July 2004 INTRODUCT ION . . . . . . . . . . . . . . . . . . . . . . . . . . . .

............................................
GUIDELINES FOR PROPOSALS AND ......................................9
REPORTING USAID/OFDA ORGANIZATIONAL CHART . . . . . .
............................................
NOTICES .........................10
PROGRAMMING PRINCIPLES OF
x USAID/OFDA does not desire or DEVELOPMENTAL REL I E
require elaborate covers or bindings for F..........................................
proposal ......11
USAID/OFDA PROPOSAL REVIEW AND GRANT
submissions. AWARD PROCESS . . . . . . . . . . . . . . . . . . . . . . . . . . .
x These Guidelines do not supercede .............13
instructions contained in a “Request for GUIDELINES FOR THE PROGRAM PROPOSAL
Applications ....................................
(RFA)” or an “Annual Program . . . . . . . . . . . . . . . . . . . . . . . . 15
GUIDELINES FOR THE COST/MANAGEMENT
Statement (APS).” Grantees should read PROPOSAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
and follow specific ....................22
RECOMMENDED PROPOSAL
instructions contained in an RFA or APS FORMAT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
to ensure consideration of their proposal ............................................
in these 30
GUIDELINES FOR
competitive situations. REPORTING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
x Any examples presented in these ............................................
guidelines are illustrative and should be .............32
RECOMMENDED RESULTS REPORT FORMAT . .
used as a guide in ............................................
developing proposals. Examples should .......................34
not be viewed literally for format or PROGRAM MODIFICATIONS REQUIRING PRI O
R
content. APPROVAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
x Use of couriers or express mail is not ...............35
encouraged as this may actually delay ANNEX A:
INDICATORS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
receipt of a ............................................
proposal. If the submission is time- .......................37
sensitive, an electronic submission is ANNEX B: RESTRICTED AND INELIGIBLE
GOODS, SERVICES AND SUPPLIER S . . . . . . . . . .
encouraged with a ...........38
subsequent hard copy by regular mail. ANNEX C:
Per the guidelines, it must be clear that REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
............................................
all .......................40
submissions originate from the ANNEX D: GUIDELINES FOR NEW APPLICANTS
organization’s headquarters. ............................................
2 ....................44
ANNEX E: SF-424 FORMS AND INSTRUCTIONS .
GUIDELINES FOR PROPOSALS AND ............................................
REPORTING .....................45
ANNEX F: CERTIFICATIONS . . . . . . . . . . . . . . . . . .
TABLE OF CONTENTS ............................................
GLOSSARY OF TERMS . . . . . . . . . . . . . . . . . . . . . . . ..............................54
............................................ ANNEX G: PROGRAM UPDATE EXAMPL E
..................................4 S..........................................
USAID/OFDA ACRONYMS . . . . . . . . . . . . . . . . . . . . ..............................54
............................................ ANNEX H: CONTEXT–SPECIFIC
.................................7 PROGRAMMING . . . . . . . . . . . . . . . . . . . . . . . . . . . .
....................................64
ANNEX I: SAMPLE MONITORING TOOLS. . . . . . . networks. (See Annex H: Context-
............................................
........................66 Specific Programming)
3 Complex Humanitarian Humanitarian
GUIDELINES FOR PROPOSALS AND emergencies that are caused or
REPORTING complicated by
Emergencies civil strife.
GLOSSARY OF TERMS Coping Mechanisms The set of
Annual Program Statement A form of behaviors or activities that people
solicitation used to generate competition engage in to
for new survive a crisis, such as consuming wild
awards where USAID/OFDA intends to foods or selling
support a variety of assets such as livestock, property,
approaches by NGOs that are in keeping jewelry, tools, and
with household furnishings.
USAID/OFDA’s objectives. Cost Sharing In appropriate instances,
Assessment The process of determining USAID may require that a specified
the impact or potential impact of a percentage of a program’s funding come
(Needs assessment) crisis or event prior from non-federal
to, during, and/or after the crisis or sources. For types of contributions that
event. may be considered for
An assessment determines the need for the purposes of cost sharing, see 22 CFR
immediate emergency 226.23 (See Annex
measures to save and sustain lives and C: References)
reduce suffering of Critical Assumptions General
affected populations, and calculates the conditions that are outside the control or
possibilities for influence of
expediting recovery. It also evaluates the an organization but, if changed, may
capacity of local affect the ability to
populations to cope with the crisis. The successfully implement a program.
assessment process Disaster A foreign disaster, as defined
can range from formal and scientific to by USAID/OFDA, is an act of
anecdotal and 4
impressionistic and should continue via GUIDELINES FOR PROPOSALS AND
monitoring and REPORTING
adjustment throughout the duration of Expected Result
the program. Goal
Beneficiaries The members of an Hazard
affected population who receive Indicator
humanitarian assistance. Indirect Beneficiaries
Context-Specific An approach to International Standard
programming that reflects the In-kind Contribution
combination of Livelihoods
Programming variables that distinguish Measurable
the context of a disaster, such as Mitigation
gender roles, the environment, and social Objective
and political Performance Baseline Data
nature or man-made that is, or threatens quantitatively or qualitatively, and used
to be, of sufficient as a basis for
severity or magnitude to warrant U.S. comparison.
emergency relief Measures taken to reduce the loss of life,
assistance. livelihoods, and
A measurable outcome of a program’s property by reducing vulnerability.
objective. A subset of the goal that more
The overall purpose of the program. The specifically categorizes
big picture. program activities according to needs to
The potential for a natural or man-made be addressed. Please
event to occur with refer to the list of USAID/OFDA’s
negative consequences. reporting objectives on
A measurement used to demonstrate page 17.
change resulting from a Description of the prevailing conditions
particular intervention. Indicators are at the onset of the
used to monitor applicant’s proposed intervention.
progress toward achieving expected Performance baseline data
results. 5
Members of an affected population who GUIDELINES FOR PROPOSALS AND
do not receive direct REPORTING
assistance but who nonetheless benefit Preparedness
from assistance being Prevention
given to their relatives, neighbors, Qualitative Data
friends, or community. Quantitative Data
An accepted measure for a humanitarian Risk
assistance Shared Costs
commodity or service delivery Sphere Project
recommended by relevant Targeted Population
international organizations. Time Line
The value of non-cash contributions to a USAID Regulation 26
program provided by Vulnerability
any third party, including counterpart should be both quantitative and
contributions from host qualitative. It is imperative to
country institutions. In-kind have a realistic picture of the starting
contributions may be in the form point for any program in
of space, equipment, supplies, order to measure progress accurately.
expendable property, and the Actions taken to reduce the loss of
value of goods and services directly human lives and the
benefiting and economic impact of disasters by
specifically identifiable by an strengthening local capacities
organization. to respond.
The means by which an individual or a Measures taken to prevent a natural
part of a society phenomenon or potential
sustains its existence. hazard from having harmful effects on
Describes an outcome that can be either persons or
determined and reported economic assets.
Descriptive observations often expressed The extent to which a community is at
in reference to risk from disasters.
behavior, attitudes, beliefs, and personal 6
experiences. GUIDELINES FOR PROPOSALS AND
Data expressed numerically that may REPORTING
include qualitative
information.
USAID/OFDA ACRONYMS
APS Annual Program Statement
The probability that a loss will occur as
CTO Cognizant Technical Officer. The
the result of an
CTO is an USAID/OFDA staff
adverse event. The level of risk is a
member authorized to carry out certain
factor of hazard and
aspects of contract or grant
vulnerability.
administration by the Agreement
A budget term for those costs that cannot
Officer, policy, or regulation.
be logically
DART Disaster Assistance Response
attributed to any individual objective,
Team. A DART may include
being grouped and
members from FFP, OTI, State/PRM,
presented in a budget together instead of
and other USAID bureaus
allocated across
and U.S. Government agencies.
program objectives. (See Sample Budget
DCHA USAID’s Bureau for
on page 24)
Democracy, Conflict, and Humanitarian
A broad collaborative effort initiated in
Assistance. DCHA was formerly the
1997. Its aim is to
Bureau for Humanitarian
reach common minimum standards for
Response (BHR).
emergency activities
DOS Disaster Operations Specialist. The
on the basis of humanitarian principles
DOS is responsible for the
covering essential “life
day-to-day management of one or more
saving”sectors: water, sanitation, and
specific activities and is
hygiene promotion;
the point of contact for proposal and
food security, nutrition, and food aid;
report submissions. The DOS
shelter, settlement, and
serves as USAID/OFDA’s CTO for
relief commodities; and health services.
grant administration, and may
(See Annex C:
have responsibility for multiple
References)
countries.
Intended beneficiaries chosen for
ECARO USAID/OFDA East and
assistance based on
Central Africa Regional Office
anthropometric or socioeconomic
EDRC Emergency Disaster Response
criteria.
Coordinator. The EDRC is an
The set of planned actions from the
USAID/OFDA field representative
beginning to the end of an
based in an affected country.
intervention that includes preparatory
FFP USAID’s Office of Food for Peace
and post-program
FOG USAID/OFDA’s Field Operations
planning and evaluation.
Guide for Disaster Assessment
“Administration of Assistance Awards
and Response
for U.S. Non-
IDP Internally Displaced Person
Governmental Organizations.” (See
MDRO Mission Disaster Relief Officer.
Annex C: References)
The MDRO is a staff member of
the USAID Mission or the U.S. Embassy developed these guidelines to assist in
who is the U.S. the preparation of proposals for new
Government’s in-country point of grants and grant
contact for disaster response. modifications for submission to
NGO Non-Governmental Organization USAID/OFDA. They provide
OTI USAID’s Office of Transition information relevant to the grant
Initiatives proposal review and award process,
PAL Pre-award letter. The PAL outline the main components of a grant
communicates any agreements, such as proposal, and present
start dates, that may be reached with reporting requirements. Annexes provide
applicants prior to grant additional information, as well as
award. administrative and
7 financial forms. If your organization has
GUIDELINES FOR PROPOSALS AND never previously received
REPORTING USAID/OFDA funding,
PML Pre-modification letter. The PML please contact the USAID/OFDA
communicates any agreements, regional representative for additional
such as start dates, that may be reached guidance. To obtain this
with applicants prior to the information, please consult the USAID
modification of an existing award. website at:
PRA Principal Regional Advisor http://www.usaid.gov/our_work/humanit
PRM U.S. Department of State Bureau arian_assistance/disaster_assistance/dire
of Population, Refugees, and ctory/regional
Migration teams-dir.html
PVO Private Voluntary Organization. USAID/OFDA's Mandate and Role in
For more details see: Humanitarian Assistance
http://www.usaid.gov/our_work/crosscut USAID/OFDA is part of the U. S.
ting_ Agency for International Development’s
programs/private_voluntary_cooperation (USAID) Bureau for
/ Democracy, Conflict, and Humanitarian
RA Regional Advisor Assistance (DCHA). USAID/OFDA’s
SARO USAID/OFDA Southern Africa mandate is to
Regional Office save lives, alleviate suffering, and
USAID/OFDA/W Office of U.S. reduce the economic impact of disasters.
Foreign Disaster Assistance USAID/OFDA
headquarters in coordinates the U.S. Government
Washington, D.C. response to disasters in foreign
WARO USAID/OFDA West Africa countries, and has primary
Regional Office responsibility for meeting the needs of
8 internally displaced persons (IDPs) in
GUIDELINES FOR PROPOSALS AND emergency
REPORTING situations. USAID/OFDA’s
humanitarian assistance is largely
INTRODUCTION provided through grants to Private
In order to fulfill its mandate, the Office
of U.S. Foreign Disaster Assistance
(OFDA) has
Voluntary Organizations, Non- responsible for providing strategic
Governmental Organizations, and guidance on how USAID/OFDA works
International Organizations. with NGOs, the
USAID/OFDA funds are authorized for United Nations, other International
the following activities: Organizations, and other donors. The
x Disaster relief: Assistance provided Disaster Response and
for affected populations in natural or Mitigation (DRM) division is
man-made responsible for coordinating with other
disasters that will sustain life or reduce organizations for the
human suffering. provision of relief supplies and
x Rehabilitation: Assistance to restore humanitarian assistance. DRM also
the self-sufficiency and livelihoods of monitors and evaluates
disaster-affected USAID/OFDA programs and develops,
populations. coordinates, and implements program
x Prevention, mitigation, and strategies, and
preparedness: Assistance to reduce the prevention and preparedness initiatives
impacts of natural and for a variety of natural and man-made
man-made disasters in at-risk areas. disaster situations.
PRE-AWARD REVIEW The Operations division (OPS) develops
Applicants should take this into account and manages logistical, operational, and
and plan their technical
USAID/OFDA must conduct a pre- support for disaster responses. OPS
award qualification review on maintains readiness to respond to
organizations emergencies through a
that have not previously had U.S. number of mechanisms, including
Government-funded awards, and such managing several Search and Rescue
review Teams, the Ground
may take 60-90 days. Operations Team, field Disaster
proposal submissions and program Assistance Response Teams (DARTs),
performance periods accordingly. and Washington-based
9 Response Management Teams (RMTs).
GUIDELINES FOR PROPOSALS AND The Program Support (PS) division
REPORTING provides
programmatic and administrative
USAID/OFDA/W support, including budget/financial
ORGANIZATIONAL services, procurement
CHART planning, contract and grant
USAID/OFDA is organized into three administration, general administrative
divisions under the management of the support, training, and
Office of the communication support for
Director. The Office of the Director USAID/OFDA in Washington, D.C. and
includes a training supervisor who in its field offices.
oversees the formulation 10
of all training required to meet GUIDELINES FOR PROPOSALS AND
USAID/OFDA staff needs and a REPORTING
coordinator for external relations
PROGRAMMING local economies, and cultural beliefs and
PRINCIPLES OF practices. Programs should be
appropriate and
DEVELOPMENTAL RELIEF
relevant to these conditions and should
Developmental relief is a framework
consider both immediate and possible
under which relief programs should be
long-term
implemented.
impacts. USAID/OFDA acknowledges
Although linking traditional relief
that some local practices must change
activities to development activities is
during
critical, this exercise is a
disasters and encourages programs to
transition strategy and not
include training and local community
developmental relief. Developmental
participation in
relief accounts for normal and
order to ensure that new behaviors or
longer term coping strategies and the
temporary technologies are adopted
community structures through which
safely. See Annex
these strategies are
H for details on information that must be
implemented and seeks to support and
reflected in proposals.
strengthen these resources.
x Livelihoods: The resumption of
Developmental relief is a
income or food-generating activities
process as much as it is a goal.
plays a crucial role in
x Collaboration/coordination:
helping disaster-affected populations
USAID/OFDA expects implementing
recover from disasters. USAID/OFDA
organizations to work
favors programs
together to avoid overlap, gaps in relief
that support and encourage the
assistance, and confusion among local
maintenance or rehabilitation of
communities
livelihood assets and skills
regarding assistance programs and
where possible, recognizing that the
availability of services. Implementing
introduction of new livelihood initiatives
partners should
will require
regularly share information with other
consideration of economic dynamics and
organizations in the area, particularly in
other context-specific conditions.
