2014 will be reviewed for responsiveness to the requirements set forth in this APS

• Applicants should retain for their records a copy of the application and all attachments/enclosures that accompany their application.

4.2 - Submission Instructions and Deadlines

• The closing date for this APS is Friday, March 28 2014, unless otherwise advised.

• To be eligible applications must be received no later than 5:00 p.m. local

Mission time on Friday, March 28, 2014.

• Applications received after this deadline will be disqualified from the competition.

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V. The APS Application: Application & Submission Requirements, cont.

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4.2 - Submission Instructions and Deadlines – cont’d

• Please submit ONE electronic file inclusive of attachments.

• Documents must be emailed to the USAID Mission Point of Contact (see Attachment 2 for Nigeria Point of Contact).

• The ONE electronic file submission must be labeled as follows “Country Name – Organization Name – Program Name.”

• It is the applicant’s responsibility to ensure files are complete and transmitted to the correct person/email by the deadline.

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V. The APS Application: Application & Submission Requirements, cont.

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4.2 - Submission Instructions and Deadlines – cont’d

• USAID Missions will confirm receipt of applications.

• Please inquire immediately with the relevant Mission Point of Contact if your application has not been acknowledged within 24 business hours of submission.

• If your organization has not received an official confirmation from USAID, then your application has not been received and will not be considered for review.

• USAID bears no responsibility for data errors or omissions resulting from transmission or conversion processes.

• USAID may accept applications past the deadline due to transmission difficulties that are not the fault of, or within the control of (such as a server outage), the applicant with the approval of the USAID Mission.

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V. The APS Application: Review

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4.3 - Estimated Timeline for Application Reviews

• After the submission deadline, USAID/Nigeria will have approximately 30 days to review the applications received and submit technical evaluation reports along with the applications recommended for funding to USAID/DCHA/CMM.

• This review phase is called the Step One evaluation, to be conducted in accordance with the evaluation criteria set forth in section 4.6 and Mission-specific guidance provided in Attachment 1.

• At completion of Step One evaluation, USAID/Nigeria will notify all unsuccessful applicants that their applications were not forwarded to USAID/DCHA/CMM for Step Two consideration.

Please Note: Recommendation of applications to USAID/DCHA/CMM at Step One is in no way an indication organizations will receive funding under this APS.

USAID/DCHA/CMM reserves the right to adjust these timelines as the number of applicants and other scheduling may require.

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V. The APS Application: Review, cont.

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4.3 - Estimated Timeline for Application Reviews – cont’d

• After the submission deadline, USAID/Nigeria will have approximately 30 days to review the applications received and submit technical evaluation reports along with the applications recommended for funding to USAID/DCHA/CMM.

• This review phase is called the Step One evaluation, to be conducted in accordance with the evaluation criteria set forth in section 4.6 and Mission-specific guidance provided in Attachment 1.

• At completion of Step One evaluation, USAID/Nigeria will notify all unsuccessful applicants that their applications were not forwarded to USAID/DCHA/CMM for Step Two consideration.

Please Note: Recommendation of applications to USAID/DCHA/CMM at Step One is in no way an indication organizations will receive funding under this APS.

USAID/DCHA/CMM reserves the right to adjust these timelines as the number of applicants and other scheduling may require.

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4.4 - Submission Format

SUBMIT ELECTRONICALLY:

• Use Adobe PDF, Microsoft Word, Microsoft Excel ONLY• Submit ONE electronic file inclusive of attachments. • File Name Nigeria– Organization Name – Program Title

E-Mail• Subject Line: Nigeria– Organization Name – Program Title• Email Body: Full title of application and full applicant contact• information• Send to: Abujasolicitations@usaid.gov • Nigeria/OAA will confirm receipt within 24 hours

V. The APS Application: Submission Requirements

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Cover Page

Table of Contents

Technical Narrative

V. The APS Application: Submission Requirements, cont.

Technical Application

Full Technical Application Comprises of:

Technical Narrative should not exceed 12 pages of text

Technical Narrative must include an executive summary

Narrative section should be organized in the same order as the evaluation criteria.

Referenced Attachments

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V. The APS Application: Submission Requirements, cont.

Cover Page APS-OAA-14-000003 Organizations involved (prime

identified) Application Title USAID Mission Submitted

(USAID/Nigeria) Total cost of program Sub-partners if applicable Qualified Local Org. if applicable POC & complete contact info Provide individual with negotiation

authority

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V. The APS Application: Submission Requirements, cont..

