FINAL Pact UGM RFA

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					                      UGM Partner Request for Applications 2010




  PACT REQUEST FOR APPLICATIONS FOR A LOCAL UMBRELLA
          GRANTS MANAGEMENT ORGANIZATION



Dear Prospective Applicant:

Pact, Inc. (Pact) under an associate cooperative agreement issued by the United States Agency
for International Development (USAID) Regional HIV & AIDS Program for Southern Africa
(USAID/RHAP) is pleased to announce the release of a Request for Applications (RFA) for
Umbrella Grants Management (UGM) Partners. The request for applications for UGM
Partners indicates the availability of funding for local, Swazi organizations who demonstrate
capacity to be Umbrella Grant Managers and providers of technical assistance to other local
organizations. Pact will ensure that by the end of the five year Community REACH Agreement
in March 2015 the organization will have received targeted capacity building and opportunity for
hands on management of a cohort of organizations resulting in the successful applicant having:
(1) financial management, Monitoring, Evaluation and Reporting systems (adapted from Pact’s
tools and systems) in place suitable for use with local organizations; (2)ability to manage and
administer a sub-grant program (3) ability to provide one-on-one technical assistance in
Financial Management and Monitoring, Evaluation, and Reporting sub grantees. .

Issuance of this RFA does not constitute a commitment on the part of Pact to award grants in
the absence of funds from USAID for this purpose. Final awards will not be made until funds
are provided to Pact by USAID and until the selection process of awardees is complete. While it
is expected that these procedures will be successfully completed by 31 September 2011 for
UGM Partners, applicants are hereby notified of these circumstances and conditions for awards.
Furthermore, Pact cannot reimburse applicants for costs incurred through participation in the
application process. This includes costs associated with:
 The preparation and submission of applications including such costs as information
    gathering, staff time and travel; and
 Participation in pre-bidder’s information session/s and proposal writing workshop/s.

Participating in and responding to this RFA is at the risk and expense of the applicant.

How to Obtain an Application Form
There are three ways to obtain an application form:
1. Download from the following location: http://pactworld.org/cs/swaziland/swazilandrfa
2. Pick up directly from:
       Second Floor

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                      UGM Partner Request for Applications 2010

      Nkhontfotjeni Building
      Cnr Dzeliwe and Msakato Streets
      Mbabane
      Swaziland
3. Request by fax from +268 409 0030. When requesting a faxed application, please include a
   contact name, email address (if available), fax number, and telephone number.

Who Should Apply?
All local, Swazi organizations are encouraged to apply to this RFA.

Questions and Answers
Beginning on 17 May 2011 and ending on 09 June 2011 prospective applicants can ask questions
or seek clarification and explanations about the application process. Questions must be
submitted in writing either via fax to +268-409-0030 or e-mailed to swazilandrfa@pactworld.org.
All Questions and Answers will be posted on http://pactworld.org/cs/swaziland/swazilandrfa
and it is the prospective applicants’ responsibility to periodically check on the website for new
questions and answers. Answers to all questions will also be made available and shared with
interested applicants during the pre-bidders information session and upon request.

Pre-Bidders Information session
The objective of a pre-bidders’ information session is to allow potential applicants to meet
directly with Pact staff in order to ask questions and get clarifications on the RFA solicitation. A
pre-bidders information session will be held on 01 June 2011 from 9:00 am to 11:00 am in
Mbabane. An announcement calling interested organizations to participate in the pre-bidders
information session will be advertised through the local print media.

Potential applicants are invited to register for the above said information session and be advised
of the venue upon submission of registration forms as attached to this RFA. While there is no
registration fee for attendance, travel and accommodation costs are not provided for any
participants. Prior registration is required for admission.

Potential applicants are encouraged to attend in order to gain insight into the application process,
but should be aware that attendance at the pre-bidders information session does not guarantee
success in accessing funds.

We look forward to your participation.

Sincerely,

Todd Malone
Chief of Party




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                                  UGM Partner Request for Applications 2010




 PACT REQUEST FOR APPLICATIONS IN SUPPORT OF THE U.S.
PRESIDENT’S EMERGENCY PLAN FOR AIDS RELIEF (PEPFAR) IN
                     SWAZILAND

Table of Contents
1      Purpose ........................................................................................................................ 3
2      Objectives and Approaches ......................................................................................... 6
    2.1     UGM Partner Objective ............................................................................................................ 6
    2.2     UGM Strategic Approaches...................................................................................................... 6
    2.3     UGM Illustrative Activities ....................................................................................................... 7
    2.4     Program Indicators for UGM Partner .................................................................................... 8
3      Eligibility ..................................................................................................................... 8
4      Application Review Process & Evaluation Criteria ..................................................... 8
    4.1     The Application .......................................................................................................................... 8
    4.2     The Review Process ................................................................................................................... 9
    4.3     UGM Partner Proposal Submissions ...................................................................................... 9
       4.3.1     Proposal Submission Guidance ....................................................................................... 9
       4.3.2     Proposal Compliance Evaluation Criteria .................................................................... 12
       4.3.3     Proposal Technical Evaluation Criteria ........................................................................ 12
       Proposal Technical Evaluation Criteria ................................................................................. 12
    4.4     Question and Answer Period ................................................................................................. 14
    4.5     Closing Date.............................................................................................................................. 15
    4.6     Awards ....................................................................................................................................... 15
    4.7     Authorization ............................................................................................................................ 15
    4.8     Administration of Sub-awards................................................................................................ 15
    4.9     Certifications ............................................................................................................................. 15
5      Pact Program Implementation Involvement and Oversight ...................................... 16
6      Annexes ....................................................................................................................... 16
    Annex 1: Pact Swaziland 2011 RFA Proposal Cover Sheet ........................................................... 17
    Annex 2: Budget Template ................................................................................................................. 18
    Annex 3: Pact’s Measurement Toolbox for Capacity Building ..................................................... 19
    Annex 4: Certification Regarding Terrorist Activity ....................................................................... 23
    Annex 5: Financial Questionnaire ...................................................................................................... 25
    Annex 6: Example Subject Areas for the UGM Partner RFA ...................................................... 29




1 Purpose
The United States Government (USG) entered into an associate award under the United States

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                     UGM Partner Request for Applications 2010

Agency for International Development (USAID) Bureau for Global Health Rapid Response
Mechanism for HIV/AIDS Leader Award held by Pact Inc. This rapid response mechanism is
known as the Community REACH leader with associate cooperative agreement and is tailored to
meet each missions specialized needs while offering start-up and making resources rapidly
available for HIV/AIDS services.

From 2006-2010 Pact managed an UGM program under an award from PEPFAR/USAID.
Over this period the main purpose of the UGM was to (1) facilitate further scale-up of HIV &
AIDS services through local and international Implementing Partners and (2) develop indigenous
capacity of its sub-awardees in finance management, grants management, organizational
development, and monitoring, evaluation, and reporting. Since 2006, Pact has disbursed funds
through the UGM to over 17 Partners in Swaziland, all of whom play valuable roles in the fight
against HIV & AIDS. These Partners consist of non-governmental organizations (NGOs), faith-
based organizations (FBOs), and community-based organizations (CBOs). All Partners were
selected through full and open competition.

A new cooperative agreement under the Community REACH Award was signed in March 2010
effective April 1, 2010 ending in March 31, 2015. This follow-on Cooperative Agreement
focuses on (1) continuing a grant management and institutional strengthening program, and (2)
Developing the capacity of one or more local NGOs to serve as a UGM capable of managing
and sub-awarding funding from PEPFAR, Global Fund and other major donors in Swaziland
and providing technical assistance in organizational development areas to local CSOs, and FBOs.