accord with
x Most vulnerable groups: In every
established information centers, and
disaster, there are some groups of people
work to standardize data collection
who are more
methodologies and
negatively affected than others and who
minimize security risks.
require proportionately more assistance.
x Context-specific conditions:
These most
USAID/OFDA-funded programs should
vulnerable groups can include—but are
strive to avoid
not exclusive to--pregnant women,
disrupting social organizations and
children under
networks by recognizing existing social
five, the elderly, marginalized adolescent
relationships such
girls and boys, child soldiers, the
as community and gender roles and
internally
responsibilities, the natural and political
displaced, HIV-affected groups, or the
environments,
handicapped, for example. The
categories of people
most needing assistance vary from one assessment and response, and is
disaster context to the next, and must be available at:
determined http://www.usaid.gov/our_work/humanit
anew for each disaster, and reassessed arian_assistance/disaster_assistance/reso
regularly as the characteristics of long- urces/pdf/fo
term disasters g_v3.pdf
can change radically over time. Accurate x Promotion of international
identification of the most vulnerable standards: USAID/OFDA supports the
individuals as use of international
well as timely and appropriate assistance standards in all disaster response
to these populations can mitigate programs. While recognizing that
potential social, reaching the minimum
economic, and health problems that standards (such as those detailed in the
inevitably will emerge if not addressed Sphere Handbook) is not always
in the early possible,
phases of a disaster. USAID/OFDA encourages their use as a
x Prevention, mitigation, and guideline when designing disaster
preparedness: Programs that operate at response and
the regional, national mitigation activities.
and community levels to help prepare for x Protection: USAID/OFDA
or lessen the impact of disasters are encourages implementing partners,
critical to wherever possible and
reducing a country’s dependence on appropriate, to incorporate a protection
external relief assistance. USAID/OFDA mindset into the design and
promotes implementation of their
11 assistance programs in order to help
GUIDELINES FOR PROPOSALS AND protect populations from violence,
REPORTING abuse, harassment, or
disaster prevention, mitigation, and exploitation. Humanitarian programs
preparedness activities both in the course funded by USAID/OFDA should be
of designed,
implementing a disaster response and as implemented and monitored to ensure
a pre-disaster strategy to reduce disaster that they do not harm or endanger
impacts in beneficiary
areas at risk. USAID/OFDA’s Disaster populations because of negative
Reduction: A Practitioner’s Guide is unintended consequences, nor should
available for programs aggravate
additional guidance at the following local tensions or inadvertently empower
website: those who are responsible for conflict or
http://www.usaid.gov/our_work/humanit abuse.
arian_assistance/disaster_assistance/reso Provided that this does not pose a risk to
urces/pdf/di beneficiaries and implementing staff,
saster_reduction_2002.pdf partners
USAID/OFDA’s Field Operations Guide should regularly share information on
(FOG) provides detailed information on these and related matters.
disaster
x Systematic information collection: USAID/OFDA/W must receive
Organizations should provide for the proposals from an organization’s
systematic headquarters, not field
collection of information in their areas of representatives, in order to be considered
implementation. Systematic information for review. Proposals should be directed
collection to the
is defined as using a methodology that is appropriate point of contact in
established, or can be replicated by USAID/OFDA/W. Please consult the
others, and USAID website at:
whose results are comparable. This is http://www.usaid.gov/our_work/humanit
vital in designing appropriate strategies arian_assistance/disaster_assistance/dire
and programs, ctory/regional
targeting the most urgent needs, and for teams-dir.html for the current list of
sharing information with other regional responsibilities.
stakeholders. These guidelines apply to new grants as
x Training/capacity building: Where well as to cost extensions of existing
appropriate, USAID/OFDA supports grants. In the event
programs that that USAID/OFDA decides to make
include methods and activities that serve exceptions to these guidelines, you will
to train local staff, NGOs, community be notified you.
groups, and Proposals must include the following
other organizations, building their essential criteria:
capacities both to function as x Justification of the need for the
organizations as well as to proposed program
enhance technical skills of individuals. x Explanation for selecting/targeting
USAID/OFDA encourages the use of beneficiaries
appropriate x Technical elements of the proposal
technologies, whether local or (including objectives, expected results,
introduced. and
x Use of existing local capacity/local measurable indicators)
community interaction: x Appropriateness of the proposed
USAID/OFDA-funded program to USAID/OFDA’s mandate
programs should actively solicit and and the
incorporate the views, opinions, and emergency situation
experiences of local x Incorporation of relevant principles of
affected communities and officials in developmental relief in program design
planning, designing, implementing, x Demonstration of coordination and
monitoring, and collaboration
evaluating programs, wherever possible. x Realistic and measurable expected
12 results
GUIDELINES FOR PROPOSALS AND x Successful past performance
REPORTING x Responsiveness to the security
USAID/OFDA PROPOSAL environment
REVIEW AND GRANT x Cost realism (See Guidelines for
Cost/Management Proposal on page 22)
AWARD
PROCESS
In addition, all proposals must meet the 1. USAID/OFDA/W will inform the
following standards to be considered point of contact designated in the
acceptable for proposal to acknowledge
review: receipt of the proposal. At this time,
x Include date of submission USAID/OFDA/W, in coordination with
x Conform to the 20-page limit for USAID/OFDA
program proposals (excluding the cost field staff, will determine the
proposal) acceptability of the proposal according
x Request a realistic start date (request a to the standards detailed
start date that allows sufficient time for above. USAID/OFDA/W will reject
review and proposals that do not meet these
processing of the proposal; a minimum standards.
of 45 days prior to the desired start date) USAID/OFDA may also reject a
x Provide a complete cost proposal proposal if funds are not currently
x Include signed certifications and available for the program,
representations (See Annex F: or if the proposal does not fall within
Certifications) USAID/OFDA’s mandate.
x Provide the number of targeted 2. If the proposal is acceptable,
beneficiaries (number of individuals), as USAID/OFDA/W will conduct a formal
well as the total review. The review
number of internally displaced persons will consider programmatic, technical,
(IDPs) from within that population for and cost issues according to the essential
each criteria
objective described above.
The paragraphs below outline 3. Generally, the formal proposal review
USAID/OFDA’s procedures for raises issues that will be communicated
reviewing proposals. However, to the
applicants should note that applicants’ headquarters. Pending
USAID/OFDA maintains flexibility resolution of the issues, USAID/OFDA
when responding to emergency will consider the
For some programs (e.g., a coordination or proposal to be on hold.
evaluation program), it may be impossible to 4. When USAID/OFDA/W determines
report on numbers of that the issues are satisfactorily resolved,
targeted beneficiaries. In this case, proposals
should state that the total number of targeted USAID/OFDA/W will notify the
beneficiaries is not applicant that the proposal has been
applicable, and provide an explanation. recommended for
13 funding. USAID/OFDA/W will process
GUIDELINES FOR PROPOSALS AND the documentation and will forward it to
REPORTING USAID’s
situations. USAID/OFDA/W staff will Office of Procurement.
keep applicants informed with regular Upon approval of the proposal by
communication USAID/OFDA/W, and at the request of
throughout the process. Electronic the applicant,
communication is preferred. USAID may elect to provide the
applicant with a pre-award letter (PAL)
that communicates
USAID/OFDA’s expectations about the applicants will be requested to submit a
grant award. Typically, a PAL will set full proposal for formal review in
forth the date accordance with these
from which it is anticipated that a Concept papers should outline objectives
grantee will be reimbursed for program and expected results, and include a
costs incurred preliminary cost estimate. A concept
between the date the proposal is paper should not exceed five pages in
approved and the date of award. length. Acceptance
USAID/OFDA cautions of a concept paper does not guarantee
applicants that any costs incurred prior that USAID/OFDA will fund an
to award cannot be reimbursed in the applicant’s proposal.
event that an 14
award is not made. GUIDELINES FOR PROPOSALS AND
5. USAID’s Office of Procurement REPORTING
provides final approval of all
applications. No
GUIDELINES FOR THE
communication from USAID/OFDA, PROGRAM PROPOSAL
written or verbal, constitutes final These Guidelines attempt to construct a
approval. Once logical process that will accommodate
awarded, the Office of Procurement will USAID/OFDA’s
forward copies of the award document to information needs while helping the
the applicant convey the strength of the
applicant’s point of contact. It is the proposed program.
responsibility of the organization to USAID/OFDA emphasizes the need for
ensure that copies clear implementation plans, expected
are made available to its field staff and results, and both
all appropriate headquarters offices. qualitative and quantitative data
prepare a full proposal. collection for all proposed programs. In
Guidelines. addition, the proposal
CONCEPT PAPERS should address developmental relief
Concept papers may be submitted to principles, coordination, information
USAID/OFDA/W and/or to sharing, and security.
USAID/OFDA field staff. 15
USAID/OFDA encourages prospective GUIDELINES FOR PROPOSALS AND
applicants to provide a concept paper REPORTING
prior to The following outline provides the
submission of a full proposal because recommended proposal format and
concept papers can provide a quick explains the type of
answer to the information USAID/OFDA needs for
question, “Is USAID/OFDA interested decision-making. Narratives, tables, and
in this program?” without requiring the log frames are all
applicant to acceptable. Proposals are limited to 20
Once USAID/OFDA has determined that pages (excluding the cost proposal),
it is interested in the concept, and must
include a footer on each page with the
page number and submission date.
I. Executive Summary population. When appropriate, this
Provide a brief overview of the proposed information should include the health
program goal, objectives, and expected status, demographic
results. Requested information is listed characteristics – such as gender and age
in the groups – and other factors that identify
sample on page 30. the needs and
II. Program Rationale provide justification for the proposed
Provide background and current program. (Refer to the Minimal
information Technical Information
on the situation leading up to, and Requirements (MTIR) at
supporting http://www.usaid.gov/our_work/humanit
the justification for, the proposed arian_assistance/disaster_assistance/reso
program. urces/pdf/mtir-
A. Background 11-27-2002.pdf for sector-specific
PROGRAM D information that needs to be included.)
USAID/OFDA provides funds for Information on the
one year relationships between direct and indirect
funding will be provided in annual beneficiaries should also be included
URATION where
emergency interventions for up to appropriate.
at a time. Although agencies are Wasting and Crude Mortality Data
encouraged for Health and Nutrition Programs
to discuss any long-term planning needs For projects with health and nutrition
within program proposals, funding will components, USAID/OFDA now
only requires that
be awarded for a maximum of twelve representative data on baseline wasting
months. With multi-year prevention, and crude mortality rates by gender and
mitigation and preparedness awards, age be gathered.
installments. USAID/OFDA will use this data to
Describe the disaster or hazard, better target its relief intervention in
beginning with the numbers of affected crisis-stricken areas.
or vulnerable people and 16
additional information such as the GUIDELINES FOR PROPOSALS AND
disaster’s history, magnitude, impact, REPORTING
level of risk, duration, C. Coordination
and location. USAID/OFDA encourages Indicate whether this program will stand
the inclusion of maps when available. alone or if it is part of a larger country
B. Needs assessment — Description of program. It
the Service Area and Target should demonstrate coordination with
Population NGOs, local, regional, and international
Use information from surveys, organizations,
assessments, and other documents to and governmental entities to prevent
describe the service area and duplication of effort and fill gaps.
the conditions of the targeted beneficiary INFORMATION SHARING
population(s), including the IDPs within USAID/OFDA requires that
that organizations demonstrate that they
are sharing non-financial programmatic should be identified and weighed before
data and information with undertaking implementation.
appropriate humanitarian information Assumptions are based on
coordination bodies in the factors such as the local context,
field, such as Humanitarian Information security, access, staffing, and availability
Centers. of resources.
D. Developmental Relief C. Objectives and Expected Results
Discuss how the relevant principles of Objectives reflect the goal and primary
developmental relief have been focus of the program, and also describe
incorporated into the which critical
program. You must provide a needs or vulnerabilities the program
justification for any principle you do not proposes to meet. Each objective has its
address. (Please refer to respective program
page 11 for additional information.) activities and “Expected Results,” which
E. Security are simply measurable activity
Discuss how the security environment is outcomes.
impacting your ability to reach and assist 17
affected GUIDELINES FOR PROPOSALS AND
populations and how you are managing REPORTING
to promote the security of the affected Organizations should determine which
population and sector (of those listed below) is most
your staff. appropriate for the
III. Proposal Framework overall goal of the objective. For
A. Program Goal example, an organization proposing an
The program goal is the overall purpose agriculture program
for responding to a disaster or hazard must decide whether the primary goal of
and represents the the program is to increase food
impact sought by an organization. An production (in which
organization’s proposed program will case, the sector chosen would be food
logically contribute security/agriculture) or to improve
to this goal, although it will not farmers’ livelihoods (in
necessarily accomplish the goal by itself. which case, the sector would be
USAID/OFDA’s goal livelihoods).
for responding to disasters is to meet the USAID/OFDA prefers objectives that
critical needs of targeted, vulnerable correspond to specific sectors in order to
populations using support internal
best practices and techniques in a timely reporting requirements.
and effective manner. x Health* x Water and Sanitation
B. Critical Assumptions x Nutrition* x Food
Critical assumptions are an Security/Agriculture
organization’s best estimate of the x Shelter x Relief Commodities
conditions that will prevail during x Coordination x Capacity Building
program implementation. A significant x Information Management x Risk
change in a critical assumption can Management
affect results and x Logistics x Livelihoods
* These sectors require the wasting and Expected results identify expected
crude mortality data referred to on Page accomplishments, whereas indicators
16 under Section show specifically what
B—Needs Assessment. will be measured to determine whether
Implementation in multiple sectors the expected results have been achieved.
should be expressed through multiple Indicators are
objectives. Stating measurements that demonstrate a change
objectives in terms of sectors also resulting from a particular intervention
provides flexibility in implementing and function to
programs in the event that systematically monitor progress toward
conditions or urgent needs within the achieving expected results of each
sector change. objective. (See Annex
If a desired sector is not found on the A: Indicators)
above list, please consult with the 18
appropriate GUIDELINES FOR PROPOSALS AND
USAID/OFDA Cognizant Technical REPORTING
Officer (CTO) to come to agreement on The performance baseline is a
the sector that will description of the prevailing conditions
be used. at the onset of the
USAID/OFDA discourages overly- applicant’s proposed intervention.
descriptive details in an objective, such Performance baseline data should be
as the location of both quantitative and
populations, as this might limit an qualitative. It is imperative to have a
organization’s ability to respond to realistic picture of the starting point for
dynamic conditions such any program in
as population movements. Organizations order to measure progress accurately.
can discuss location and other IV. Program Description
descriptive details A program description clearly and
representing the current state of the concisely outlines how the applicant
affected population in other sections of proposes to meet the
the proposal such as critical needs identified in the
the “Needs assessment – Description of objective(s) and how the applicant will
the Service Area and Target Population,” achieve its expected
the expected results. A narrative or log frame format
results, and/or in the implementation is acceptable. The program description
plan. consists of the
Separate mitigative or qualitative aspects following sections:
of an emergency program such as A. Implementation Plan
coordination, An implementation plan provides a
training, or capacity building should not description of the activities necessary to
be disaggregated into separate objectives achieve each
if they are part expected result in the proposed
of a larger sectoral objective such as timeframe. It should consist of the
health. methodologies and processes
D. Indicators and Performance
Baseline Data
(or steps) the implementing organization MTIRs are available to assist in assuring
will undertake. In addition, the coverage of key points in proposals
implementation plan that include the following sectors:
should include the following: Agriculture and Food Security; Health;
x The total number of targeted Nutrition; Hydrometeorology; Shelter;
beneficiaries and where they are located Water and Sanitation.