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Technical Section + Cost Section + Attachments = COMPLETE APPLICATION

Section Details Page Limit

Technical Narrative ------------------------------------------ 12

Budget Narrative $100,000- $500,000 range 3

$500,000 - $1,200,000 range 5

Technical Attachments Do not count against the technical and cost narrative page limits

Key Personnel CVs - 3 CVs max 3 per CV

First-Year Activity Plan 3

M&E Plan 3

Past Performance References 1 per reference

Proof of local NGO Status Include

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V. The APS Application: Submission Requirements, cont.

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Technical Section + Cost Section + Attachments = COMPLETE APPLICATION cont.

Section Details Page Limit

Capacity Building Plan Non-local applicants that partner with local organizations must include

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Organogram Illustration on how the organization will be managed

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Optional:Map

Map of conflict afflicted area --------------------------------

No others will be considered Submit in English & USD Refer to APS Section 4 for spacing, margin, font detail 12 point font and in Times New Roman Past performance reports of three similar/relevant projects funded over the past

three years by USAID or any other government entity or third party source

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1. Budget Narrative• Budget (Microsoft excel)• Budget Narrative (Microsoft Word)

2. Cost Narrative: All costs• Prime organizational costs• Any partnerships with local organizations• Any cost shares, amounts contributed by the applicant• Any contributions of non-USAID or private donors

3. Standard Forms –Forms SF-424, SF-424A, SF-424B, sign and

submit electronically (do not count against page limits)• Forms should be accessible on www.grants.gov• IF NOT, use these links:

SF-424 http://www.epa.gov/ogd/AppKit/form/SF424.pdf

SF-424A http://www.epa.gov/ogd/AppKit/application.htm

SF-424B http://www.epa.gov/ogd/forms/adobe/sf_424b_8_1_11.pdf

V. The APS Application: Submission Requirements: Budget Narrative

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Technical Narrative Analysis & Methodology• Context & Conflict Analysis• Theory of Change• People to People Approach Implementation Plan• Implementation• Do-No-Harm• Local Engagement & Sustainabilityo Capacity Building Plan Monitoring & Evaluation Plan Institutional Capacities & Past Performance• Organizational & Team Capabilities• Past Performance

V. The APS Application: Submission Requirements: Technical Application Instructions

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V. The APS Application: Submission Requirements: Evaluation Criteria

1. Analysis & Methodology (40 points total)

Context & Conflict Analysis Sub-criteria 15

Theory of Change Sub-criteria 10

People to People Approach Sub-criteria 15

2. Implementation Plan, Costs and Sustainability (35 points total local organizations, 45 points total non-local organizations)

Implementation Sub-criteria 25

Do No Harm Sub-criteria 10

Non-Local Organizations Only Local Engagement

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3. Monitoring and Evaluation Plan (8 points total)

4. Institutional Capabilities (5 points total)

5. Past Performance (2 points total)

Point Scale 100 / 90

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Post Award Reporting

Resulting awards to U.S. non-governmental organizations will be administered in accordance with:

• USAID ADS 303, • 22 CFR 226, • 2 CFR 220 for universities (formerly OMB Circular A-21), • 22 CFR 230 for non-profit organizations (formerly OMB Circular A-122), • OMB Circular A-133 for both universities and non-profit organizations or 48

CFR 31.2 (for for-profit organizations), and • Standard Provisions for U.S. and Non-U.S. Nongovernmental Organizations.

Website addresses are provided on pages 23 and 24.

V. The APS Application: Award & Administration Information

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Procurement Timeline

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February March April May June/July/Aug

APS IssuedFeb 28. 2014

NigeriaBiddersConferenceMarch 18 and 20, 2014

Nigeria Mission: Review, write evaluations recommend to DCHA/CMM, 30 days

DCHA/CMM:Review; write evaluations, recommend awards30 days

Successful Applicants:Notification, negation, responsible determination & award issuanceProcess can take 6 months or longer

APS DeadlineMarch 28, 2014,5pm(Local Nigeria Time)

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A separate presentation by Office Of Financial Management (OFM) will discuss:

• Pre-Award Surveys

• Financial Reviews and Audits

• Financial Reporting– Will depend on the payment provisions of the award, which cannot be

determined until after the successful applicant(s) is/are selected and programs awarded.

– Financial reporting requirements will be specified in awards.

V. The APS Application: Award & Administration Information – cont’d

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A separate presentation by Office Of Financial Management (OFM) will discuss:

• Pre-Award Surveys

• Financial Reviews and Audits

• Financial Reporting– Will depend on the payment provisions of the award, which cannot be

determined until after the successful applicant(s) is/are selected and programs awarded.

– Financial reporting requirements will be specified in awards.

OFM

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Thank You! Any Questions?