Through this RFA, one organization will be selected as a UGM Partner. Pact will work with the
UGM Partner to transfer skills required for managing a UGM and mentoring Implementing
Partners. Pact will work with the UGM Partner to develop skills in the areas of finance and
grants management in the first year and increase scope to include monitoring, evaluation, and
reporting in the second year. Other areas of support may be included as appropriate.

The capacity building support plan for the UGM Partner is summarized
below:
Stage 1: Development of basic organizational systems to run a UGM (1-6 months)
The UGM will in the first six months receive training and mentoring support from Pact to
develop financial, grants and MER systems by adapting tools already developed and used by Pact
for engaging and supporting Partners with implementation.

Stage 2: Orientation of UGM Partner to capacity building strategies used by Pact (2 - 6
months)
Pact will prepare and facilitate trainings for Implementing Partners in finance, grants
management and MER under the observation of the UGM Partner.

Stage 3: Co-facilitation of training and mentoring support for IP (4 -12 months)
UGM partner will co-facilitate training with Pact in these areas to get hands-on experience in
running the training for IP’s using Pact materials. Using a mentoring guide that will have been
prepared by Pact to document mentoring, the UGM Partner will observe Pact provide
mentoring support to Implementing Partners using the processes of assessment, developing ISP
and monitoring progress on implementation of the same.

Stage 4: UGM Partner shadow Pact on mentoring (3-18 months)

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                     UGM Partner Request for Applications 2010

The UGM partner will then shadow Pact staff in the mentoring process to ensure that they
develop the skills in provding one-on one TA support to IP’s

Stage 5: Pact works with UGM Partner to solicit new Implementing Partners (6-12
months)
The UGM Partner will use the developed tools and systems to solicit for new Implementing
Partners that will be supported by the UGM Partner. The UGM Partner will work with Pact to
solicit new Implementing Partners through a competitive process to expose the UGM Partner to
solicitation processes, pre and post grant signing activities. The solicitation process involves
developing a solicitation tool that may be a request for Applications or an Annual Program
Statement that is approved by USAID. I addition the solicitation process involves advertising the
solicitation, facilitation of pre-bidders workshop to clarify the solicitation requirements and
convening review meetings to assess the applications received. The pre-award activities include
facilitating the assessments, developing program descriptions, implementation plans and budgets
for the signing of the award. Post grant signing activities include orientation on Pact processes,
developing MER plans, conducting more assessments and developing institutional strengthening
plans, supporting Implementing Partners with pre and post award activities as mentioned above.

Stage 6: UGM Partner begins managing sub-grants (9-24 months)
Under close supervision of Pact staff, and using Pact processes, the UGM will begin to manage
sub grants to implementing partners. As the UGM’s capacity grows, the UGM will be supported
to take on additional sub grants. As capacity grows the UGM will take on more responsibility
while Pact minimizes theirs. The goal is to have a UGM partner move from nascent to mature
by 2015.

Stage 7: Mid-term evaluation of the UGM Partner (18 – 24 months)
Pact will commission an external mid-term evaluation to identify what is working and what is not
and then how the model/plan can be fine-tuned. The next steps of the UGM Partner
development process will be guided by the recommendations of the evaluation process with full
participation of USAID.

This RFA describes the program objectives, explains the technical areas of focus, eligibility
criteria of prospective applicants, and criteria for evaluating applications. It also provides
information on funding available, application format, and other relevant information.

Grants funded under this RFA will support implementation of the United States Government’s
President’s Emergency Plan for AIDS Relief (PEPFAR) in Swaziland. More information about
PEPFAR is available at http://www.pepfar.gov/. The global goals of PEPFAR are to:

    Prevent 12 million new HIV infections;
    Treat at least 4 million HIV-infected people;
    Care for 12 million HIV-affected individuals;
    Care for 5 million AIDS orphans and vulnerable children; and
    Train 140,000 new health workers.

Pending the availability of funding, Pact Swaziland anticipates awarding a UGM sub-grant to
cooperative agreement (hereafter called agreement) to fund one application submitted in
response to this RFA. Applications for Umbrella Grants Management (UGM) Partner will be
accepted in the form of a full proposal with supporting documents due no later than 5:00pm
Swaziland time on 17 June 2011.

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                          UGM Partner Request for Applications 2010


The award under this RFA is anticipated to be issued by 30 September 2011 and the UGM
Partner will start implementing by 01 October 2011. The initial award will be for 2 years, with
the possibility of extension pending project success and availability of funds. The funding
amount for UGM Partner is $175,000 per year. Applicants are required to focus only on costing
activities associated with running the UGM activity. Applicants should use the Pact template
attached in Annex 2 to develop the budget. In addition, applicants should be aware that Pact
will fund, through Pact’s own operating budget, technical assistance and management support to
the UGM partner and implementing partners in financial management, grants management, and
monitoring, evaluation, and reporting. Therefore, the applicant should not budget for these
costs but only focus on the UGM Partner costs.

Only registered local, Swazi organizations can apply to this RFA. Multi-lateral, regional, and
international organizations are not eligible, such nationality being determined on the basis of the
organisation's statutes which should demonstrate that it is governed by the national law of
Swaziland. In this respect, any legal entity whose statutes have been established in another
country cannot be considered an eligible local organisation, even if the statutes are registered
locally or a “Memorandum of Understanding” has been concluded. Existing local partners
receiving PEPFAR country funding and sub-partners receiving PEPFAR funding are eligible to
apply under this RFA.

This RFA is issued as a public notice to ensure that all interested parties have a fair opportunity to submit
applications for funding. This RFA does not constitute an award commitment on the part of Pact nor does it
commit to pay for costs incurred in the preparation and/or submission of applications, or to procure or contract for
services or supplies. Furthermore, Pact reserves the right to reject any or all proposals submitted, to negotiate with
any applicants considered qualified, or to make awards without further applicant negotiations.

2 Objectives and Approaches
2.1 UGM Partner Objective
 Pact will work with the UGM Partner to transfer skills required for managing and mentoring
Implementing Partners. Pact will work with the UGM Partner to provide support to
Implementing Partners into developing skills in the areas of finance and grants management in
the first year and increase scope to include at least monitoring, evaluation, and reporting in
subsequent years. Other areas of support may be included as appropriate.

This UGM Partner RFA will support institutional capacity-building in grants management,
finance management, and monitoring, evaluation, and reporting to organizations that implement
HIV/AIDS service delivery activities in the program areas listed above. More detailed example
subject areas on capacity-building activities for umbrella grants are included as Annex 6.

2.2 UGM Strategic Approaches
Because the overall goal of this RFA is to support institutional capacity-building in Swaziland,
proposed strategic approaches should address specific needs with practical, pragmatic plans for
implementation.

     Partners
The successful applicant will work with faith-based organizations (FBOs), community-based
organizations (CBOs), and non-governmental organizations (NGOs) to support them in grants


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                     UGM Partner Request for Applications 2010

management, finance management, and monitoring, evaluation, and reporting. Implementing
Partners will implement HIV activities with organizational development support from the UGM
Partner in the above mentioned areas.

     Sustainability
Applicants should be aware that Pact’s five-year program is designed to end in March 2015.
There is no assurance of any continued program or funding for any particular applicant after this
period. This project will be awarded initially for a period of two years, with the possibility of
extension based on positive performance. All applicants must describe their plans for
sustainability of their projects after two years. Sustainability includes the development of
technical competence, human capacity, management systems, infrastructure, relationships with
government programs, and financial independence.

     Institutional Capacity Development
The applicant should emphasize country ownership and local organization capacity-building as
an important element of the overall grants management program. Umbrella grant programs must
demonstrate their current or potential capacity to provide technical assistance to implementing
partners in strategic planning, registration, financial management, human resource management,
monitoring and evaluation, quality assurance, and fundraising.