(at the province or MTIRs will be periodically updated to
equivalent level, as appropriate) by incorporate comments from the user
objective. Please note: USAID/OFDA http://www.usaid.gov/our_work/humanit
reports on arian_assistance/disaster_assistance/
numbers of individuals, not families. If sources/pdf/mtir-11-27-2002.pdf
working with families, proposals should B. Monitoring and Evaluation
provide 1. Monitoring Plan
both number of families and A monitoring plan is required and, at a
corresponding number of individuals. minimum, includes the following:
Best estimates are ƒ Plans for monitoring progress on
encouraged if exact figures are not indicators
available. For some programs (e.g., a ƒ Source, method, and frequency of data
coordination or collection
evaluation program), it may be ƒ Persons identified to undertake tasks
impossible to report on numbers of ƒ Plans for data analysis and use
targeted beneficiaries. ƒ A timeline
In this case, proposals should state that Monitoring plans are intended to serve
the total number of targeted beneficiaries as a tool for partners in tracking their
is not programs. It is also USAID/OFDA’s
applicable, and provide an explanation. experience that strong monitoring plans
x The goods and services to be facilitate prompt and accurate reporting.
provided, such as supplemental feeding, 2. Evaluations
seeds and tools, or USAID/OFDA recognizes the
shelter rehabilitation, and detailed importance of evaluation as a means to
distribution and logistic plans for identify
providing these program outcomes and impact, lessons
goods and services. learned and best practices. As such,
x Security conditions necessary and USAID/OFDA encourages independent
program adaptations required to achieve evaluations of programs, and will
expected consider funding these on a case-by-case
results. basis. Please submit a justification that
19 details the outcomes to be achieved by
GUIDELINES FOR PROPOSALS AND the evaluation process along with the
REPORTING budget line-item.
MINIMUM TECHNICAL I R (MTIR) C. Transition or Exit Strategy
community. Based on achievement of objective(s)
MTIR Internet link: and context, applicants should describe a
r transition or exit
NFORMATION EQUIREMENTS
strategy, including how the and their relative cost to the achievement
implementing organization will discuss of the expected results. In addition to
this with all relevant cost realism,
stakeholders. Next steps may include USAID/OFDA will apply the following
mitigation, preparedness, integration into criteria to the cost/management
local systems, proposal: allowability
transition to development activities, or of costs, allocability of costs,
phase-out. Where applicable, proposals reasonableness/effectiveness of costs,
should describe cost sharing or in-kind
steps to be taken to ensure sustainability contributions, contributions of other
of program activities and/or program donors, program income, and sufficiency
results. of justifications for
20 procurement of restricted (See Annex B:
GUIDELINES FOR PROPOSALS AND Restricted and Ineligible Goods,
REPORTING Services, and
D. Restricted Goods Suppliers), extraordinary, or high-cost
Restricted goods are agricultural items.
commodities, motor vehicles, I. The Office of Management and
pharmaceuticals, pesticides, Budget requires the SF-424 for all
fertilizer, used equipment, and U.S. federal grant
Government-owned excess property. See programs. (See Annex E: SF-424
Annex B: Forms.)
Restricted and Ineligible Goods, II. The Detailed/Itemized Budget should
Services and Suppliers, for more details. list and account for individual line items
21 within
GUIDELINES FOR PROPOSALS AND each object class category for each
REPORTING objective (sector); see page 18. Object
class
GUIDELINES FOR THE
categories are logical groupings of costs
COST/MANAGEMENT such as staff, travel, capital equipment,
PROPOSAL supplies, etc. (See example on page 26).
Cost proposals must be submitted as a In a detailed budget that contains more
separate section, which is not subject to than
the page one objective, those costs that cannot be
limitation on the program proposal. A logically attributed to an individual
cost/management proposal consists of an objective
SF-424 (see but are allocable to more than one or all
Annex E: SF-424 Forms), a objectives may be divided across
detailed/itemized budget, a budget objectives
narrative and other administrative by percentages or may be captured in a
documentation as required. separate object class category called
USAID/OFDA will review the “shared
cost/management proposal in costs.”
conjunction with the program III. The Budget Narrative substantiates
proposal for purposes of cost realism. and explains how costs were estimated.
Cost realism is the relationship of the The
level of resources
budget narrative provides an opportunity to the program by sources outside the
for the organization to provide the U.S. Government. USAID/OFDA
rationale usually
for cost development such as the does not require cost sharing but will
methodology and assumptions used to view cost sharing favorably during the
determine proposal review.
individual costs, i.e., engineering cost e. Details of in-kind contributions, if
estimates, actual/current costs incurred, applicable. As with cost sharing,
costs USAID/OFDA will view in-kind
obtained through tenders or bids, catalog contributions favorably during the cost
prices, published salary tables, etc. (See proposal
example on page 26). A thorough budget review.
narrative will expedite the cost proposal f. Details of sub-award arrangements to
review and preclude disruption of field the extent they are known at the time of
staff to revisit cost and provide proposal development. NOTE: If sub-
justifications awards are anticipated and not explained
after proposal submission. in
IV. Required Supporting Administrative the original proposal, the agreement
Documentation: officer’s approval (after award) is
a. Organizational Structure. Applicants required
should explain how their headquarters before the sub-agreement may be
and executed.
field office(s) are organized and explain g. Past Performance. Applicants should
how this structure is coordinated to provide examples of past performance
achieve expected results. and
b. Security. Discuss how the security sector expertise that demonstrate the
environment is impacting your ability to organization’s success in implementing
reach similar programs. Include contact names
and assist affected populations and how and telephone numbers for any reference
you are managing to promote the provided.
security h. Completed/signed Certifications and
of the affected population and your staff. Representations (See Annex F:
22 Certifications)
GUIDELINES FOR PROPOSALS AND i. For U.S. organizations only, copy of
REPORTING the self-certification for compliance with
c. Accountability. Does the organization USAID policies and procedures for
have a written management plan that personnel, procurement, and travel.
provides for systems to ensure that staff j. A copy of the organization’s U.S.
adhere to international humanitarian Government Negotiated Indirect Cost
laws, Rate
codes of ethics, and standards of Agreement (NICRA), if applicable.
practice? k. If program income (i.e., cost recovery
d. Details for all cost sharing proposed. or other revenues generated under the
Cost sharing is defined as support award except interest earned on USAID
provided advances) is anticipated, the estimated
amount should be reflected in the (Wat/San)
budget, and the Budget Narrative should Shared
Costs*
describe how the program income is Total
proposed to be treated, i.e., additive, OFDA
costsharing, Total
or deductive, or a combination thereof Other Total
(See 22 CFR 226.24). Expat Personnel
Program
l. If restricted goods are proposed to be Manager 1 6 $ 2,500.00 $15,000.00 $15,000.00 $15,000.00
purchased, see Annex B: Restricted and Program
Ineligible Goods, Services and Suppliers Officer 1 6 $ 2,000.00 $12,000.00 $12,000.00 $12,000.00
Medical
for additional information. Restricted Officer 1 6 $ 2,000.00 $12,000.00 $12,000.00 $12,000.00
goods are agricultural commodities Wat/San
(including food and seeds), motor Officer 1 6 $ 2,000.00 $12,000.00 $12,000.00 $12,000.00
Expat
vehicles, Benefits 4 6 $16,830.00 $16,830.00 $16,830.00 $16,830.00
pharmaceuticals (including oral Local Staff
rehydration salts), contraceptives, Nurses 5 6 $ 300.00 $ 9,000.00 $ 9,000.00 $ 9,000.00
Monitors 10 6 $ 250.00 $15.000.00 $15,000.00 $15,000.00
pesticides, used Wat/San
equipment, fertilizers, and U.S. Engineer 4 6 $ 350.00 $ 8,400.00 $ 8,400.00 $ 8,400.00
Government-owned excess property. Laborers 10 2 $ 100.00 $ 2,000.00 $ 2,000.00 $ 2,000.00
Drivers 4 6 $ 100.00 $ 2,400.00 $ 2,400.00 $ 2,400.00
m. Cost extension proposals must Travel
include a “pipeline analysis,” i.e., actual Int’l Travel 5 $ 1,500.00 $12,000.00 $12,000.00 $12,000.00
and Regional
Travel 12 $ 300.00 $ 1,800.00 $ 1,800.00 $ 3,600.00 $
estimated costs incurred through the end 3,600.00
of the current grant period, and funds Equipment
that will not be expended by the end of Vehicles 5 6 $ 1,500.00 $ 3,600.00 $ 3,600.00 $ 3,600.00
Pumps 10 $ 5,000.00 $50,000.00 $50,000.00 $50,000.00
the current grant period (both delineated Vehicles 1 $30,000.00
by objective). Since unexpended funds Supplies
will carry over to the cost extension Construction
Materials 10 $ 2,500.00 $25,000.00 $25,000.00 $25,000.00
period, the budget (by objective) for the Medical
cost extension period should be reduced Supplies 6 $ 1,000.00 $ 6,000.00 $ 6,000.00 $ 6,000.00
by the amount of unexpended/carry-over 24
funds. GUIDELINES FOR PROPOSALS AND
23
REPORTING
GUIDELINES FOR PROPOSALS AND Object
REPORTING Class
Category Unit Months
SAMPLE DETAILED Amount
BUDGET (USD)
Objective
Object
Class One
Category Unit Months (Health)
Amount Objective
(USD) Two
Objective (Wat/San)
One Shared
(Health) Costs Total OFDA Total
Objective Other Total
Two Other
Office
Rental 2 6 $ 2,000.00 $ 2,000.00 $ 2,000.00 $ 2,000.00 Objective 1
Housing 4 6 $ 1,500.00 $ 1,500.00 $ 1,500.00 $ 1,500.00 Expat Program Manager The Program
Total Direct
Cost $95,300.00 $49,200.00 $65,330.00 $209,830.00
Manager located in Nairobi, Kenya will
$30,000.00 $239,830.00 devote 100% of
Indirect Cost his/her time to management and
(10%) $ 9,530.00 $ 4,920.00 $ 6,533.00 $ 20,983.00 $ oversight of the program. The
3,000.00 $ 23,983.00
Total responsibilities include personnel,
Cost $104,830.00 $ 54,120.00 $71,863.00 $230,813.00 procurement, financial
$33,000.00 $263,813.00 management, coordination, and
* Costs that are not allocable to a reporting. The salary is in
specific objective may be captured in a accordance with established expatriate
separate “shared compensation plans. (Note to
cost” objective. Alternatively, the costs preparer: Do not repeat this information
could be spread over each objective as when providing narrative
follows: for Objective 2 or place in separate
Object
Class
objective “shared costs.”)
Category Expat Program Officer The Program
Unit Months Officer will devote 100% of his/her time
Amount to the
(USD) management of the program in the field.
Objective
One
The responsibilities include
(Health) on-site management of program
Objective activities, supervision of local
Two personnel, logistics coordination, local
(Wat/San) procurement, and financial
Total
management. The salary is in accordance
OFDA
Total with established expatriate
Other Total compensation plans. (Note to preparer:
Program Do not repeat this
Manager 1 6 $2,500.00 $ 7,500.00 $ 7,500.00 information when providing narrative
$15,000.00 $15,000.00
for Objective 2 or place in
Program
Officer 1 6 $2,000.00 $ 6,000.00 $ 6,000.00 separate objective “shared costs.”)
$12,000.00 $12,000.00 Medical Officer The Medical Officer
Medical will devote 100% of his/her time to
Officer 1 6 $2,000.00 $12,000.00 $12,000.00 Objective 1
$12,000.00 designing and overseeing
Wat/San
Officer 1 6 $2,000.00 $12,000.00 $12,000.00 implementation of the medical activities
$12,000.00 set
Expat forth in the implementation plan. The
Benefits 4 6 $16,830.00 $ 8,415.00 $ 8,415.00 salary is in accordance with
$16,830.00 $16,830.00 established expatriate compensation
25
plans.
GUIDELINES FOR PROPOSALS AND Expat Benefits Benefits are provided
REPORTING based on a standard compensation
SAMPLE BUDGET package for
NARRATIVE
all expat personnel that include statutory personnel. Round trip airfares have been
withholdings, health/dental estimated at $3,000.00 per
insurance, life insurance, contribution person. There is an additional
towards retirement, and war international trip to London proposed
risk coverage. These benefits are offered for the Medical Officer to attend a
to all expat personnel and conference on best practices.
are currently 33% of total salary. (Note (Note to preparer: To the extent that
to preparer: Do not repeat travel is known and can be
this information when providing identified at the proposal stage, when
narrative for Objective 2 or place in approved with the grant award,
a separate objective “shared costs.”) no additional approvals will be required
Local Nurses Local personnel will for international travel.)
receive training as nurses and will (Note to preparer: Do not repeat this
support the information when providing
program in that capacity with narrative for Objective 2 or place in a
supervision by the Medical Officer. separate objective “shared
The salary is based on a local costs.”)
compensation scale developed as part Regional Travel Regional travel at an
of a consortium of NGOs working in the average cost of $300.00 per trip from
area. Nairobi to
Monitors Health Monitors will be used program site is estimated as follows: Six
to make home visits and to collect trips (two/month) for
survey data. The salary is based on a necessary oversight and consultations
local compensation scale with staff in Nairobi.
developed as part of a consortium of Vehicle Rental Five vehicles will be
NGOs working in the area. rented in support of the program as this
26 was
GUIDELINES FOR PROPOSALS AND determined to be more cost-effective
REPORTING than purchase. Two vehicles
Drivers Drivers are necessary to ensure will be required for the Medical
security of expatriate personnel. Objective to cover the two clinic
Drivers are also provided with limited sites. Three vehicles will be needed for
training to perform routine the wat/san objective to
maintenance on all program vehicles. support the three well-drilling teams.
The salary is based on a local The cost for vehicle rental at
compensation scale developed as part of $1,500.00 was established through a
a consortium of NGOs market survey and includes the
working in the area. (Note to preparer: cost of tires and spare parts for routine
Do not repeat this maintenance. (Note to
information when providing narrative preparer: Do not repeat this information
for Objective 2 or place in a when providing narrative
separate objective “shared costs.”) for Objective 2 or place in a separate
Travel International Travel includes objective “shared costs.”)
round trip airfare between ___________ (Note to preparer: If non-U.S. vehicles
and ____________ for positioning and are proposed, a justification
repatriation of all expat
should be included in accordance with direct cost) for the period beginning
guidance provided in Annex 11/30/01 until amended.
D: Restricted and Ineligible Goods, Objective 2
Services, and Suppliers.) Wat/San Officer The water/sanitation
Vehicles One vehicle for use in Nairobi Officer will devote 100% of his/her time
will be provided in-kind to the to
program. The cost of the new vehicle Objective 2 designing and overseeing
purchased for this program is implementation of the well
$30,000. rehabilitation activities set forth in the
Medical Supplies Medical supplies implementation plan. The
include gloves, bandages, syringes, and salary is in accordance with established
other expatriate compensation
disposable medical supplies. The cost of plans.
the medical supplies was Wat/San Engineers Local
established through competitive bid for a water/sanitation engineers will be
medical supply kit that employed to oversee and
would service the two clinics for supervise the well rehabilitation and to
approximately 10,000 establish and train water
persons/month. committees to maintain pumps and make
Office Rental The office/housing will be minor repairs. The salary is
contained in the same building. The total based on a local compensation scale
cost of the building has been allocated developed as part of a
between office and housing consortium of NGOs working in the
27 area.
GUIDELINES FOR PROPOSALS AND Laborers Local laborers will be
REPORTING employed to undertake manual labor
based on square footage. The housing associated
was sought in the local market with the well rehabilitation. The salary is
and a market survey indicates that the based on a local
rental price is fair and compensation scale developed as part of
reasonable. a consortium of NGOs
Housing The office/housing will be working in the area.
contained in the same building. The total Pumps The water/sanitation Officer has
cost of the building has been allocated identified the monolith pump as an
between office and housing appropriate pump for the program. The
based on square footage. The housing price for the pumps was
was sought in the local market obtained through competitive bid and
and a market survey indicates that the includes transport to the
rental price is fair and program site.
reasonable. Construction Materials The
Indirect Cost Indirect cost has been water/sanitation engineers have
established through a NICRA with estimated the materials necessary
USAID to rehabilitate each well site based on
dated 11/30/02 and provides for 10% of prices in the local market. (For
the base of application (total a listing of materials, please see Annex
A: Indicators.)
General Budget Notes Dollar Amount Requested from
1. The following categories of items USAID/OFDA
require prior written approval before $_____________________________
purchases can be Dollar Amount from Other Sources
made: Dollar Amount of In-Kind Contributions
28 Total Dollar Amount of Program
GUIDELINES FOR PROPOSALS AND $_____________________________
REPORTING $_____________________________
x Capital Equipment (defined as any $_____________________________
article of tangible, non-expendable PROGRAM PROPOSAL
personal property I. Executive Summary
having a useful life of more than one State the goal of the program.
year and a per-unit acquisition cost of Then, for each objective, summarize the
$5,000.00 following:
or more) Geographic areas of activity
x International Travel (administrative/political division such as
When sufficient information is provided a province):
in the detailed budget and budget Number/type (must include IDP
narrative, prior numbers) of beneficiaries (individuals)
approval will be provided in the grant targeted:
document. Period of activity (if less than the overall
29 period of the program):
GUIDELINES FOR PROPOSALS AND Amount requested (for this objective):
REPORTING Expected results:
For some programs (e.g., a coordination or
RECOMMENDED evaluation program), it may be impossible to
report on numbers of
PROPOSAL FORMAT targeted beneficiaries. In this case, proposals
COVER SHEET should state that the total number of targeted
Request for a New Grant or Grant beneficiaries is not
Modification (if modification, include applicable, and provide an explanation.
USAID/OFDA 30
grant number) GUIDELINES FOR PROPOSALS AND
Organization: Date: REPORTING
Headquarters Mailing Address: II. Program Rationale
HQ/Field Contact Persons: A. Background
Telephone: B. Needs assessment – Description of
Fax: the Service Area and Target Population
Email: C. Coordination
Program Title: D. Developmental Relief
Country/Region: III. Proposal Framework
Type of Disaster/Hazard: A. Program Goal
Period of the Program (number of B. Critical Assumptions
months): C. Objectives and Expected Results
Total Number of Targeted Beneficiaries: D. Indicators and Performance Baseline
Total Number of targeted IDPs within Data
the beneficiary population: IV. Program Description
A. Implementation Plan information to maintain oversight of
B. Monitoring and Evaluation Plan program implementation and to keep
C. Transition or Exit Strategy apprised of the ground
D. Restricted Goods situation. Please note that there is no
COST PROPOSAL established format for this informal
A. SF-424 reporting. (See Annex
B. Itemized Detailed Budget G: Program Update Example.)
C. Budget Narrative “THE SCHEDULE”
E. Supportive Administrative Reporting requirements and instructions,
Documentation as
31 well as other important grant
GUIDELINES FOR PROPOSALS AND administration
REPORTING information, are communicated in
32 Attachment One, “The Schedule,” of the
GUIDELINES FOR grant documents.
Program Performance Reports are
REPORTING widely viewed as helpful monitoring
The following guidance reflects tools for both
USAID/OFDA’s information needs and USAID/OFDA and the implementing
was designed to partner. Please refer to the grant
accommodate implementing partners’ “Schedule” to determine
internal reporting practices. submission frequency. USAID/OFDA
USAID/OFDA prefers asks that these reports be concise and
frequent information sharing to facilitate include cumulative
monitoring, in lieu of less frequent in- achievements and a comparison of actual
depth reporting. accomplishments against the objectives
To that end, USAID/OFDA has and expected
implemented a system to acquire regular results. It is preferred that this data (both
“program updates,” qualitative and quantitative) be presented
“program performance reports,” and using
“annual and/or final results reports,” as established indicators, and that it be
differentiated below. supported by a brief narrative. In areas
Types of Reporting where health and
Program Updates are brief, timely, nutrition programs are being
informal updates that provide implemented, USAID/OFDA now
information such as progress requires that representative data
toward accomplishing the objective(s) on wasting and crude mortality rates by
and achieving expected results, age and gender be gathered.
constraints, and changes in USAID/OFDA will use this
context. These updates can be made data to look at the overall health and
through verbal or written communication nutrition profile in the affected area.
(e.g., phone calls, ORGANIZATIONAL
email or informal meetings with field or RESPONSIBILITY
Washington staff). USAID/OFDA uses Recipients should immediately notify
this valuable USAID/OFDA of
developments that have a significant Time Period Covered by the Report:
impact on OFDAsupported PROGRAM OVERVIEW AND
activities. PERFORMANCE
GUIDELINES FOR PROPOSALS AND For each objective provide the
REPORTING following:
Annual and/or Final Results Reports x Areas of activity—restate objectives
are required to be submitted 90 days x A description of assessments and
after the end of the surveillance data used to measure results
program, or annually if the program x Demographic profile of the targeted
exceeds or is extended beyond one year. and reached population
They emphasize x Number of beneficiaries (must specify
quantitative as well as qualitative data number of IDPs within the population)
and measure impact using indicators. targeted
Keep in mind the AND reached, by objective, during the
starting point for results reporting should reporting period
be the performance baseline. Please refer x Cumulative figures for both targeted
to the next and reached beneficiaries for all
section for guidance on content for this objectives. (Please
reporting. indicate where there may be beneficiary
Financial Reporting requirements are overlap in services rendered.)
outlined in the USAID grant agreement. x Quantitative and qualitative data
However, x Achievements, constraints
USAID/OFDA may request information encountered, adjustments made to any
about pipelines and availability of funds objective
during the x Success stories
course of program implementation and x Overall performance of the project
when budget changes are requested. x Summary of cost effectiveness
33 For some programs (e.g., a coordination or
evaluation program), it may be impossible to
GUIDELINES FOR PROPOSALS AND report on numbers of
REPORTING targeted beneficiaries. In this case, proposals
CONTENT FOR RESULTS should state that the total number of targeted
beneficiaries is not
REPORTS applicable, and provide an explanation.
The following information is required in 34
the results report: GUIDELINES FOR PROPOSALS AND
COVER SHEET REPORTING
Organization: Date: BUDGET AND PROGRAM
Mailing Address: HQ/Field Contact
Persons: PLAN REVISIONS
Telephone: REQUIRING PRIOR
Fax: APPROVAL
Email Addre ss: When a proposal successfully completes
Program Title: the review process and is approved,
USAID/OFDA Grant No.: assistance funding
Country/Region:
Type of Disaster/Hazard:
is obligated through a grant or “Cost Principles for Non-Profit
cooperative agreement. It is important to Organizations,” unless this requirement
read the agreement and is
become familiar with the terms and specifically waived in the USAID grant
conditions associated with use of agreement. Note: The two most
USAID humanitarian commonly
assistance funding. Recipients are encountered types of costs that require
required to report all deviations from prior approval are equipment purchases
budget and program (defined
plans and request approvals in writing as an article of tangible nonexpendable
for certain budget and program plan personal property having a useful life of
revisions. In addition one year
to other terms that might be set forth in or more and a per-unit purchase price of
individual agreements, the following are $5,000 or more) and international travel.
revisions that However, to the extent that equipment
would require prior written approval purchases and international travel are
under 22 CFR 226.25(c)(1) (for U.S. identified in
NGOs) or the standard the proposal and/or budget and
provision entitled “Revision of Award incorporated into the award, prior
Budget” (for non-U.S. NGOs). approval is deemed to
x A change in the scope or the have been provided.
objective(s) of the program, including x The transfer of funds allotted for
extension of the grant training allowances (direct payment to
duration (even if there is no associated trainees) to other
budget revision requiring prior written categories of expense.
approval) x The sub-award, transfer, or
and, for non-U.S. NGOs, revision of subcontracting of any work under an
funding allocated among objectives. award, unless this
x The departure or replacement of key activity is described in the application
program staff who are personally and funded in the approved budget of the
identified in the award.
application or award document. This provision does not apply to the
x The absence of the approved program purchase of supplies, material,
director for more than three months, or a equipment or general
25 percent support services.
reduction in the time that the approved Although such approvals must be
program director devotes to the program. provided by the Agreement Officer
x The need for additional U.S. (except to the extent that an
Government funding. agreement may explicitly delegate such
x The transfer of amounts budgeted for approval authority to the CTO), requests
indirect costs to absorb increases in for prior written
direct costs, or approval should be addressed to the
vice versa. CTO named in the agreement. Requests
x The inclusion of costs that require should describe the
prior approval in accordance with OMB
Circular A122
purpose of the change and should detail x Direct: Measures the intended
the impact that change will have on the outcome
program as x Objective: Easily understood
originally proposed. Requests should be x Practical: Based on data that is easily
submitted separately from other routine and economically gathered
correspondence x Sensitive: Reflects change
such as program updates or reports. x Reliable: Verifiable and replicable
35 x Adequate: Provides sufficient
GUIDELINES FOR PROPOSALS AND information but is not excessive
REPORTING USAID/OFDA primarily relies on
Requests should be made as soon as a output, process, and impact indicators.
change is required. USAID/OFDA will Output indicators
require time to reflect services rendered or goods given,
provide prior written approval and, such as the number of persons trained or
therefore, USAID/OFDA encourages plastic sheeting
organizations to allow a rolls distributed. Process indicators
minimum of ten days for unfunded demonstrate how a program is evolving
changes and a minimum of 45 days for and may report on
funded changes. factors that impact an activity’s
Approvals may be provided by letter, or execution, such as availability of
through formal modification to the qualified staff. Impact
agreement. indicators are often the most useful
Additional funding will always be indicators for measuring results. For
through a formal modification to the example, they may
agreement. reflect changes in behavior, measure an
36 improvement of the health status in a
GUIDELINES FOR PROPOSALS AND complex
REPORTING emergency, or show a decrease in
economic losses due to seasonal
ANNEX A: INDICATORS flooding. It may be difficult
Indicators are used to reflect baseline to obtain impact data for short-term
data, describe current conditions, and interventions. For long-term programs,
demonstrate change however,
based on program interventions. USAID/OFDA prefers that partners put
USAID/OFDA indicators are a means to an emphasis on impact indicators.
systematically track SOURCES OF PERFORMANCE
progress of a program and to maintain a BASELINE DATA
focus on achieving the expected results all of the above indicators.
of each In order to measure progress, it is
objective. Advice on selecting strong imperative to establish a performance
indicators is available at the following baseline for
link: This data may be obtained from a variety
http://www.dec.org/pdf_docs/pnaby214. of
pdf internationally recognized sources, such
Indicators should be: as UNDP, WHO or other U.N. survey
x Measurable: Quantifiable or data.
explainable
In the absence of such reports, an Ineligible Goods and Services: the
implementing partner’s in-depth grant recipient may NOT procure the
assessment of a following items:
current situation at the time of x Military equipment
intervention is acceptable. x Surveillance equipment
Please note that, while quantitative x Commodities and services for support
indicators are commonly used, of police or other law enforcement
USAID/OFDA also activities
encourages the use of qualitative x Abortion equipment and services
reporting to complement quantitative x Luxury goods and gambling
data. Qualitative equipment
indicators are descriptions that reflect x Weather modification equipment
changes in attitudes, perceptions, Ineligible Suppliers: The grant recipient
behavioral practices, or may not procure goods or services
cultural norms. This data is usually furnished by any firm
presented in some narrative form, but it or individual whose name appears on the
may also be “List of Parties Excluded From Federal
quantified, as when a number value is Procurement and
given to a scaled survey response (e.g., Non-procurement Programs,” the
1= strongly agree website for which is listed in Annex C:
… 5=strongly disagree). This sort of References. Applicants
data may be useful in gauging the should also consult the Office of Foreign
appropriateness of a Assets Control in the Department of
program approach, its effectiveness, and Treasury to review
its potential for sustainability. the lists of specially designated nationals
Qualitative data should (SDN) and blocked persons. (See Annex
not rely solely on anecdotes; the data can C: References).
and should be collected systematically, Restricted Goods: The grant recipient
such as through must obtain prior approval for
surveys, using standard and replicable procurement of the following
research methodologies. items:
37 x Agricultural commodities
GUIDELINES FOR PROPOSALS AND x Motor vehicles that are not
REPORTING manufactured in the U.S. (includes
ANNEX B: RESTRICTED vehicle leases of six months
or more)
AND INELIGIBLE x Pharmaceuticals (including oral
GOODS, rehydration salts)
SERVICES AND x Pesticides
x Fertilizer
SUPPLIERS x Used Equipment
For more information, please see the x U.S. Government-owned excess
USAID Automated Directive System property
(ADS) Chapter 312 at If such items are of U.S. source and
the following link: origin, are identified in the budget, and
http://www.usaid.gov/policy/ads/300/31 are incorporated into
2.pdf.
the award, they are deemed to be proposal) a “drug list” which provides
approved. Otherwise, they must be the following information: the generic
approved (after award) prior and brand name(s),
to purchase. To facilitate award and strength(s)/concentration(s), dosage
program implementation and to reduce form(s), quantity(ies), unit package
administrative burdens, size(s), intended
the following additional guidance is therapeutic use(s) of the identified
provided: pharmaceuticals, and, to the extent
Agricultural Commodities: Food (other feasible, the anticipated
than for nutritional and health purposes) source(s). Purchases of all approved
is generally not pharmaceutical products will be subject
financed by USAID/OFDA, and seeds to a special provision
will be subject to special seed grower’s for the procurement of medicines and
certification pharmaceutical products which, inter
requirements. alia, limits such
Motor Vehicles: Proposals that include purchases to FDA-approved
non-U.S. vehicles should include a products/sources or from UNICEF
rationale for purchasing unless otherwise approved, requires
non-U.S. vehicles, and, if non-U.S. the grant recipient to assume the risk of
vehicles are approved, all vehicles will purchases of non-FDA approved
be subject to the order of products/sources or from
preference and file documentation sources other than UNICEF, and
requirements in paragraph (b)(1) of the requires submission of safety and
standard provision efficacy information.
entitled “USAID Eligibility Rules for Pesticides: USAID/OFDA will generally
Goods and Services” (see Annex C for not finance the purchase of pesticides
website) and a and will generally
38 only consider such purchases in response
GUIDELINES FOR PROPOSALS AND to public health emergencies. Obtaining
REPORTING internal USAID
supplemental descending order of approval for pesticide purchases is
preference, as follows: U.S.- extremely problematic; hence pesticides
manufactured vehicles, vehicles should not be proposed
assembled in the cooperating country or for USAID/OFDA funding if at all
a Code 941 country using a substantial possible.
number of parts and Used Equipment: USAID/OFDA will
sub-assemblies manufactured in the generally not finance the purchase of
U.S., vehicles manufactured in any Code used equipment, and
935 country by a any approval to purchase used
subsidiary of a U.S. manufacturer, and equipment will normally require
vehicles manufactured in a Code 935 applicant’s assurance that the
country by other than requirements of the program will be
subsidiaries of U.S. manufacturers. satisfied if the material purchased is
Pharmaceuticals: Proposals that include used, rebuilt, or
pharmaceutical products should include
(in the technical
reconditioned; that economic regarding concentrations, application,
considerations justify procurement of etc.
used, rebuilt or reconditioned U.S. Government-Owned Excess
equipment; that the price is reasonable; Property: It is not anticipated that any
and if the equipment is used, the U.S. Government-owned
justification shall explain excess property will be purchased.
why it is not to be rebuilt or Foreign Policy Restricted Countries:
reconditioned. In addition, the applicant A full listing can be viewed at
must arrange for the http://www.access.gpo.gov/nara/cfr/wais
inspection and appraisal of the idx_03/22cfr228_03.html under Section
equipment by an inspector approved by 228.03.