     Quality of Services
A key focus for PEPFAR is ensuring that quality services are provided, including quality grants
management and organizational capacity building services. Quality includes meeting the client’s
individual needs in a timely manner, providing services within the appropriate policies and
guidelines, and ensuring that systems are in place to measure and evaluate the services provided.

     Strategic Information
Strategic information is essential to understand the extent to which a program is achieving its
objectives. All applicants must address how they will monitor and evaluate their program. It
would be an advantage if the applicant can demonstrate previous experience in the area of M&E,
in particular experience supporting capacity-building around strategic information interventions
and increasing skill sets of M&E staff.

    Gender mainstreaming
 Gender is a cross-cutting issue in Community Reach and Pact actively promotes gender
mainstreaming among partner organizations. The applicant should describe experience with
gender mainstreaming; identify any issues that may impede the applicant from implementing
gender equitable activities along with strategies for addressing these challenges.

2.3 UGM Illustrative Activities
Specific areas for funding include those listed in Annex 6. Applicants should expect to support
Implementing Partners in all three subject areas. Pact will work with the UGM Partner to
develop skills in the areas of finance and grants management in the first year and increase scope
to include at least monitoring, evaluation, and reporting in subsequent years. Other areas of
support may be included as appropriate.




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                      UGM Partner Request for Applications 2010

2.4 Program Indicators for UGM Partner
All UGM Partner applications must include specific, detailed plans to monitor and document
program performance. The applications should include a plan detailing what data will be
collected along with how it will be collected, verified, collated, analyzed, and reported to
document progress. Data quality is a critical component of PEPFAR. The successful applicant
will be expected to develop systems to ensure data quality and must be prepared for data quality
audits by both Pact and USAID. The application must also indicate staff M&E skills and
capacity, as well as the infrastructure (information technology, etc.) available to support the
M&E process within the organization.

Because the program objectives speak to concepts that are inherently complex and intertwined,
such as institutional capacity of Implementing Partners, scope and quality of technical service
delivery, as well as issues related to financial viability and effectiveness of Implementing Partners
as a result of capacity building, Pact does not employ a traditional linear view to measurement
(i.e. Pact is not focused on developing an indicator for every objective and activity). Instead, Pact
defines the key learning concepts or deliverables to be achieved as outcomes from the entire
program effort and then defines the processes, methods, and tools for collecting this information
and identifies who will take the lead in collecting the information and the frequency of data
collection. This information is captured in the capacity building Measurement Tool Box in
Annex 3 which should act as an example of what is expected in terms of a UGM Partner
application.

3 Eligibility
This request for applications is open to registered local, Swazi non-government organizations
(NGOs), faith-based organizations (FBOs) and community-based organizations (CBOs), such
nationality being determined on the basis of the organisation's statutes which should
demonstrate that it has been established by an instrument governed by the national law of
Swaziland. In this respect, any legal entity whose statutes have been established in another
country cannot be considered an eligible local organisation, even if the statutes are registered
locally or a “Memorandum of Understanding” has been concluded. Any organization that
submits a proposal must demonstrate its technical, programmatic and organizational capacity and
experience to develop, conduct, monitor and follow-up on capacity building of Partners.
The following organizations/programs are not eligible to apply under this solicitation:
       Government or Parastatal organizations;
       International and regional organizations/companies.

While international and regional organizations are not eligible to apply, there may be value in
forming partnerships with such organizations. If the applicant chooses to propose a partnership
with an international or regional organization, they should clearly present the rationale, value
added and associated costs.

4 Application Review Process & Evaluation Criteria
4.1 The Application
A complete application shall consist of the Cover Page (Annex 1), the proposal (Five sections as
laid out below), Certification Regarding Terrorism (Annex 4), Pact Financial Questionnaire
(Annex 5), and proposed staff CVs, and a budget table. Applicants shall submit an original and
seven copies (8 hard copies in total) of the complete application (i.e. the proposal and all

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                       UGM Partner Request for Applications 2010

attachments as highlighted above), in English, in 12-point font, as well as an electronic version of
the application on a flash disk, CD, or submitted via email. All applications must be signed with
an original signature by a representative authorized to commit the resources of the organization.
Please remember that additional pages on the main content of the application will deem
the entire application non-compliant.

Applicants are encouraged to write clearly and concisely and keep within the restrictions and
limits indicated and within the spaces provided on the cover page.

All sections must be completed. Failure to submit a complete application will result in an
application being rejected as non-compliant.

4.2     The Review Process
Applications for funding will undergo a review process as detailed below. Firstly, all Proposals
received will undergo a compliance review to ensure that all information has been provided as
detailed in the RFA. All applications deemed to be compliant, as laid out below, will be subject
to a technical review by a technical review panel made up of representatives from Pact,
Government of Swaziland, and/or other key stakeholders. Applicants should receive
communication on the outcome of the solicitation after eight weeks from the closing date of
applications.

UGM Partners: Full Proposal and Detailed Budget
Interested applicants are required to submit a full and detailed proposal of not more than
thirteen (13) pages excluding the following: cover page, Pact financial questionnaire,
certification regarding terrorism, CVs, and budget with notes. The detailed applications and
budgets will follow guidelines set in section 4.3 below with more detail in each section of the
proposal.

The following must be included in the 13 page limit:
    2 page Executive Summary
    5 page Technical Approach
    2 page Project Management
    2 page Project Monitoring and Reporting
    2 page Organizational Capacity Statement

The following must be included in the application but will not count against the 13 page limit:
    Cover Page
    Pact Financial Questionnaire
    Certification regarding terrorism
    Proposed staff CVs
    Budget with notes

4.3 UGM Partner Proposal Submissions
4.3.1 Proposal Submission Guidance
Applications and Budget content must include:

      A) Cover Page with program title; organization name, and contact information including
         address, telephone, fax, and email address using Annex 1 template.

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                     UGM Partner Request for Applications 2010

   B) Executive Summary - not to exceed two (2) pages including the following information:
          o Background (rationale/problem statement and activities implemented to date)
          o Summary of proposed activities, including objectives to be addressed, and
               explanation of how proposed activities contribute to the National Strategic
               Framework.
          o Description of Strategy and Activities
          o Anticipated results, including indicators/outcomes,
   C) Technical Approach and intended results - not to exceed five (5) pages which
      includes:
          o Rationale/problem statement
          o Project Results/Objectives at Output, Outcomes and Impact levels
          o Description of strategy and activities which will support the project results
          o An implementation plan which details description of activities related to the
               objectives of this RFA
   D) Project Management - not to exceed two (2) pages explaining how the organization
      intends to manage the implementation of the program and how its management will be
      structured.
   E) Project Monitoring, Evaluation and Reporting - not to exceed two (2) pages a
      monitoring and evaluation framework which details how results will be collected,
      measured, evaluated, and reported showing:
          o Indicators will be used to measure progress against results
          o Baseline information will be collected
          o Data that will be collected on the key indicators
          o Data analysis and reporting
          o Data quality management processes
          o Responsibilities for data collection, analysis and reporting
          o Available Information Technology infrastructure
          o How the applicant will monitor sub-partners.
          o Project evaluation
          o Please refer to the Pact Measurement Toolbox for Capacity Building (Annex 3)
               for further guidance on this section
   F) Budgets must be submitted using the budget form provided by Pact in Annex 2.
          o Budgets should be prepared in US dollars and Emalangeni using conversion rates
              in effect on the submission date (The template must be filled in twice, once in
              Emalangeni and once in US Dollars). Exchange rates used must be detailed in the
              budget or proposal.
          o Anticipated value of grants to be made.
          o Organizations are not authorized to include a flat percentage allocation for
              administrative costs in the budget submissions; administrative costs should be
              directly costed in the budget submitted.
          o Budgets should be accompanied by budget notes.
          o The summary budget is not included in the page limit for applications and should be prepared
              separately from the proposal.
   G) Budget Notes: To support the costs proposed, please provide detailed budget notes
      and/or a narrative explaining how all costs were derived. The combination of the cost
      data and breakdowns specified above and the cost notes must be sufficient to allow a
      determination of whether the costs estimated are reasonable and realistic. Generally the
      applicant must ensure the notes for each line item explains how the unit cost and
      quantity were arrived at. The following is provided as guidance on issues involving
      specific types of costs:

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                    UGM Partner Request for Applications 2010

         o Salary and Wages: Direct salaries and wages should be proposed in accordance
             with the applicant's personnel policies and should be based on the level of effort
             (percentage of time) each staff member is expected to contribute to this
             program.
         o Fringe Benefits: The estimated amounts should be in line with the applicant’s
             personnel policies and the estimated cost per staff member should be linked to
             the level of effort stated above. Applicants should include a detailed breakdown
             comprised of all items of fringe benefits (e.g., workers compensation, health and
             life insurance, retirement, employer’s contribution to pension or provident
             funds, etc.) and the costs of each as a percentage of salaries.
         o Travel and Transportation: The application should indicate the number of trips,
             domestic and international, and the estimated costs per trip. Specify the origin
             and destination for each proposed trip, duration of travel, and number of
             individuals traveling. Per diem should be based on the applicant's normal travel
             policies. (Applicants may choose to refer to the Federal Standardized Travel
             Regulations for cost estimates).
         o Equipment: Specify all equipment to be purchased, including the type of
             equipment, the manufacturer, the unit cost, the number of units to be purchased.
         o Materials and Supplies: Specify all materials and supplies expected to be purchased,
             including type, unit cost and units.
         o Communications: Specific information regarding the type of communication cost at
             issue (i.e. mail, telephone, cellular phones, internet etc.) must be included in
             order to allow an assessment of the realism and reasonableness of these costs.
         o Consultants: Information sufficient to determine the reasonableness of the cost of
             each specific consultant expected to be hired must be included. This category
             should not include any full time employees. Consultant costs should be linked
             to proposed activities.
         o Allowances: Allowances should be broken down by specific type and by person.
             Allowances should be in accordance with the applicant’s policies and the
             applicable regulations and policies.
         o Direct Facilities Costs: Specific information regarding the cost of any facilities
             needed to perform program activities. The information provided should include
             the unit cost (rent), the time period the facilities are needed and the number of
             facilities. Only facilities that directly benefit the program activities should be
             included in this category; all other facility costs should be included in the indirect
             cost category.
         o Other Direct Costs: This may include report preparation costs, passports and visas
             fees, medical exams and inoculations, and insurance (other than insurance
             included in the applicant's fringe benefits, as well as any other miscellaneous
             costs which directly benefit the program proposed by the applicant. The
             narrative should provide a breakdown and support for all other direct costs. If
             seminars and information sessions are included, the applicant should indicate the
             subject, venue and duration of proposed information sessions and seminars, and
             their relationship to the objectives of the program, along with estimates of costs.
   H) An Organizational Capacity Statement - not to exceed two (2) pages - that provides an
      understanding of the applicant’s capacity to implement the proposed program.

          o Capacity to manage a portfolio of multiple projects technically, administratively,
            and financially.


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                        UGM Partner Request for Applications 2010

             o Previous experience managing a project of similar size and complexity, including
               experience working collaboratively with diverse stakeholders and experience with
               donor funding.
             o Previous experience managing grants or projects implemented by other external
               stakeholders.
             o Previous experience in technical assistance to other organizations.

4.3.2 Proposal Compliance Evaluation Criteria
All proposals received by the deadline will be reviewed for compliance with preparation
guidelines as summarized in the tables below. Only applications deemed to be compliant will
then be evaluated technically for their responsiveness to the program requirements. Proposals
that are non-responsive to any of the below criteria will not be considered for further review.

The requirements are:

        Written in English
        Typed in a Microsoft Word compatible program, single-spaced with a 12 point font and
        one inch margins. However, the text in any workplan and monitoring and evaluation
        tables that applicants may elect to include within the set page limit may be formatted in a
        10-point font.
        Evidence that the applicant or primary implementer of the proposed project is a Swazi
        organization.
        Received in hard copy and electronic copy (all documents submitted as part of the
        application) on flash-disk or CD.
        Single sided original of the application which should be “photo-ready,” i.e., printed on
        one side only and unbound; and seven (7) additional copies for distribution. (Eight (8)
        hard copies received in total)
        Labeled with page numbers and name of applicant organization on each and every page.
        Submitted by 5:00 pm 17 June 2011 to Pact Swaziland offices as per the address laid
        out below.
        Within the set 13 pages limit that includes Executive Summary, Project Management,
        Technical Approach, Project Monitoring and Reporting, Organizational Capacity
        statement, (excluding key personnel CVs, annexes, and the budget).
        Proposal cover page in format provided by Pact, as attached to the RFA in, Annex 1, to
        be submitted as the front page of the application and must be fully completed.
        Proposal documents include required Annexes as highlighted in the RFA (signed non-
        terrorist certification, Pact Financial Questionnaire, completed budget template and
        cover page).
        Budget completed in format provided by Pact, as attached to the RFA, Annex 2.

4.3.3     Proposal Technical Evaluation Criteria

Proposal Technical Evaluation Criteria
All applications deemed to be compliant, as laid out above, will be subject to a technical review
by a technical review panel made up of representatives from Pact, USAID, PEPFAR,
Government of Swaziland, and/or other key stakeholders. All technical reviewers will be
subjected to a screening process to eliminate any conflict of interest. Pact will instruct the
technical review committee to evaluate all applications according to the criteria established in this
section and weighted as follows:


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                     UGM Partner Request for Applications 2010

Technical Approach and Feasibility of Program Design                          40 points
Monitoring, Evaluation and Reporting and Sustainability                       15 points
Organizational Capacity, Key Personnel, and Past Performance                  25 points
Cost Effectiveness                                                            20 points

Technical Approach and Feasibility of Program Design                          40 points
Reviewers will determine whether the proposed technical approach conforms to local, regional,
or internationally recognized standards and best practices and can be reasonably expected to
achieve stated results. In addition, reviewers will evaluate whether the proposed approaches are
appropriate to the objectives of this program. Do the candidate’s proposed approaches to
umbrella grants management reflect a comprehensive understanding of the project’s objectives?
Reviewers will also examine whether the approach reflects theory and best/promising practices
in umbrella grants management.
The reviewers will assess:

      The strength of the technical design to determine if it will indicate ability to provide
       support to Partners in finance, grants and monitoring, evaluation and reporting.
      Whether or not the applicant emphasizes host country and local organization capacity-
       building as an important element of the overall grants management program.
      Financial and grants management procedures and staff in place to determine if they are
       knowledgeable about and experienced in managing donor funds
      Activities to determine if they encompass a comprehensive approach that appropriately
       integrates different types of technical assistance.
      Applicants’ implementation plan to determine if the objectives, output, outcomes and
       impact level results are clear and achievable.

Monitoring, Evaluation and Reporting and Sustainability                           15 points
Reviewers will assess whether the application includes ways of measuring progress (e.g. data
management processes, data quality assurance, staff skills and capacity, appropriate IT
infrastructure, and documentation/reporting) that are feasible and relevant and whether the
applicant has proposed methods of data collection that are realistic and achievable. Does the
application have a monitoring and evaluation framework which details how results will be
collected, measured, evaluated and reported with a clear description of anticipated results,
including indicators and outcomes? The review will also assess how the applicant will monitor
partners? Additionally, does the application include a plan to use the data for reflection on
programmatic weaknesses, so that the organization will use M&E information to improve service
delivery?