USAID with the 39
understanding that the cost will be GUIDELINES FOR PROPOSALS AND
eligible for USAID financing only if the REPORTING
used equipment is
subsequently approved for
ANNEX C: REFERENCES
WEB SITES
USAID/OFDA financing. This is a time-
USAID/OFDA
consuming and risky process;
USAID/OFDA Home page
hence, used equipment should not be
http://www.usaid.gov/our_work/humanit
proposed for USAID/OFDA funding is
arian_assistance/disaster_assistance/
at all possible.
USAID/OFDA Field Operations Guide
Fertilizers: Fertilizers may be purchased
(FOG)
locally to the extent that either local
http://www.usaid.gov/policy/ads/200/fog
procurement is
_v3.pdf
authorized pursuant to the standard
Disaster Reduction: A Practitioner’s
provision entitled “Local Procurement”
Guide
(see Annex C for
http://www.usaid.gov/our_work/humanit
website), or (subject to the order or
arian_assistance/disaster_assistance/reso
preference and file documentation
urces/pdf/d
requirements in paragraph
isaster_reduction_2002.pdf
[b][1] of the standard provision entitled
Performance Monitoring Plan (PMP)
“USAID Eligibility Rules for Goods and
based on general USAID guidance
Services”) the host
http://www.dec.org/pdf_docs/pnaby215.
country is authorized for general source,
pdf
origin, and supplier nationality purposes.
http://cdie.usaid.gov/pme/htm_docs/sec7
Obtaining
/pmptbl.htm
internal USAID approval for non-local
OTHER OFFICES OF USAID AND
purchases of fertilizer is extremely
THE U.S. GOVERNMENT
problematic; hence nonlocal
USAID Policy and Procedures: the
fertilizer purchases should not be
Automated Directives System (ADS)
proposed for USAID/OFDA funding if
http://www.usaid.gov/policy/ads/
at all possible.
Results-Oriented Assistance: A USAID
Depending on the type to be purchased,
Source Book
fertilizers may be subject to additional
http://www.usaid.gov/pubs/sourcebook/u
requirements
sgov/
22 CFR 226: (Regulation 26)
http://www.access.gpo.gov/nara/cfr/wais http://www.usaid.gov/procurement_bus_
idx_03/22cfr226_03.html opp/procurement/cib/
U.S. Office of Management and Budget 22 CFR 228: (Source/Origin/Supplier
(OMB) Circulars Nationality
http://www.whitehouse.gov/omb/circular http://www.access.gpo.gov/nara/cfr/wais
s/index.html idx_03/22cfr228_03.html
OMB Standard Forms (SF424, et al.) http://www.usaid.gov/policy/ads/300/31
http://www.whitehouse.gov/omb/grants/ 251m.pdf
grants_forms.html Restricted Goods (ADS-312)
Annual Program Statements (APSs) NGO Grants/Cooperative Agreements
http://www.fedgrants.gov/Applicants/ (ADS-303)
Requests for Applications (RFAs) Public International Organization (PIO)
http://www.fedgrants.gov/Applicants/ Grants (ADS-308)
Federal Acquisition Regulation (FAR) http://www.usaid.gov/policy/ads/300/30
http://www.arnet.gov/far/ 3maa.pdf
40 http://www.usaid.gov/policy/ads/300/30
GUIDELINES FOR PROPOSALS AND 3mab.pdf
REPORTING Domestic (U.S.) Per Diem Rates
USAID Acquisition Regulation http://www.policyworks.gov/org/main/m
(AIDAR) t/homepage/mtt/perdiem/download04.ht
http://www.usaid.gov/policy/ads/300/aid ml
ar.pdf Foreign Per Diem Rates
) List of Parties Excluded from Federal
USAID Commodity Eligibility Listing Procurement and Non-procurement
http://www.usaid.gov/policy/ads/300/31 Programs
2.pdf 41
http://www.usaid.gov/policy/ads/300/30 GUIDELINES FOR PROPOSALS AND
3.pdf REPORTING
http://www.usaid.gov/policy/ads/300/30 INTERNATIONAL
8.pdf The Geneva Conventions (International
Guidelines for Financial Audits Red Cross and Red Crescent Movement)
Contracted By Foreign Recipients http://www.icrc.org/eng/party_gc
http://www.usaid.gov/oig/legal/audauth/r The Sphere Project
capguid.pdf http://www.sphereproject.org/
Standard Provisions for U.S. Recipients Disaster Grant-Making: A Practical
Standard Provisions for Non-U.S. Guide for Foundations and Corporations
Recipients http://www.efc.be/ftp/public/IC/Disaster
http://www.state.gov/m/a/als/prdm/ GrantMaking.pdf
Overseas Allowances World Watch Institute
http://www.state.gov/m/a/als/920/ http://www.worldwatch.org/
http://epls.arnet.gov/ United Nations Centre for Human
Specially Designated Nationals and Settlements (Habitat)
Blocked Persons (OFAC) http://www.unchs.org/
http://www.ustreas.gov/ofac Global Economic Prospects and the
Contract Information Bulletins Developing Countries - World Bank
(CIBs)/A&A Policy Directives (AAPDs)
http://www.worldbank.org/poverty/data/t 1. If the organization has not previously
rends/income.htm received funding from the U.S.
U.S. National Weather Service Government,
http://www.nws.noaa.gov/ applicants should provide audited
National Hurricane Center financial statements for its previous
http://www.nhc.noaa.gov/ three fiscal years, an
Joint Typhoon Center organization chart, copies of all
http://www.npmoc.navy.mil/jtwc.html registration documents, and copies of
International Research Institute for applicable policies
Climate Prediction and procedures (e.g. accounting,
http://iri.columbia.edu/ purchasing, property management,
Climates of the World - National travel, personnel).
Oceanic and Atmospheric 2. For organizations that have not
Administration previously received USAID/OFDA
http://www.ncdc.noaa.gov/documentlibr funding, the cost
ary/pdf/climatesoftheworld.pdf proposal should include information
Geographic Information Support Team demonstrating that the applicant:
http://gist.itos.uga.edu/ x Has the Ability to Comply with
Worldwide Disaster Database - Center Award Conditions:
for Research on the Epidemiology of i. Financial and program management
Disasters systems that comply with 22 CFR
http://www.cred.be/ 226.20-28.
Climate Information Project ii. Purchasing system/contracting
http://www.cip.ogp.noaa.gov/ procedures that complies with 22 CFR
Famine Early Warning System Network 226.40-49.
http://www.fews.net/ iii. Property management system that
42 complies with 22 CFR 226.30-37.
GUIDELINES FOR PROPOSALS AND iv. Personnel policy which complies
REPORTING with applicable USG cost principles and
PUBLICATIONS results in reasonable and allocable salary
Operational Security Management in charges.
Violent Environments, Koenraad Van v. Travel policy that complies with the
Brabant, Humanitarian standard provision entitled “International
Practice Network, Good Practice Review Air Travel and Transportation” and
#8, June 2000. applicable USG cost principles.
43 vi. System of administering and
GUIDELINES FOR PROPOSALS AND monitoring sub-awards as required by
REPORTING OMB
Circular A-133 (for U.S. organizations)
ANNEX D: GUIDELINES or the USAID Inspector-General’s
FOR NEW APPLICANTS “Guidelines for Financial Audits
In addition to the guidelines provided in Contracted by Foreign Recipients” (for
this book, please also submit the non-
following if you are a new U.S. organizations).
organization applying for funding for the vii. Reports and records that comply
first time. with 22 CFR 226.50-53.
viii. Absorptive Capacity. Budget Summary, and Lines 6[1], 6[2],
x Has Adequate Financial Resources, or 6[3], and 6[4] of Section B, Budget
the Ability to Obtain Same, for Categories) and, on the
Performance second page, “Grant Program” (Column
of the Award. [a] of Section C, Non-Federal
x Has a Satisfactory Record of Resources) refer to
Performance. objectives or sectors (see paragraph II in
x Has a Satisfactory Record of Integrity the Cost Proposal Guidelines on page
and Business Ethics. 21), including
x Is Otherwise Qualified to Receive an shared costs if such costs are not
Award under Applicable Laws and subsumed within sectoral objectives.
Regulations. On the first page of SF-424A, please
44 enter the number 98-001 in the block
GUIDELINES FOR PROPOSALS AND entitled “Catalog of
REPORTING Federal Domestic Assistance Number”
(Column [b] of Section A, Budget
ANNEX E: SF-424 FORMS Summary). However, see
AND INSTRUCTIONS the note under the first bullet above.
On SF-424, please enter “N/A” in the On the second page of SF-424A, in
blocks entitled “Applicant Identifier,” Section C, Non-Federal Resources, use
“Date Received by Column (c) for other
State,” “State Application Identifier,” U.S. Government (USG) contributions,
“Date Received by Federal Agency,” and use Column (d) for other non-USG
and “Federal Identifier” contributions.
in Items 2, 3, and 4. In Block 10, SF-424A should be supplemented by
“Catalog of Federal Domestic Assistance additional cost breakdowns/details, as
Number,” please enter described in paragraph
the number 98-001 and the title “USAID II in the Cost Proposal Guidelines on
Foreign Assistance for Programs page 21.
Overseas.” (Note: As of 45
_____________________
the date of publication of these
Guidelines, USAID/OFDA did not have APPLICATION FOR OMB Approval No.
0348-0043
its own separate Catalog of FEDERAL ASSISTANCE 2. DATE
Federal Domestic Assistance [CFDA] SUBMITTED Applicant Identifier
1. TYPE OF SUBMISSION: 3. DATE RECEIVED BY
number. However, it is anticipated that STATE State Application Identifier
USAID/OFDA may Application Preapplication
4. DATE RECEIVED BY FEDERAL AGENCY Federal
begin to use its own CFDA number in Identifier
the future, in which case, the CFDA 5. APPLICANT INFORMATION
Legal Name: Organizational Unit:
number and title for Address (give city, county, State, and zip code): Name
USAID/OFDA should be entered in and telephone number of person to be contacted on
matters involving
Block 10. CFDA numbers and titles may this application(give area code)
be found at: 6. EMPLOYER IDENTIFICATION NUMBER (EIN): 7.
TYPE OF APPLICANT:(enter appropriate letter in box)
http://www.cfda.gov.) A. State H. Independent School Dist.
On the first page of SF-424A, “Grant 8. TYPE OF APPLICATION: B. County I. State
Controlled Institution of Higher Learning
Program, Function, or Activity” C. Municipal J. Private University
(Column [a] of Section A, D. Township K. Indian Tribe
If Revision, enter appropriate letter(s) in box(es) E. SEND IT TO THE ADDRESS
Interstate L. Individual
F. Intermunicipal M. Profit Organization PROVIDED BY THE SPONSORING
A. Increase Award B. Decrease Award C. Increase AGENCY.
Duration G. Special District N. Other (Specify) Public reporting burden for this collection of
____________________ information is estimated to average 45 minutes
D. Decrease Duration Other(specify):
per response, including time for reviewing
9. NAME OF FEDERAL AGENCY:
10. CATALOG OF FEDERAL DOMESTIC instructions, searching existing data sources,
ASSISTANCE NUMBER: 11. DESCRIPTIVE TITLE gathering and maintaining the data needed, and
OF APPLICANT’S PROJECT: completing and reviewing the collection of
TITLE: information. Send comments regarding the
12. AREAS AFFECTED BY PROJECT(Cities, burden estimate or any other aspect of this
Counties, States, etc.): collection of information, including suggestions
13. PROPOSED PROJECT 14. CONGRESSIONAL for
DISTRICTS OF:
This is a standard form used by applicants as a
Start Date Ending Date a. Applicant b. Project
15. ESTIMATED FUNDING: 16. IS APPLICATION required facesheet for preapplications and
SUBJECT TO REVIEW BY STATE EXECUTIVE applications submitted for Federal assistance. It
ORDER 12372 PROCESS? will be used by Federal agencies to obtain
a. Federal $ . 00 applicant certification that States which have
a. YES. THIS PREAPPLICATION/APPLICATION WAS established a review and comment procedure in
MADE response to Executive Order 12372 and have
b. Applicant $ . 00 AVAILABLE TO THE STATE selected the program to be included in their
EXECUTIVE ORDER 12372
process, have been given an opportunity to
PROCESS FOR REVIEW ON:
c. State $ . 00 review
DATE the applicant’s submission.
d. Local $ . 00 Item: Entry:
b. No. PROGRAM IS NOT COVERED BY E. O. 12372 1. Self-explanatory.
e. Other $ . 00 OR PROGRAM HAS NOT BEEN 2. Date application submitted to Federal agency
SELECTED BY STATE (or State if
FOR REVIEW applicable) and applicant’s control number (if
f. Program Income $ . 00
applicable).
17. IS THE APPLICANT DELINQUENT ON ANY
FEDERAL DEBT? 3. State use only (if applicable).
g. TOTAL $ . 00 4. If this application is to continue or revise an
18. TO THE BEST OF MY KNOWLEDGE AND existing award,
BELIEF, ALL DATA IN THIS enter present Federal identifier number. If for a
APPLICATION/PREAPPLICATION ARE TRUE AND new project,
CORRECT, THE leave blank.