All applicants must describe their plans for sustainability of their projects after two years.
Sustainability plan addresses the likelihood that the program being supported will continue
beyond and without USAID funding, and proposes a feasible sustainability strategy.
Sustainability plan addresses technical expertise, management, staffing, financial sustainability,
and relationship with Swazi Government, other NGOs, and/or the private sector.
Organizational Capacity, Key Personnel, and Past Performance               25 points
Reviewers will assess the applicant’s capacity to implement the proposed program. The
applicant’s vision, mission and goals and how they relate to the proposed project; relevant
experience in relation to the proposed program; key personnel, including name and short
description of experience and capacity relevant to the program objectives; and comparative
advantage in carrying out this work, such as prior successes in similar endeavors will also be

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                      UGM Partner Request for Applications 2010

assessed. Organizations that do not demonstrate the capacity to implement the scale of activities
proposed will be deemed non-compliant. In addition, the review will also assess:

               Previous experience managing a project of similar size and complexity, including
                experience working collaboratively with diverse stakeholders from governmental
                and non-governmental sectors and experience with donor funding
               Financial and grants management procedures and staff in place to determine if
                they are knowledgeable about and experienced in managing donor funds.
               Capacity to manage a portfolio of multiple projects technically, administratively,
                and financially will be assessed.
               Monitoring and evaluation procedures and staff in place will be assessed to
                determine their capability of producing accurate and timely reports.
               Previous experience managing grants or projects implemented by other external
                stakeholders.
               Experience in providing organizational capacity-building assistance.
               Previous experience in providing technical assistance to other organizations.
               How the organization will manage the implementation of the program and how
                its management will be structured?

Cost Reasonableness                                                             20 points
The application will be evaluated based on the realism of proposed costs, including program vs.
administrative costs, and subcontracts. The total cost will be evaluated for reasonableness and
appropriateness as it relates to the proposed program activities and results. In addition the review
will assess the following:

       Is the budget in US$?
       Stated exchange rate
       Does the budget include clear notes?

4.4 Question and Answer Period
There will be an open question and answer period from 17 May 2011 to 09 June 2011. Interested
applicants may submit questions in writing by fax or e-mail or post them directly on the website.
Answers to all questions will be posted on the website indicated below. In order to keep all
applicants well-informed, organizations that download the RFA from the internet site are
encouraged to register by sending an email to: swazilandrfa@pactworld.org

All questions and answers will be posted on the website anonymously; however for our record
purposes please include the following information anytime a question is made:

       Name of organization
       Point of contact
       Email address
       Fax number
       Telephone number

Answers to all questions will also be posted to the Pact website at:
http://pactworld.org/cs/swaziland/swazilandrfa



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                      UGM Partner Request for Applications 2010

A pre-bidders information session will be held 01 June 2011 from 09:00 a.m. to 11:00 a.m. in
Mbabane. Representatives from Pact will be available to answer questions on the RFA and
application process. Pact is not responsible for handing out information provided at this
information session to people that do not attend.

4.5 Closing Date
The closing date for UGM Partner Full Proposals is 17 June 2011. All applications received by
the closing date that comply with the instructions contained in this RFA will be considered for
funding. Applications must be received on or before 5:00 p.m. Mbabane, Swaziland time
on the closing date at the following location:
                Second Floor
                Nkhontfotjeni Building
                Cnr Dzeliwe and Msakato Streets
                Mbabane
                Swaziland

4.6 Awards
Pact anticipates notifying applicants of the status of applications within eight (8) weeks of the
closing date. Following an organizational review by local Pact staff, awards will be made shortly
thereafter. Pact will allocate funding according to the ranking of qualified applications until all
resources made available by USAID/PEPFAR are committed. Pact reserves the right to reject all
applications, award one or multiple awards, and to extend this RFA by including additional
closing dates.

4.7 Authorization
This program is authorized in accordance with the terms and conditions of Pact’s Associate
Award with the U.S. Agency for International Development and the Foreign Assistance Act of
1961, as amended. The source of funds is the “United States Leadership against HIV & AIDS,
Tuberculosis, and Malaria Act of 2003”.

4.8 Administration of Sub-awards
Grant awards will be administered in accordance with USAID policies and procedures and the
applicable cost principles. This information may be found at the following websites:

Standard Provisions for Non-US, Nongovernmental Organizations
               http://www.usaid.gov/policy/ads/300/303mab.pdf

Cost Principles for Non-Profit Organizations
                http://www.whitehouse.gov/omb/circulars/a122/a122.html

4.9 Certifications
Local organizations are notified of the following additional requirements for Emergency Plan
Funds:

a.     Compliance with and execution of the Certification Regarding Assistance to Terrorists
(Appendix C)
b.     Organizations are hereby notified that in order to be eligible for Emergency Plan
funding, they must have a policy that explicitly opposes, prostitution and the trafficking in
persons.

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                     UGM Partner Request for Applications 2010

c.      Organizations are further notified that any organization that is otherwise eligible to
receive Emergency Plan funds to prevent, treat, or monitor HIV & AIDS shall not be required,
as a condition of receiving the assistance, to endorse or utilize a Multisectoral approach to
combating HIV & AIDS, or to endorse, utilize, or participate in a prevention method or
treatment program to which the organization has a religious or moral objection.


5 Pact Program Implementation Involvement and Oversight
During program implementation, Pact will have the authority to review and approve the
following:
    1) Recipient's annual implementation plan and budget
    2) Recipient's training materials
    3) Sub-grants or sub-contracts issued by the recipient
    4) Key personnel

Pre-award assessments covering the recipient’s financial and management capacity will be
required for all grants and cooperative agreements.

6 Annexes
Annex 1: RFA Cover Page (Required)
Annex 2: Pact Budget Template (Required)
Annex 3: Capacity building measurement tool box
Annex 4: Certification Regarding Terrorist (Required)
Annex 5: Pact Financial Questionnaire (Required)
Annex 6: Examples of UGM Partner Activities




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                    UGM Partner Request for Applications 2010




        Annex 1: Pact Swaziland 2011 RFA Proposal Cover Sheet



Organization Name: _________________________________________________________

Project Name:        _________________________________________________________

Contact Name, Title:_________________________________________________________

Address:             _________________________________________________________

City:                _________________________________________________________

Country:             _________________________________________________________

Telephone:           _________________________________________________________

Fax Number:          _________________________________________________________

E-mail Address:      _________________________________________________________


Type of Organization:          ___________________________________________________
Select one: Swaziland NGO, FBO, CBO and other (specify)

UGM Partners Technical Area:                               Funding Request:
(Select all applicable categories)
 Capacity Building in MER
 Capacity Building in Financial Management
 Grants Management                                        Year 1 ONLY:
                                                           USD_______________

Duration of Funding Request (in Years):  One  Two




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                             UGM Partner Request for Applications 2010

     Annex 2: Budget Template


                                     Pact Swaziland Request For Applications 2011
                                              UGM - Summary Budget


     Organization Name:

       Line                                                      Requested from Pact
                           Line Item Categories                                                         Total cost
       No.


         1        Personnel (Salaries)

         2        Fringe Benefits

         3        Travel

         4        Equipment and Supplies

         5        Monitoring and Evaluation

         8        Trainings and Workshops

         9        Other Direct Costs

                  TOTAL

Please note the following when completing the summary budget:
 1. Please use spreadsheet template provided
 2. Complete columns for the program duration as proposed in the Proposal
 3. Use US dollars amounts based on current exchange rate. Do not change the line item categories listed in
     the template, however, feel free to add sub-categories under the main categories as needed
 4. List at least three key staff (program, finance, monitoring) and include the level of effort allocated to the
     proposed project for each staff member listed as a percentage of their overall time
 5. Fringe benefit rates should be briefly explained in terms of what costs are covered in the fringe rate as per
     the applicant’s organizational policy, if applicable
 6. Travel should be separated as local or international, as needed; any international travel should indicate the
     origin and destination
 7. Large equipment cost amounts (over $5,000) should also be briefly noted and justified in the proposal, if
     applicable
 8. Training and workshops should be briefly noted in the Concept Paper, if applicable
 9. Must not include any flat rate overhead or indirect cost rates; all costs must be allocated to a line item
 10. Do not include any miscellaneous or contingency costs




     Page 18 of 30
                         UGM Partner Request for Applications 2010

       Annex 3: Pact’s Measurement Toolbox for Capacity Building

Key concept to     Definition /key        Relevant package of     Processes /Tools /     Frequency   Lead agency /
be measured        fundamentals of        indicators              Methods to be used                 responsibility
                   the concept                                                                       for acquiring
                                                                                                     data
Increased          To measure             Pact 1: Percentage      Organizational         Annual      Pact MER
capacity of        improved               of Partners which       Development,                       Advisor,
Partners to        organizational         improve by at least     Monitoring
implement          systems and staff      30% annually (or        Evaluation and                     Programs
programs           skills to deliver      reach Level 4) on       Reporting,                         Manager,
                   HIV & AIDS             Pact’s Consolidated     Management and         Annual      Grants
                   services               Organizational          HIV & AIDS                         Officer,
                                          Capacity scale          Technical
                                                                  Assessments                        HIV &
                                          Pact 2: Percentage                             Monthly,    Technical
                                          of Partners who         Annual Partner         Quarterly   Manager
                                          report satisfaction     Feedback Survey
                                          with the support
                                          they receive from
                                          Pact

                                          Pact 3: Number of       Site Visit Reports,
                                          Global Fund             Minutes, Emails,
                                          Recipients provided     Technical
                                          with technical          assistance Summary
                                          assistance              reports
                                          (mentoring,
                                          training) to
                                          implement HIV &
                                          AIDS programs
                                          (disaggregated by
                                          type of Technical
                                          assistance)
Key concept to     Definition /key        Relevant package of     Processes /Tools /     Frequency   Lead agency /
be measured        fundamentals of        indicators              Methods to be used                 responsibility
                   the concept                                                                       for acquiring
                                                                                                     data
Capability of      Ability of Partners    Pact 4: Percentage      Pact staff conducts    Annual      Program
Partners to        to plan for and        of Partners which       Organizational                     Manager
manage             manage resources       improve by at least     Development,
programs           for efficient          30% annually (or        scoring the capacity
efficiently and    program delivery       reach Level 4) on       of Partners in terms
effectively                               Pact’s Governance,      of implementing
(organizational,   Ability of Partners    Leadership and          governance,
technical, &       to hire, keep, train   Sustainability          management
financial          and manage quality     Capacity scale          practices,             Monthly,
management         and appropriate        (disaggregated by       sustainability, and    Quarterly
capabilities)      staff for their        type of technical       external relations
                   programs               assistance and by       systems for their
                                          source of technical     organization, this
                                          assistance [i.e. Pact   assessment
                                          or Support
                                          Partner/s])             Site Visit Reports,
                                                                  Minutes, Emails,
                                                                  Technical
                                                                  assistance Summary
                                                                  reports


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                          UGM Partner Request for Applications 2010

Improved            Ability of Partners   Pact 5: Percentage      Pact staff conducts     Annual       Pact HIV &
Technical           to identify needs,    of Partners which       Technical                            AIDS
Capacity of         and develop and       improve by at least     assessment scoring                   Technical
Implementing        implement systems     30% annually (or        the capacity of                      Manager
Partners to         for effective HIV     reach Level 4) on       Partners in terms of
deliver HIV         & AIDS program        Pact’s HIV & AIDS       implementing HIV
services            management            Technical Capacity      & AIDS programs
                                          scale (disaggregated    for their               Annual
                                          by type of technical    organization, this
                                          assistance and by       assessment is
                    Ability of Partners   source of technical     updated annually
                    to institutionalize   assistance [i.e. Pact
                    and monitor           or Support              Site visit checklists
                    implementation of     Partner/s])             to assess
                    appropriate                                   standardization of      Monthly,
                    standard              Pact 6: Percentage      processes in            Quarterly
                    procedures for        of partners who         different program
                    service delivery      attain at least 85%     sites, level of
                                          of annual PEPFAR        service and change
                    Ability of Partners   targets                 over time.
                    to communicate        (disaggregated by
                    and network on        technical area)
                    HIV & AIDS
                    issues and                                    Site Visit Reports,
                    standards of                                  Minutes, Emails,
                    practice                                      Technical
                                                                  assistance Summary
                    Ability to identify                           reports
                    and maximize
                    linkages and
                    Partnerships for
                    referral services
Key concept to      Definition /key       Relevant package of     Processes /Tools        Frequency    Lead agency /
be measured         fundamentals of       indicators              / Methods to be         of data      responsibility
                    the concept                                   used                    collection   for acquiring
                                                                                                       data
Improved            Ability of Partners   Pact 7: Percentage      Pact conducts           Annual
Implementing        to develop            of Partners which       strategic                            MER Advisor
Partners’           appropriate           improve by at least     information
capability to       indicators and        30% annually (or        assessment scoring
monitor and         targets for their     reach Level 4) on       the capacity of
evaluate their      programs based        Pact’s MER              Partners in terms
own programs,       on, budgets and       Capacity scale          of implementing         Semi-
deliver quality     timeframes            (disaggregated by       monitoring,             annual,
data and use info                         type of technical       evaluation and          Annual
for results         Availability of       assistance and by       reporting systems
oriented            sound                 source of technical     for their
management of       comprehensive         assistance [i.e. Pact   organization.
programs            data among            or Support
                    Partners for          Partner/s])             Ongoing site visits
                    evidence-based                                and data
                    planning and target                           verification to         Annual
                    setting               Pact 8: Number of       confirm reported
                                          Partner                 results
                    Ability of Partners   organizations
                    to institutionalize   passing annual Pact     Routine data
                    and sustain MER       data quality audits     quality                 Monthly,
                    systems               (annual update)         assessments and         Quarterly
                                                                  audits
                    Increased

Page 20 of 30
                           UGM Partner Request for Applications 2010

                      capability of
                      organizations to                              Ongoing
                      measure their                                 document review
                      efficiency,                                   and site visits for
                      effectiveness and                             evidence of data
                      report on results                             usage

                      Ability of Partners                           Site Visit Reports,
                      to track and                                  Minutes, Emails,
                      monitor the quality                           Technical
                      of services they                              assistance
                      render                                        Summary reports
Key concept to        Definition /key       Relevant package of     Processes /Tools /     Frequency    Lead agency /
be measured           fundamentals of       indicators              Methods to be          of data      responsibility
                      the concept                                   used                   collection   for acquiring
                                                                                                        data
Improved              Ability of Partner    Pact 9: Percentage      Management             Annual       Grants officer
financial             organizations to      of Partners which       capacity
management            sustain USG           improve by at least     assessment will be                  Finance
systems and           funding               30% annually (or        conducted to                        Officer
Reporting of                                reach Level 4) on       identify pre-award
Implementing                                Pact’s Management       conditions and                      Grants,
Partners.                                   Capacity scale          identify financial     Annual       Finance and
                      Ability among         (disaggregated by       management                          Operations
Improved              Partners and sub-     type of technical       capacity gaps.                      Manager
financial viability   Partners to utilize   assistance and by
of Implementing       funding effectively   source of technical     Pact finance team
Partners.             (burn rate ) and      assistance [i.e. Pact   will consolidate
                      account for           or Support              information on         Monthly
                      (organizational       Partner/s])             Partners funded
                      capacity) external                            and annual
                      funds                 Pact 10: Amount of      amounts obligated
                                            PEPFAR funding          to Partners by         Monthly,
                                            received by             USG and track          semi-
                                            Implementing            trended over the       annual &
                                            Partners through        grant period           Annual
                                            Pact managed grants
                                                                    Pact finance team
                                                                    will track the         Monthly,
                                            Pact 11: Percentage     quality of financial   Quarterly
                                            of Partners who         reporting by
                                            submit accurate         Partners using a
                                            financial reports the   monthly financial
                                            first time each         reporting tracker.
                                            month
                                                                    Pact finance team
                                                                    will monitor
                                            Pact 12:                funding utilization
                                            Implementing            rates and actual
                                            Partner pipelines       versus planned
                                            and burn-rates          budget expenditure
                                                                    reviews and burn
                                                                    rate.