DOCUMENT HAS BEEN DULY AUTHORIZED BY 5. Legal name of applicant, name of primary
THE GOVERNING BODY OF THE APPLICANT AND
organizational unit
THE APPLICANT WILL COMPLY WITH THE
ATTACHED ASSURANCES IF THE ASSISTANCE IS which will undertake the assistance activity,
AWARDED. complete address of
a. Type Name of Authorized Representative b. Title c. the applicant, and name and telephone number
Telephone Number of the person to
d. Signature of Authorized Representative e. Date contact on matters related to this application.
Signed 6. Enter Employer Identification Number (EIN) as
Construction assigned by the
Non-Construction Non-Construction
Internal Revenue Service.
Construction
Yes If "Yes," attach an explanation. No 7. Enter the appropriate letter in the space
New Continuation Revision provided.
Previous Edition Usable Standard Form 424 (Rev. 7- 8. Check appropriate box and enter appropriate
97) letter(s) in the
Authorized for Local Reproduction Prescribed by OMB space(s) provided:
Circular A-102 -- "New" means a new assistance award.
INSTRUCTIONS FOR THE SF-424 -- "Continuation" means an extension for an
reducing this burden, to the Office of additional
Management and Budget, Paperwork Reduction funding/budget period for a project with a
Project (0348-0043), Washington, DC 20503. projected
PLEASE DO NOT RETURN YOUR completion date.
COMPLETED FORM TO THE OFFICE -- "Revision" means any change in the Federal
Government’s financial obligation or contingent
OF MANAGEMENT AND BUDGET. liability from an existing obligation.
9. Name of Federal agency from which representative must be on file in the applicant’s
assistance is being office.
requested with this application. (Certain Federal agencies may require that this
10. Use the Catalog of Federal Domestic authorization be submitted as part of the
Assistance number and application.)
title of the program under which assistance is SF-424 (Rev. 7-97) Back
requested. BUDGET INFORMATION - Non-
11. Enter a brief descriptive title of the project. If
more than one
Construction Programs OMB Approval
No. 0348-0044
program is involved, you should append an
explanation on a
SECTION A - BUDGET SUMMARY
separate sheet. If appropriate (e.g., construction Grant Program
or real Function
property projects), attach a map showing project or Activity
location. For Catalog of Federal
preapplications, use a separate sheet to provide Domestic Assistance
a summary Number
description of this project. Estimated Unobligated Funds New or
Item: Entry: Revised Budget
12. List only the largest political entities affected
(e.g., State,
Federal Non-Federal Federal Non-Federal
counties, cities). Total
13. Self-explanatory. (a) (b) (c) (d) (e) (f) (g)
14. List the applicant’s Congressional District and 1. $ $ $ $ $
any 2.
District(s) affected by the program or project. 3.
15. Amount requested or to be contributed during 4.
the first 5. Totals $ $ $ $ $
funding/budget period by each contributor. Value SECTION B - BUDGET CATEGORIES
of inkind
contributions should be included on appropriate
6. Object Class Categories GRANT PROGRAM,
FUNCTION OR ACTIVITY Total
lines as applicable. If the action will result in a (1) (2) (3) (4) (5)
dollar a. Personnel $ $ $ $ $
change to an existing award, indicate only the
b. Fringe Benefits
amount
of the change. For decreases, enclose the c. Travel
amounts in d. Equipment
parentheses. If both basic and supplemental e. Supplies
amounts f. Contractual
are included, show breakdown on an attached g. Construction
sheet. h. Other
For multiple program funding, use totals and i. Total Direct Charges (sum of 6a-6h)
show j. Indirect Charges
breakdown using same categories as item 15.
16. Applicants should contact the State Single k. TOTALS (sum of 6i and 6j) $ $ $ $ $
Point of 7. Program Income $ $ $ $ $
Contact (SPOC) for Federal Executive Order Authorized for Local Reproduction
12372 to Standard Form 424A (Rev. 7-97)
determine whether the application is subject to Previous Edition Usable Prescribed by OMB Circular
A-102
the
State intergovernmental review process. SECTION C - NON-FEDERAL
17. This question applies to the applicant RESOURCES
organization, not (a) Grant Program (b) Applicant (c) State (d)
the person who signs as the authorized Other Sources (e) TOTALS
representative. 8. $ $ $ $
Categories of debt include delinquent audit 9.
disallowances, loans and taxes. 10.
18. To be signed by the authorized 11.
representative of the
applicant. A copy of the governing body’s
12. TOTAL (sum of lines 8-11) $ $ $ $
authorization for you to sign this application as SECTION D - FORECASTED CASH
official NEEDS
13. Federal programs, grantor agencies may require a
Total for 1st Year 1st Quarter 2nd Quarter 3rd breakdown by function
Quarter 4th Quarter or activity. Sections A, B, C, and D should include
$$$$$ budget
14. Non-Federal estimates for the whole project except when
15. TOTAL (sum of lines 13 and 14) $ $ $ $ applying for
$ assistance which requires Federal authorization
in annual or
SECTION E - BUDGET ESTIMATES OF
other funding period increments. In the latter
FEDERAL FUNDS NEEDED FOR case, Sections A, B,
BALANCE OF THE PROJECT C, and D should provide the budget for the first
(a) Grant Program FUTURE FUNDING budget period
PERIODS (Years) (usually a year) and Section E should present the
(b) First (c) Second (d) Third (e) Fourth need for
16. $ $ $ $ Federal assistance in the subsequent budget
17. periods. All
18. applications should contain a breakdown by the
object class
19.
categories shown in Lines a-k of Section B.
20. TOTAL (sum of lines 16-19) $ $ $ $ Section A. Budget Summary Lines 1-4
SECTION F - OTHER BUDGET Columns (a) and (b)
INFORMATION For applications pertaining to a single Federal
21. Direct Charges: 22. Indirect Charges: grant program
23. Remarks: (Federal Domestic Assistance Catalog number)
Authorized for Local Reproduction and not requiring
Standard Form 424A (Rev. 7-97) Page 2 a functional or activity breakdown, enter on Line
INSTRUCTIONS FOR THE SF-424A 1 under Column
reducing this burden, to the Office of (a) the Catalog program title and the Catalog
Management and Budget, Paperwork Reduction number in Column
Project (0348-0044), Washington, DC 20503. (b).
PLEASE DO NOT RETURN YOUR For applications pertaining to a single program
COMPLETED FORM TO THE OFFICE requiring budget
amounts by multiple functions or activities, enter
OF MANAGEMENT AND BUDGET. the name of
SEND IT TO THE ADDRESS each activity or function on each line in Column
PROVIDED BY THE SPONSORING (a), and enter the
AGENCY. Catalog number in Column (b). For applications
Public reporting burden for this collection of pertaining to
information is estimated to average 180 minutes multiple programs where none of the programs
per response, including time for reviewing require a
instructions, searching existing data sources, breakdown by function or activity, enter the
gathering and maintaining the data needed, and Catalog program title
completing and reviewing the collection of on each line in Column (a) and the respective
information. Send comments regarding the Catalog number on
burden estimate or any other aspect of this each line in Column (b).
collection of information, including suggestions For applications pertaining to multiple programs
for where one or
General Instructions more programs require a breakdown by function
This form is designed so that application can be or activity,
made for funds prepare a separate sheet for each program
from one or more grant programs. In preparing requiring the
the budget, breakdown. Additional sheets should be used
adhere to any existing Federal grantor agency when one form
guidelines which does not provide adequate space for all
prescribe how and whether budgeted amounts breakdown of data
should be required. However, when more than one sheet is
separately shown for different functions or used, the first
activities within the page should provide the summary totals by
program. For some programs, grantor agencies programs.
may require Lines 1-4, Columns (c) through (g)
budgets to be separately shown by function or For new applications, leave Column (c) and (d)
activity. For other blank. For each
line entry in Columns (a) and (b), enter in amount in column (5), Line 6k, should be the
Columns (e), (f), and same as the total
(g) the appropriate amounts of funds needed to amount shown in Section A, Column (g), Line 5.
support the For
project for the first funding period (usually a supplemental grants and changes to grants, the
year). total amount of
For continuing grant program applications, the increase or decrease as shown in Columns
submit these forms (1)-(4), Line 6k
before the end of each funding period as required should be the same as the sum of the amounts in
by the grantor Section A,
agency. Enter in Columns (c) and (d) the Columns (e) and (f) on Line 5.
estimated amounts of Line 7 - Enter the estimated amount of income, if
funds which will remain unobligated at the end of any, expected
the grant to be generated from this project. Do not add or
funding period only if the Federal grantor agency subtract this
instructions amount from the total project amount, Show
provide for this. Otherwise, leave these columns under the program
blank. Enter in SF-424A (Rev. 7-97) Page 3
columns (e) and (f) the amounts of funds needed INSTRUCTIONS FOR THE SF-424A
for the (continued)
upcoming period. The amount(s) in Column (g) narrative statement the nature and source of
should be the income. The
sum of amounts in Columns (e) and (f). estimated amount of program income may be
For supplemental grants and changes to considered by the
existing grants, do not Federal grantor agency in determining the total
use Columns (c) and (d). Enter in Column (e) the amount of the
amount of the grant.
increase or decrease of Federal funds and enter Section C. Non-Federal Resources
in Column (f) the Lines 8-11 Enter amounts of non-Federal
amount of the increase or decrease of non- resources that will be
Federal funds. In used on the grant. If in-kind contributions are
Column (g) enter the new total budgeted amount included, provide a
(Federal and brief explanation on a separate sheet.
non-Federal) which includes the total previous Column (a) - Enter the program titles identical to
authorized Column (a), Section A. A breakdown by function
budgeted amounts plus or minus, as appropriate, or
the amounts activity is not necessary.
shown in Columns (e) and (f). The amount(s) in Column (b) - Enter the contribution to be made
Column (g) by the
should not equal the sum of amounts in Columns applicant.
(e) and (f). Column (c) - Enter the amount of the State’s
Line 5 - Show the totals for all columns used. cash and
Section B Budget Categories in-kind contribution if the applicant is not a State
In the column headings (1) through (4), enter the or
titles of the State agency. Applicants which are a State or
same programs, functions, and activities shown State
on Lines 1-4, agencies should leave this column blank.
Column (a), Section A. When additional sheets Column (d) - Enter the amount of cash and in-
are prepared for kind
Section A, provide similar column headings on contributions to be made from all other sources.
each sheet. For Column (e) - Enter totals of Columns (b), (c), and
each program, function or activity, fill in the total (d).
requirements for Line 12 - Enter the total for each of Columns (b)-
funds (both Federal and non-Federal) by object (e). The amount
class categories. in Column (e) should be equal to the amount on
Line 6a-i - Show the totals of Lines 6a to 6h in Line 5, Column
each column. (f), Section A.
Line 6j - Show the amount of indirect cost. Section D. Forecasted Cash Needs
Line 6k - Enter the total of amounts on Lines 6i Line 13 - Enter the amount of cash needed by
and 6j. For all quarter from the
applications for new grants and continuation grantor agency during the first year.
grants the total
Line 14 - Enter the amount of cash from all other PLEASE DO NOT RETURN YOUR
sources needed COMPLETED FORM TO THE OFFICE
by quarter during the first year.
Line 15 - Enter the totals of amounts on Lines 13 OF MANAGEMENT AND BUDGET.
and 14. SEND IT TO THE ADDRESS
Section E. Budget Estimates of Federal Funds PROVIDED BY THE SPONSORING
Needed for AGENCY.
Balance of the Project Public reporting burden for this collection of
Lines 16-19 - Enter in Column (a) the same grant information is estimated to average 15 minutes
program titles per response, including time for reviewing
shown in Column (a), Section A. A breakdown by instructions, searching existing data sources,
function or gathering and maintaining the data needed, and
activity is not necessary. For new applications completing and reviewing the collection of
and continuation information. Send comments regarding the
grant applications, enter in the proper columns burden estimate or any other aspect of this
amounts of Federal collection of information, including suggestions
funds which will be needed to complete the for
program or project over NOTE: Certain of these assurances may not be
the succeeding funding periods (usually in years). applicable to your project or program. If you have
This section questions, please contact the
need not be completed for revisions awarding agency. Further, certain Federal
(amendments, changes, or awarding agencies may require applicants to
supplements) to funds for the current year of certify to additional assurances. If such
existing grants. is the case, you will be notified.
If more than four lines are needed to list the As the duly authorized representative of the
program titles, submit applicant, I certify that the applicant:
additional schedules as necessary. 1. Has the legal authority to apply for Federal
Line 20 - Enter the total for each of the Columns assistance Act of 1973, as amended (29 U.S.C.
(b)-(e). When §794), which
additional schedules are prepared for this and the institutional, managerial and financial
Section, annotate capability prohibits discrimination on the basis of
accordingly and show the overall totals on this handicaps; (d)
line. (including funds sufficient to pay the non-Federal
Section F. Other Budget Information share the Age Discrimination Act of 1975, as
Line 21 - Use this space to explain amounts for amended (42
individual direct of project cost) to ensure proper planning,
object class cost categories that may appear to management U.S.C. §§6101-6107), which
be out of the prohibits discrimination
ordinary or to explain the details as required by and completion of the project described in this on
the Federal grantor the basis of age; (e) the Drug Abuse Office and
agency. application. Treatment Act of 1972 (P.L. 92-255),
Line 22 - Enter the type of indirect rate as amended,
(provisional, predetermined, relating to nondiscrimination on the basis of drug
final or fixed) that will be in effect during the 2. Will give the awarding agency, the Comptroller
funding period, the General abuse; (f) the Comprehensive Alcohol
estimated amount of the base to which the rate is Abuse and
applied, and the of the United States and, if appropriate, the State,
total indirect expense. Alcoholism Prevention, Treatment and
Line 23 - Provide any other explanations or Rehabilitation
comments deemed through any authorized representative, access to
necessary. and Act of 1970 (P.L. 91-616), as amended,
SF-424A (Rev. 7-97) Page 4
relating to
-
the right to examine all records, books, papers, or
OMB Approval No. 0348-0040
nondiscrimination on the basis of alcohol abuse
ASSURANCES - NON-CONSTRUCTION or
PROGRAMS documents related to the award; and will
reducing this burden, to the Office of establish a alcoholism; (g) §§523 and 527 of the
Management and Budget, Paperwork Reduction Public Health
Project (0348-0040), Washington, DC 20503. proper accounting system in accordance with
generally Service Act of 1912 (42 U.S.C. §§290
dd-3 and 290 ee
accepted accounting standards or agency 1683, and 1685-1686), which prohibits
directives. 3), as amended, relating to discrimination on which limit the political activities
confidentiality of alcohol of employees whose
and drug abuse patient records; (h) Title VIII of the basis of sex; (c) Section 504 of the
the Rehabilitation principal employment activities are
3. Will establish safeguards to prohibit employees funded in whole or
from Civil Rights Act of 1968 (42 U.S.C. §§3601 in part with Federal funds.
et seq.), as Previous Edition Usable Standard Form 424B (Rev.