                                                                    Site Visit Reports,
                                                                    Minutes, Emails,
                                                                    Technical
                                                                    assistance
                                                                    Summary reports
Implementing          Successful            Pact 13: Percentage     Pact finance team      Monthly      Program

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                       UGM Partner Request for Applications 2010

and Support       disbursement of      of approvable         will track the                     Manager
Partner(s)        funding to all       financial reports     quality of financial
awarded grants    allocated Partners   from Implementing     reporting by                       Grants
to access funds                        Partners that Pact    Partners using a                   Officer
for delivering    Establishment of     has paid within 10    monthly financial
HIV & AIDS        effective            working days          reporting tracker.     Annually
services          mechanisms for
                  grant monitoring
Pacts Grant       and management       Pact 14: Percentage   Pact internal
management                             of Implementing       program review         Monthly,
processes         Ability to provide   Partners whose        processes.             Quarterly
                  timely and           grant agreements
                  complete             are active by 1
                  accountability for   October of each       Site Visit Reports,
                  funds disbursed by   year                  Minutes, Emails,
                  USAID to Pact                              Technical
                                                             assistance
                  Ability to provide                         Summary reports
                  appropriate and
                  timely technical
                  assistance to the
                  various Partners




Page 22 of 30
                      UGM Partner Request for Applications 2010

      Annex 4: Certification Regarding Terrorist Activity

By signing and submitting this application, the prospective recipient provides the certification set
out below:

1. The Recipient, to the best of its current knowledge, did not provide, within the
previous ten years, and will take all reasonable steps to ensure that it does not and will not
knowingly provide, material support or resources to any individual or entity that commits,
attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed,
attempted to commit, facilitated, or participated in terrorist acts, as that term is defined in
paragraph 3.

2. The following steps may enable the Recipient to comply with its obligations under paragraph
1:

a. Before providing any material support or resources to an individual or entity, the Recipient will
verify that the individual or entity does not (i) appear on the master list of Specially Designated
Nationals and Blocked Persons, which list is maintained by the U.S. Treasury’s Office of Foreign
Assets Control (OFAC) or (ii) is not included in any supplementary information concerning
prohibited individuals or entities that may be provided by USAID to the Recipient.

b. Before providing any material support or resources to an individual or entity, the Recipient
also will verify that the individual or entity has not been designated by the United Nations
Security (UNSC) sanctions committee established under UNSC Resolution 1267 (1999) (the
“1267 Committee”) [individuals and entities linked to the Taliban, Osama bin Laden, or the Al
Qaida Organization]. To determine whether there has been a published designation of an
individual or entity by the 1267 Committee, the Recipient should refer to the consolidated list
available online at the Committee’s website:
http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm.

c. Before providing any material support or resources to an individual or entity, the Recipient will
consider all information about that individual or entity of which it is aware and all public
information that is reasonably available to it or of which it should be aware.

d. The Recipient also will implement reasonable monitoring and oversight procedures to
safeguard against assistance being diverted to support terrorist activity.

3. For purposes of this Certification:

a. “Material support and resources” means currency or monetary instruments or
financial securities, financial services, lodging, training, expert advice or assistance, safe-houses,
false documentation or identification, communications equipment, facilities, weapons, lethal
substances, explosives, personnel, transportation, and other physical assets, except medicine or
religious materials.”
b. “Terrorist act” means-

(i) An act prohibited pursuant to one of the 12 United Nations Conventions and Protocols
related to terrorism (see UN terrorism conventions Internet site:
http://untreaty.un.org/English/Terrorism.asp); or


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                      UGM Partner Request for Applications 2010

(ii) An act of premeditated, politically motivated violence perpetrated against noncombatant
targets by sub-national groups or clandestine agents; or

(iii) Any other act intended to cause death or serious bodily injury to a civilian, or to any other
person not taking an active part in hostilities in a situation of armed conflict, when the purpose
of such act, by its nature or context, is to intimidate a population, or to compel a government or
an international organization to do or to abstain from doing any act.

c. “Entity” means a partnership, association, corporation, or other organization, group or
subgroup.

d. References in this Certification to the provision of material support and resources shall not be
deemed to include the furnishing of USAID funds or USAID-financed commodities to the
ultimate beneficiaries of USAID assistance, such as recipients of food, medical care, micro-
enterprise loans, shelter, etc., unless the Recipient has reason to believe that one or more of these
beneficiaries commits, attempts to commit, advocates, facilitates, or participates in terrorist acts,
or has committed, attempted to commit, facilitated or participated in terrorist acts.

e. The Recipient’s obligations under paragraph 1 are not applicable to the procurement of goods
and/or services by the Recipient that are acquired in the ordinary course of business through
contract or purchase, e.g., utilities, rents, office supplies, gasoline, etc., unless the Recipient has
reason to believe that a vendor or supplier of such goods and services commits, attempts to
commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to
commit, facilitated or participated in terrorist acts.

This Certification is an express term and condition of any agreement issued as a result of this
application, and any violation of it shall be grounds for unilateral termination of the agreement
by USAID prior to the end of its term.


Signed: __________________________________ __________________________
(Typed Name and Title) Date
(Name of Organization)




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                       UGM Partner Request for Applications 2010

      Annex 5: Financial Questionnaire

                                         PACT, INC.
                Pre-Award Financial Questionnaire-Recipients of Pact, Inc. Funding

Pact, Inc. uses this questionnaire to verify recipient ability to comply with requirements
associated with government and multi-lateral donor agency funding, including 22 CFR 226, the
applicable OMB Circulars on the Cost Principles and OMB Circular, A-133 on audit.
For non-U.S. organization, Pact, Inc. recognizes that the accounting practices and legal
framework, and practices regarding disclosure of information vary from country to country.
However, the information requested in the questionnaire is necessary for Pact, Inc. to determine
the recipient’s preparedness for administering donor agency funding and to assess what, if any,
guidance may be required. Pact, Inc. asks that the recipients complete the questionnaire and
provide full and complete information.

Recipient Organization:     __________________________________________________
                 Address:   __________________________________________________
                            __________________________________________________
                            __________________________________________________
       Telephone/Fax:       __________________________________________________
Individual completing this form:

_______________________________________________________________________
(Name and Title)

I. GENERAL

   1. Type of Organization: Non-Profit___ Educational___ Government Agency_______
                                For-Profit___ Faith-Based _________Other______________

   2. Is the Organization incorporated/registered/licensed as a legal entity? Yes___ No___

       a. If YES: Place of Incorporation/Registration (Country): ______________________
                                Incorporation/Registration Date: ________________________

       b. If NO: List parent company/organization name and address OR explain status:
           __________________________________________________________________

        7. Organization’s average annual income for the past 3 years ____________________


II. ACCOUNTING SYSTEM-AUDIT

   1. What is the ending date of your fiscal year? ___/___/___ (MM/DD/YY)

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                    UGM Partner Request for Applications 2010

   2. Does the accounting system identify the receipt and expenditure of program/projects
      funds separately from each contract/grant?
       Yes____ No____
   3. Does the accounting system provide for the recording of expenditures for each
      program/project by the same or equivalent cost categories as shown in approved
      contract/grant budgets?
       Yes____ No____
   4. Does the organization prepare annual financial statements (Balance Sheet/Income and
      Expense Statement)?
       Yes____ No____
   5. Does the organization prepare annual budgets?
       Yes ____No____
   6. Is a yearly independent financial audit performed for the organizations?
       Yes____ No____
   7. If the organization is a non-U.S. entity, please describe any known accounting practices
      which differ from U.S. accounting practices:
   ________________________________________________________________________
   ________________________________________________________________________
   ________________________________________________________________________

III. INDEPENDENT AUDITING FIRM

Please provide the name, address, phone number and contact person of the organization’s
accounting firm.