using their positions for a purpose that 7-97)
constitutes or amended, relating to Authorized for Local Reproduction Prescribed
nondiscrimination in the sale, by OMB Circular A-102
presents the appearance of personal or 9. Will comply, as applicable, with the provisions
organizational rental or financing of housing; (i) of the Davis-
any other Bacon Act (40 U.S.C. §§276a to 276a-7), the
conflict of interest, or personal gain. Copeland Act
nondiscrimination provisions in the specific (40 U.S.C. §276c and 18 U.S.C. §874), and the
statute(s) Contract
under which application for Federal assistance is Work Hours and Safety Standards Act (40 U.S.C.
being §§327333),
4. Will initiate and complete the work within the regarding labor standards for federally-assisted
applicable made; and, (j) the requirements of any construction subagreements.
other 10. Will comply, if applicable, with flood insurance
time frame after receipt of approval of the purchase
awarding nondiscrimination statute(s) which may requirements of Section 102(a) of the Flood
apply to the Disaster
agency. application. Protection Act of 1973 (P.L. 93-234) which
5. Will comply with the Intergovernmental requires
Personnel Act of 7. Will comply, or has already recipients in a special flood hazard area to
complied, with the participate in the
1970 (42 U.S.C. §§4728-4763) relating to program and to purchase flood insurance if the
prescribed requirements of Titles II and III of the total cost of
Uniform insurable construction and acquisition is $10,000
standards for merit systems for programs funded or more.
under Relocation Assistance and Real Property 11. Will comply with environmental standards
Acquisition which may be
one of the 19 statutes or regulations specified in prescribed pursuant to the following: (a)
Policies Act of 1970 (P.L. 91-646) which provide institution of
for environmental quality control measures under the
Appendix A of OPM's Standards for a Merit National
System of fair and equitable treatment of persons Environmental Policy Act of 1969 (P.L. 91-190)
displaced or and
Personnel Administration (5 C.F.R. 900, Subpart Executive Order (EO) 11514; (b) notification of
F). whose property is acquired as a result of violating
Federal or facilities pursuant to EO 11738; (c) protection of
federally-assisted programs. These requirements wetlands
apply pursuant to EO 11990; (d) evaluation of flood
6. Will comply with all Federal statutes relating to hazards in
to all interests in real property acquired for project floodplains in accordance with EO 11988; (e)
nondiscrimination. These include but are not assurance of
limited to: purposes regardless of Federal project consistency with the approved State
participation in management
(a) Title VI of the Civil Rights Act of 1964 (P.L. program developed under the Coastal Zone
88-352) purchases. Management
which prohibits discrimination on the basis of Act of 1972 (16 U.S.C. §§1451 et seq.); (f)
race, color conformity of
or national origin; (b) Title IX of the Education 8. Federal actions to State (Clean Air)
Will comply, as applicable, with provisions of the Implementation Plans
Amendments of 1972, as amended (20 U.S.C. under Section 176(c) of the Clean Air Act of
§§1681Hatch 1955, as
Act (5 U.S.C. §§1501-1508 and 7324-7328) amended (42 U.S.C. §§7401 et seq.); (g)
protection of
underground sources of drinking water under the SIGNATURE OF AUTHORIZED CERTIFYING
Safe OFFICIAL TITLE
Drinking Water Act of 1974, as amended (P.L. APPLICANT ORGANIZATION DATE
93-523); SUBMITTED
and, (h) protection of endangered species under Standard Form 424B (Rev. 7-97) Back
the
Endangered Species Act of 1973, as amended
GUIDELINES FOR PROPOSALS AND
(P.L. 93205). REPORTING
12. Will comply with the Wild and Scenic Rivers
Act of ANNEX F: CERTIFICATIONS
1968 (16 U.S.C. §§1271 et seq.) related to CERTIFICATIONS,
protecting
components or potential components of the ASSURANCES, AND OTHER
national STATEMENTS
wild and scenic rivers system.
13. Will assist the awarding agency in assuring OF APPLICANT/RECIPIENT1
compliance 1. ASSURANCE OF COMPLIANCE
with Section 106 of the National Historic
Preservation
WITH LAWS AND REGULATIONS
Act of 1966, as amended (16 U.S.C. §470), EO GOVERNING NON-
11593 DISCRIMINATION IN
(identification and protection of historic
properties), and
FEDERALLY ASSISTED
the Archaeological and Historic Preservation Act PROGRAMS
of (a) The applicant/recipient hereby
1974 (16 U.S.C. §§469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the
assures that no person in the United
protection of States shall, on the bases
human subjects involved in research, set forth below, be excluded from
development, and
related activities supported by this award of
participation in, be denied the benefits
assistance. of, or be otherwise subjected
15. Will comply with the Laboratory Animal to discrimination under, any program or
Welfare Act of
1966 (P.L. 89-544, as amended, 7 U.S.C.
activity receiving financial assistance
§§2131 et from USAID, and that
seq.) pertaining to the care, handling, and with respect to the award for which
treatment of
warm blooded animals held for research,
application is being made, it will comply
teaching, or with the requirements
other activities supported by this award of of:
assistance.
16. Will comply with the Lead-Based Paint
(1) Title VII of the Civil Rights Act of
Poisoning 1964 (Pub. L. 88-352, 42 U.S.C. 2000-
Prevention Act (42 U.S.C. §§4801 et seq.) which d), which
prohibits the use of lead-based paint in
construction or
prohibits discrimination on the basis of
rehabilitation of residence structures. race, color, or national origin, in
17. Will cause to be performed the required programs and activities
financial and
compliance audits in accordance with the Single
receiving Federal financial assistance;
Audit (2) Section 504 of the Rehabilitation Act
Act Amendments of 1996 and OMB Circular No. of 1973 (29 U.S.C. 794), which prohibits
A-133,
"Audits of States, Local Governments, and Non-
discrimination on the basis of handicap
Profit in programs and activities receiving
Organizations." Federal financial
18. Will comply with all applicable requirements
of all other
assistance;
Federal laws, executive orders, regulations, and (3) The Age Discrimination Act of 1975,
policies as amended (Pub. L. 95-478), which
governing this program.
prohibits
discrimination based on age in the (c) This assurance is given in
delivery of services and benefits consideration of and for the purpose of
supported with Federal funds; obtaining any and all
(4) Title IX of the Education Federal grants, loans, contracts,
Amendments of 1972 (20 U.S.C. 1681, property, discounts, or other Federal
et seq.), which financial assistance extended
prohibits discrimination on the basis of after the date hereof to the
sex in education programs and activities applicant/recipient by the Agency,
receiving Federal including installment payments after
financial assistance (whether or not the such date on account of applications for
programs or activities are offered or Federal financial assistance which were
sponsored by an approved before
educational institution); and such date. The applicant/recipient
Rev. 03/25/04 recognizes and agrees that such Federal
54
1 financial assistance will
GUIDELINES FOR PROPOSALS AND be extended in reliance on the
REPORTING representations and agreements made in
(5) USAID regulations implementing the this Assurance, and that the
above nondiscrimination laws, set forth United States shall have the right to seek
in judicial enforcement of this Assurance.
Chapter II of Title 22 of the Code of This Assurance is
Federal Regulations. binding on the applicant/recipient, its
(b) If the applicant/recipient is an successors, transferees, and assignees,
institution of higher education, the and the person or
Assurances given herein persons whose signatures appear below
extend to admission practices and to all are authorized to sign this Assurance on
other practices relating to the treatment behalf of the
of students or clients applicant/recipient.
of the institution, or relating to the 2. CERTIFICATION REGARDING
opportunity to participate in the LOBBYING
provision of services or other The undersigned certifies, to the best of
benefits to such individuals, and shall be his or her knowledge and belief, that:
applicable to the entire institution unless (1) No Federal appropriated funds have
the been paid or will be paid, by or on behalf
applicant/recipient establishes to the of the
satisfaction of the USAID Administrator undersigned, to any person for
that the institution's influencing or attempting to influence an
practices in designated parts or programs officer or employee of any
of the institution will in no way affect its agency, a Member of Congress, an
practices in the officer or employee of Congress, or an
program of the institution for which employee of a Member of
financial assistance is sought, or the Congress in connection with the
beneficiaries of, or awarding of any Federal contract, the
participants in, such programs. making of any Federal grant,
the making of any Federal loan, the fails to file the required certification
entering into of any cooperative shall be subject to a civil penalty of not
agreement, and the extension, less than $10,000 and not
continuation, renewal, amendment, or more than $100,000 for each such
modification of any Federal contract, failure.
grant, loan, or cooperative 3. CERTIFICATION REGARDING
agreement. TERRORIST FINANCING
(2) If any funds other than Federal By signing and submitting this
appropriated funds have been paid or application, the prospective recipient
will be paid to any provides the certification set
person for influencing or attempting to out below:
influence an officer or employee of any 1. The Recipient has not provided, and
agency, a Member of will take all reasonable steps to ensure
Congress, an officer or employee of that it does not
Congress, or an employee of a Member and will not knowingly provide, material
of Congress in support or resources to any individual or
connection with this Federal contract, entity that
grant, loan, or cooperative agreement, commits, attempts to commit, advocates,
the undersigned shall facilitates, or participates in terrorist
55 acts, or has
GUIDELINES FOR PROPOSALS AND committed, attempted to commit,
REPORTING facilitated, or participated in terrorist
complete and submit Standard Form- acts.
LLL, "Disclosure of Lobbying 2. Specifically, in order to comply with
Activities,"2 in accordance with its obligations under paragraph 1, the
its instructions. Recipient will
(3) The undersigned shall require that take the following steps:
the language of this certification be a. Before providing any material support
included in the award or resources to an individual or entity,
documents for all sub-awards at all tiers the
(including subcontracts, sub-grants, and Recipient will verify that the individual
contracts under or entity does not appear (i) on the
grants, loans, and cooperative master list of Specially
agreements) and that all sub-recipients Designated Nationals and Blocked
shall certify and disclose Persons, which list is maintained by the
accordingly. U.S. Treasury’s Office
This certification is a material of Foreign Assets Control (OFAC) and
representation of fact upon which is available online at OFAC’s website:
reliance was placed when this http://www.treas.gov/offices/eotffc/ofac/
transaction was made or entered into. sdn/t11sdn.pdf, or (ii) on any
Submission of this certification is a supplementary list of
prerequisite for making or prohibited individuals or entities that
entering into this transaction imposed by may be provided by USAID to the
section 1352, title 31, United States Recipient.
Code. Any person who
The Recipient also will verify that the substances, explosives, personnel,
individual or entity has not been transportation, and other physical assets,
designated by except medicine or
the United Nations Security Council religious materials.
(UNSC) sanctions committee established b. “Terrorist act” means –
under UNSC (i) An act prohibited pursuant to one of
Resolution 1267 (1999) (the “1267 the 12 United Nations Conventions and
Committee”) [individuals and entities Protocols related to terrorism (see UN
linked to the Taliban, terrorism conventions Internet site:
Usama bin Laden, or the Al Qaida http://untreaty.un.org/English/Terrorism.
Organization]. To determine whether asp); or
there has been a published (ii) An act of premeditated, politically
designation of an individual or entity by motivated violence perpetrated against
the 1267 Committee, the Recipient noncombatant targets by subnational
should refer to the groups or clandestine agents; or
Available on the internet at: (iii) Any other act intended to cause
http://www.whitehouse.gov/omb/grants/sflllin.pdf.
56 death or serious bodily injury to a
2 civilian, or
GUIDELINES FOR PROPOSALS AND to any other person not taking an active
REPORTING part in hostilities in a situation of armed
consolidated list available online at the conflict, when the
Committee’s website: purpose of such act, by its nature or
http://www.un.org/Docs/sc/committees/1 context, is to intimidate a population, or
267/1267ListEng.htm. to compel a
b. Before providing any material support government or an international
or resources to an individual or entity, organization to do or to abstain from
the doing any act.
Recipient will consider all information c. “Entity” means a partnership,
about that individual or entity of which it association, corporation, or other
is aware or that is organization, group
available to the public. or subgroup.
c. The Recipient will implement This Certification is an express term and
reasonable monitoring and oversight condition of any agreement issued as a
procedures to result of this
safeguard against assistance being application, and any violation of it shall
diverted to support terrorist activity. be grounds for unilateral termination of
3. For purposes of this Certification – the agreement by
a. “Material support and resources” USAID prior to the end of its term.
means currency or monetary instruments 4. DATA UNIVERSAL
or NUMBERING SYSTEM (DUNS)
financial securities, financial services, NUMBER
lodging, training, expert advice or 57
assistance, safehouses, GUIDELINES FOR PROPOSALS AND
false documentation or identification, REPORTING
communications equipment, facilities,
weapons, lethal
(a) Applicant/recipient identification is (iv) Organization mailing address, city,
essential for complying with reporting state, and Zip Code (if separate from
requirements. physical).
Therefore, the applicant/recipient is (v) Org anization telephone number.
requested to enter, in the space provided (vi) Date the organization was started.
below, the Data (vii) Number of employees at location in
Universal Numbering System (DUNS) (iii) above.
number or "DUNS+4" that identifies the (viii) Chief executive officer/key
applicant’s/recipient’s name and address manager.
exactly as stated in the application (ix) Line of business (industry).
(proposal). The DUNS (x) Organization Headquarters name and
number is a nine-digit number assigned address (reporting relationship within
by Dun and Bradstreet, Inc. The the applicant’s/recipient’s entity).
DUNS+4 is the DUNS (c) DUNS Number:
number plus a 4-character suffix that ________________________________
may be assigned at the discretion of the _____________________________
applicant/recipient to 5. TAXPAYER IDENTIFICATION
establish additional Central Contractor NUMBER (TIN)
Registration (CCR) records for If the applicant/recipient is a U.S.
identifying alternative organization, or a foreign organization
Electronic Funds Transfer (EFT) which has income
accounts for the same parent concern. effectively connected with the conduct
(b) If the applicant/recipient does not of activities in the U.S. or has an office
have a DUNS number, it should contact or a place of business
Dun and or a fiscal paying agent in the U.S.,
Bradstreet directly to obtain one. please indicate the applicant's/recipient's
(1) An applicant may obtain a DUNS TIN:
number— 58
(i) If located within the United States, by ________________________________
calling Dun and Bradstreet at 1-866- ________________________________
705-5711 or via the Internet at ________________
http://www.dnb.com; or ________________________________
(ii) If located outside the United States, ________________________________
by contacting the local Dun and ________________
Bradstreet office. ________________________________
(2) The applicant/recipient should be ________________________________
prepared to provide the following ________________
information: GUIDELINES FOR PROPOSALS AND
(i) Organization legal business name. REPORTING
(ii) Tradestyle, doing business, or other TIN:
name by which the ________________________________
applicant’s/recipient’s entity is ________________________________
commonly recognized. ___________
(iii) Organization physical street address, 6. LETTER OF CREDIT (LOC)
city, state, and Zip Code. NUMBER
If the applicant/recipient has an existing applicant/recipient; and (c) the
Letter of Credit (LOC) for payment applicant/recipient is aware of the
purposes, please indicate penalty prescribed in 18 U.S.C.
the LOC number: 1001 for making false statements in
LOC: applications/proposals.
________________________________ Solicitation No. (If
________________________________ Applicable)_______________________
__________ ____________________________
7. BANKING INFORMATION Application/Proposal Title
If the applicant/recipient has not had a ________________________________
USAID award before, please attach ______________________
banking information to Application/Proposal No. (If Applicable)
which payments will be made. Such ________________________________
information should include, at a ___________
minimum, bank name, bank 59
address, ABA number, and account GUIDELINES FOR PROPOSALS AND
number. Unless payment is by Letter of REPORTING
Credit, USAID will Date of Application/Proposal
make payments via electronic funds ________________________________
transfer. However, USAID’s system ____________________
provides for electronic Name of Applicant/Recipient
funds transfers to U.S. banks only. ________________________________
Therefore, if the applicant/recipient is a ____________________
non-U.S. organization, Typed or Printed Name and Title
the applicant/recipient must provide the ________________________________
name and banking information for a U.S. __________________
bank that will Signature
receive funds on its behalf. ________________________________
8. POINT(S) OF CONTACT __________________ Date
Please enter the information below for _____________
the applicant’s/recipient’s authorized 60
point(s) of contact: GUIDELINES FOR PROPOSALS AND
Name Title Telephone No. Fax No. E- REPORTING
Mail Address
9. SIGNATURE ANNEX G: PROGRAM
By signature hereon, or on an UPDATE EXAMPLES
application/proposal incorporating these Program updates can be informal and
Certifications, Assurances, should keep USAID/OFDA apprised of
and Other Statements of any developments
Applicant/Recipient, the that might impact the program. Several
applicant/recipient represents that: (a) examples of program updates follow:
they are Example 1:
accurate, current and complete; (b) the Update on Helping Hand Water/Sanitation
person signing below is authorized to Program in Alphabetland
sign on behalf of the Submitted to USAID/USAID/OFDA on
8/25/02
As stated in Grant AOT-G-00-70-00444-00, The International Consultant
the objective of the program is to increase Helping Hand has made progress in
water availability for recruiting an international consultant. Dr.
the drought-affected residents of Beta City. Will Weigh is expected to
The Expected Result is an increase in the sign a 6-month contract by the end of
provision of water August.
from 8.2 l/p/d, as found in the baseline Nutrition Guidelines
survey, to an estimated 15 l/p/d. The result 61
is to be reached through GUIDELINES FOR PROPOSALS AND
the construction of a dam and establishment
of a village water committee to maintain the REPORTING
dam and collect 1.
fees for the water. 2.
Constraints: 3.
1. Although the initial digging has been NGOs with the guidelines
completed, work on the water troughs for 4.
livestock has been The Nutrition Unit chaired a task force
temporarily suspended due to several days meeting on April 11, 2001 and proposed the
of unseasonably heavy rains. We anticipate revision of the 1972
that we will national nutrition guidelines. Experienced
resume work next week and that we should technical nutritionists from NGOs and
not experience any substantial delay in the agencies were charged with
completion of the task of updating the guidelines by early
the program. May.
2. The locally-hired supervisor for the project A workshop to review the first draft of the
had to be fired due to suspicions that he was guidelines was conducted on May 18-19.
using the Participants included
project to benefit his family members at the nutritionists from relevant UN agencies,
expense of the rest of the community. The NGOs, and the MOH. The final guidelines
Country will incorporate
Director is currently on site to recruit a new recommendations and issues discussed at
supervisor. This process should be the two workshops and should be ready for
completed within the release by early
next two days. October.
Helping Hand will keep USAID/OFDA Major recommendations put forward by the
apprised of any future developments that participants:
impact the program or cause Disseminate the guidelines as widely as
additional delays to its completion. possible
Example 2: Develop a full training package in order to
Update on OFDA-funded Nutrition Unit institutionalize the guidelines
Activities Organize a PR campaign to familiarize high-
This update covers activities carried out by level officials from government offices, UN
the Nutrition Unit between January - August agencies and
2000. Develop a manual for the management of
National Consultants nutrition programs
x The two national consultants signed 6- Nutrition Training Manual
month contracts with Helping Hand on The Nutrition Unit is in the process of
January 12. finalizing a training manual on basic nutrition
x The candidate selected for Charlie City concepts and assessment
of nutrition in emergencies for Alphabetland.
accepted the offer and has gone through the
The new guidelines are being used as the
medical
main reference for
clearance. Contract shou ld be signed within
preparing the training manual.
the next two weeks.
Alphabetland Nutrition Data Base
x The candidate selected for Delta City
turned down the offer and the position has
been re-advertised.
The Nutrition Unit has developed a means I just wanted to pass on to you this
by which the MOH can meet its needs for a information about security in our program
central information area (Charlie City) in
system that handles nutrition related Alphabetland, for your information in case
information. The database will help in the you haven't heard about this latest fighting.
coordination of emergency Our organization,
assistance and decision-making in Helping Hand, is considering keeping many
emergencies. The Nutrition Task Force of its staff in Beta City until things cool down
members received an again in Charlie
introduction to how the database operates at City. Our Country Director is still based in
a meeting held on July 20, 2000. The Delta City. Fighting is apparently near to our
Alphabetland Nutrition staff house in
Database (AND) system is now in its testing Charlie City, but we have fortunately no
phase, with two users currently active. The injuries to report.
unit disseminates Best wishes,
nutrition survey reports from different Jane Doe
sources to all stakeholders. This is being -----Original Message-----
done as survey reports are From: Jill Hill
received from agencies and NGOs. Sent: Monday, July 29, 2002 8:19 AM
Training To: Helping Hand Headquarters
The Nutrition Unit conducted the following Subject: Charlie City
training for MOH staff in order to build the Jane,
technical capacity of Latest update is bad fighting again.
staff at the federal, regional, and zonal See attached latest IRIN report.
levels to collect, review, and use nutrition Our staff is okay. Our expatriate staff was in
related information: Beta City when violence broke out and they
x Nutrition Assessment training for 19 will stay there
government staff. The training was followed the rest of this week.
by fieldwork and UN reports that both sides are running out of
training on nutritional report writing. ammunition, so things should calm down in
x Database management training for 13 a few days.
government staff. Regards, Jill
Future plan (September – December 2000) 63
x Finalize the training manual on basic GUIDELINES FOR PROPOSALS AND
nutrition concepts and assessment of
nutrition in emergencies for REPORTING
Alphabetland
x Train the regional-level nutritionists on
ANNEX H: CONTEXT–
nutritional assessment in emergencies and
report writing
SPECIFIC PROGRAMMING
x Finalize Guidelines
All populations function within specific
x Prepare the final Results Report and natural and social environments that are
transfer unit activities to Ministry of Health. highly interactive.
62 Every disaster disrupts those natural and
GUIDELINES FOR PROPOSALS AND social environments differently
REPORTING according to a wide range
Example 3: of variables. Impacts of disasters on
From: Jane Doe affected populations include death,
Sent: Monday, July 29, 2002 12:03 PM displacement, impaired
To: USAID/OFDA Disaster Operations health, violence and persecution on the
Specialist John Smith grounds of gender and ethnicity, damage
Subject: Update on Security in Alphabetland
Hi John--
or destruction of
productive assets and the natural the mention by name of specific ethnic
resource base; breakdown of family and groups, for example.
community organization; 1. International partners have the
and loss of purpose, self-esteem, responsibility to identify how
identity, and self-reliance. To be populations function and
effective, relief programs must organize themselves in non-disaster
identify and address the differential periods and show this relevance to
effects of a disaster on the male and disaster
female adults, adolescents, programming.
and children. Goods and services should Organizations shall demonstrate the
be provided in ways that bolster, rather relevance to their proposed activities by
than undermine, addressing the
the ability of individuals, households and following characteristics during non-
communities to deal with and recover disaster periods.
from crisis. x Demographic variation within the
The principles outlined below are affected population according to gender,
designed to help USAID/OFDA’s age, ethnicity,
implementing partners better and socio-economic status.
tailor their programs to the unique x Social and economic networks and
context of every disaster, by organization of the affected population.
incorporating information on a x Relations between the political and the
variety of issues that may influence the economic power that shape the structure
planning, implementation, and impact of and affect
a proposed the functioning of local populations
intervention. The types of information (e.g., between males and females; state-
that should be included will vary for sanctioned and
every disaster. The aim traditional leadership; various ethnic
is not to include volumes of background groups; regions and the nation; the
information with each proposal, but to affected nation and
identify and address other nations).
succinctly throughout the proposal 64
analysis the various characteristics of a GUIDELINES FOR PROPOSALS AND
given disaster situation REPORTING
that bear on the proposed intervention. x Connections between the affected
The desire for rapid response does not population(s) and the local ecosystem
automatically preclude the need to and natural
address context-specific resources.
issues from the very onset of a disaster. 2. The design and implementation of
Understandably, however, during crisis relief programs shall address the
situations, and in range of observed and
areas where an organization has a short potential effects of the disaster on
history of operation, the capacity to affected population(s).
provide comprehensive x The impacts of the disaster on the
context analysis may be limited. capacities and needs of the affected
Additionally, in some settings, political population(s)
sensitivities will preclude
according to gender, age, ethnicity, and Program: Location of site visit: Program cost
socio-economic status. and duration:
x Effects of the disaster on the social Key Themes and Questions for
and economic networks, and the Consideration
Please note this tool was designed to
organization of the complement Performance Monitoring Plans
affected population(s). (PMP); User should have a PMP on
x Disaster-induced shifts in economic, hand so that the objectives, expected results,
political, and social power among the activities and indicators may be easily
affected referenced.
population(s). Project Status
Is the program on schedule?
x Impacts of the disaster on the local
What are the key accomplishments?
ecosystem and on the capacity of the What are the constraints and
affected population challenges?
to access and utilize natural resources. Changes in
3. International partners have the Has the context changed due to any
responsibility to identify and address social, political, economic or
the impact of their environmental factors?
proposed activities on disaster- context How might identified changes
affected populations. affect
x Proposals shall incorporate specific the program implementation,
references to relevant lessons learned targeting and impact?
from previous Beneficiary data
disaster situations and/or development (targeted and
programs in the affected area. reached)
x Recipient organizations shall describe Who is being reached? Is this
the potential short- and long-term according to objectives?
Are there any highly vulnerable
impacts (both
groups being overlooked? (women,
positive and negative) of their proposed children under 5, the disabled,
interventions on the health and welfare adolescents, elderly, etc.)
of the 66
affected population(s) and the GUIDELINES FOR PROPOSALS AND
environment. For example: What are the REPORTING
anticipated impacts
Program
of relief food distribution on health,
rationale, design
local and regional agricultural
and
productivity, markets,
implementation
and power relations among members of What needs assessments were used to
a household? assessments underway?
65 Is this a good use of USAID/OFDA
GUIDELINES FOR PROPOSALS AND resources?
REPORTING critical need?
ANNEX I: SAMPLE Is the project effective and efficient?
of services, low-cost, etc.)
MONITORING TOOLS Is the project culturally sensitive and
Field Monitoring Key Themes and
accepted?
Questions
Name: Implementing Partner: Date: Stakeholder /
involvement
Where is there evidence of effective Is the security situation affecting
participation? partners’ ability to monitor?
within the community? Partner
Does partner and/or do beneficiaries Performance
reach and effectiveness? How is coordination and information
develop the program? Are any sharing taking place? Are there any
Is the project relevant, meeting a problems?
(appropriate targeting, timely delivery Are partners respectfully
Has program caused any tensions or implementing project in an inclusive,
problems at the local or national transparent way?
level? Among other aid agencies? If How are they monitoring? Are they
so, why? using a plan?
Beneficiary 68
Are beneficiaries involved to the GUIDELINES FOR PROPOSALS AND
greatest extent possible?
How do they feel about the project?
REPORTING
Are partners frequently
Is there a sense of program ownership
communicating with USAID/OFDA
Does the project discriminate against
on an informal basis (“program
a group or gender?
updates) and reporting on schedule?
have suggestions to improve program
67 Do they seem motivated?
Exit strategy
GUIDELINES FOR PROPOSALS AND What are the beneficiaries’ views of
REPORTING the program’s future?
Livelihoods / Who will assume responsibility for
Coping the continuation of project activities
Mechanisms once USAID/OFDA funding ends?
How does the population access and What are others in the aid community
use resources under normal doing in the region? Does the project
circumstances? complement these endeavors?
Will this project support or disrupt Is the project in keeping with USAID
these traditional systems? Missions’ strategic plans?
What are the primary economic General
activities in the affected area? observations /
What are the main household assets? Recommenddations
Has access (geographic and/or Follow up action
economic) to markets been 69
hampered? GUIDELINES FOR PROPOSALS AND
Coordination
and Coverage
REPORTING
Who is doing what in the affected Sample Performance Monitoring Plan
area and region? Do needs appear to Implementing Organization: Program
be covered? Title: Cost and Duration:
OBJECTIVE 1:
Is information being readily shared?
Expected Result 1.1 Performance Indicators
Among whom? (Linked to each ER or for each activity, # of
Security and indicators will vary)
Accessibility Indicator (1) Indicator Definition
Are there security concerns? If so, Indicator (2) Indicator Definition
what, where and why? Indicator (3) Indicator Definition
Are sites accessible for the delivery of Activity A Performance Baseline Data
services/relief? Source(s) and Collection Frequency:
(Provide baseline data that justifies the need ƒ This refers to the starting point from
for each activity) which progress will be measured, and
Activity Target Person(s) responsible for data
collection: should reflect the
Beneficiary Data current context at the onset of the
(who is expected to benefit?) program. Baseline data justifies why a
Activity Timeline Data utilization and particular activity was
dissemination plan to enhance performance: conceived, and it may be adjusted once a
(How will the
data be used and integrated into activities? What
partner is awarded a grant and begins
is the reporting schedule?) implementation.
70 Beneficiary Data
GUIDELINES FOR PROPOSALS AND ƒ This refers to the intended
REPORTING beneficiaries. Who will be served by the
Definition of Terms project? There may be
Objective primary and secondary beneficiaries.
ƒ This is the larger aim of the program Best estimates will suffice, especially for
which is achieved through the success of mitigation
the expected results. Eg. activities, and it is possible to respond
Decreased mortality rates among “not applicable” for some programs,
children under 5. such as capacity
Expected Result(ER) building programs, so long as a
ƒ This is what one expects to achieve as justification is provided.
the outcome(s) of one or more activities. Data Source/Collection Frequency
There may be ƒ Data source refers to where/how
one ER for each activity, or the results of partners will gather information. It could
several activities combined may add up be from key
to one ER. informant interviews, surveys, hospital
The ER should be measurable by using records, etc. Collection Frequency is
good indicators, with a clear cause-effect simply the plan
relationship for how often data will be collected. For
(though there will always be some example, what is the schedule for site
assumptions made). visits?
Performance Indicator Person Responsible
ƒ A performance indicator is a simple ƒ Someone should be identified as the
measurement used to gauge change primary person to undertake the task of
and/or program data collection.
71
progress. Indicator selection should
follow the guidance provided in GUIDELINES FOR PROPOSALS AND
USAID/OFDA’s proposal REPORTING
guidelines, and should be very closely Data utilization and dissemination
correlated to the activities. Example: ƒ Partners should consider how they plan
Training activity X to use the data, and to make a note of the
indicator = # of people trained, or % of schedule of
trainees who have in some way applied reporting for adhering to deadlines.
new skills. 72
Performance Baseline