IV. U.S. GOVERNMENT (USG) FUNDING [If no USG funds have been received by the
organization, please proceed to part V].

   1. Is the organization generally familiar with the existing regulations and guidelines
      containing the cost principles and procedures for the determination and allowance of
      costs in connection with U.S. Federally funded projects (OMB Circular A-122 for non-
      profit organizations; OMB Circular A-128 for institutions of higher learning; FAR 31.2
      for for-profit organizations)?
       Yes____ No____
   2. If applicable, please indicate the total amount of USG funds received during the most
      recent fiscal year:
       Funding directly from the U.S. Government: ________________
       USG funding from Other Organizations __________________
       List USG donor agencies:
       __________________________________________________________
       Amount of Other Donor Funding: _______________________________
   List donor organizations:

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                          UGM Partner Request for Applications 2010

    _____________________________________________________________
    3. Is the organization receiving any USG funding directly from a U.S. Government agency
       or through another organization, during the current fiscal year?
         Yes____ No____
         If YES, what amount? _________________________________________
[If the organization is a for profit, please proceed to Part V].
    4. Has the organization ever been audited in accordance with OMB Circular A-133
       guidelines for USG Funds or the USAID Recipient-contracted audit procedures?
         Yes____ No____
         If so, covering what period? __________________________________________
         What was the auditor’s opinion? (Circle One)
         Unqualified Approval / Qualified Approval / No opinion rendered
    NOTE: U.S. based non-profit organizations or institutions of higher learning receiving a

    total of US$300,000 or more in one year from USG sources is subject to an A-133 audit.

    Non-U.S. based organizations receiving over $300,000 from USG sources must have an

    organization-wide audit, similar to the A-133.

    Is your organization formally excluded (debarred or suspended) from receiving US

    Government funding?

         Yes____ No____

V. DOCUMENTATION
Please provide a copy of the following documents, if available:
    1.        A copy of the organization’s certificate of registration, incorporation or an equivalent
              document granting legal status to do business. [See I.2 above]
    2.        A copy of the organizations bylaws.
    3.        A copy of the most recent annual report, or some other document(s), which includes:
              (a) mission statement, (b) list of current Board of Directors, and (c) key personnel.
    4.        A list of individuals authorized to sign on behalf of the organization.
    5.        A copy of the organization’s audited or prepared Financial Statements for the prior
              three years.
    6.        An organization Chart
    7.        The organization’s budget for the current fiscal year (if within 2 months of FY end,
              please include projected budget for next fiscal year)
    8.        A copy of the organization’s latest A-133 audit report, if applicable.


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                     UGM Partner Request for Applications 2010

   *Please attach any traditional information you believe will be helpful in providing the
   information requested above or for addressing any special accounting or legal issues.
   Signature of head of the organization or his/her designee:


   ____________________________________                      __________________________
   Name and Title                                            Signature and Date



   Signature of financial officer if different from above:


   ____________________________________                      __________________________
   Name and Title                                            Signature and Date



   For Pact, Inc. use only:
   Prog. Admin: ____________________                         Gov. Acct: _________________
   Comments:_______________________________________________________________
   ________________________________________________________________________
   ________________________________________________________________________
   ________________________________________________________________________
   ________________________________________________________________________




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                     UGM Partner Request for Applications 2010

      Annex 6: Example Subject Areas for the UGM Partner RFA

The UGM focuses on strengthening the organizational effectiveness of NGOs to improve their
capacity in grants management, financial accountability, and monitoring and evaluation for
results-oriented programming Increased ability to articulate program goals and activities, develop
realistic budgets and monitor activities greatly enhances the ability of Partner organizations to
leverage and diversify their funding base to help ensure they succeed with their programs. The
UGM builds the capacity of organizations in a number of critical areas including but not limited
to, the following:
          Grants management (ensure compliance with donor rules and regulations in the
             implementation of the funded project).
          Budgeting and Financial management (budget development and monitoring, accounting
             policies, internal controls, procurement, travel policies)
          Monitoring, Evaluation, and Reporting (to meet PEPFAR and organizational
             requirements)

The UGM utilizes the Management Capacity Assessment (MCA) and MER Capacity Assessment
to conduct in-depth reviews of each Partner’s strengths and weaknesses in key areas including,
but not limited to, financial management, infrastructure, human resources and administration,
external relations and partnerships, and sustainability. In collaboration with each Partner, the
UGM develops an institutional strengthening plan (ISP), based on capacity assessment results,
that details planned interventions required for the Partner to achieve increased capacity for
quality service delivery. The interventions focus primarily on organizational systems
development. The UGM staff provides tailored, on-site assistance to each Partner to identify and
address priority areas of organizational weakness. In addition to individual assistance, the UGM
also conducts customized group trainings to address cross-cutting institutional needs among
Partners. The series includes financial management systems and monitoring and evaluation
training among others.

Grants-Management
The selected UGM will award and administer grants to Implementing Partners selected through
the Request for Applications (RFA) competitive process to implement HIV & AIDS prevention
activities, treatment programs, and basic health care and support activities, including those
supporting orphans and vulnerable children. This involves an array of related activities including
award and administration of grants, monitoring of grant progress, meeting reporting
requirements, and grant closeout. The umbrella mechanisms will monitor program
implementation and adherence to USG financial regulations. This involves provision of
extensive technical assistance to partners on project development and implementation, financial
management, monitoring and evaluation, and reporting. All these functions provide key support
to organizations so they better implement the aforementioned PEPFAR HIV & AIDS activities.

   Services include, but are not limited to, the following areas:
    Development of solicitation documents
    Management of requests for and receipt of proposals
    Identification and coordination of technical review committees
    Oversight of proposal reviews
    Pre-award assessments
    Sub-grants award
    Disbursement and management of grant funds and expenditures

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                          UGM Partner Request for Applications 2010

        Oversight of Partner financial and performance reporting systems

Finance Management
The UGM Partner will closely monitor the performance of each Partner, providing assistance
when and where required. All Partners submit monthly financial reports that detail and
document expenditures; semi-annual and annual narrative reports; and quarterly data. The UGM
reviews each report submission and uses the information provided to monitor program progress
and identify opportunities for additional support.

The UGM Partner finance staff visit Partners every quarter to audit program expenses and
supporting documentation; ensure compliance with USAID rules; and check progress towards
cost share requirements. The UGM also conducts monthly monitoring site visits and at least one
joint progress meeting with USAID and Partners bi-annually based on availability of USAID.
Through ongoing monitoring and reporting activities, the UGM ensures that Partners implement
programs as proposed, properly expend funds, and that necessary program or budgetary
adjustments through an award modification are timely and appropriate.

Monitoring, Evaluation and Reporting
The umbrella mechanisms will provide support to prevention, counseling and testing, care
(including OVC), and treatment partners in monitoring, evaluation and reporting (MER) in order
to strengthen partner’s capacities to generate information for decision making. MER systems
strengthening support to implementing partners include: development of MER and Data quality
Management plans, development of data collection tools including databases, data collation,
analysis and reporting tools, Semi - annual and annual reporting, program planning and target
setting, surveys and evaluations, data quality verifications, data quality assessments and audits. In
addition, the umbrella mechanism will provide supportive supervision to provide guidance,
monitoring, mentoring and oversight through site visits, technical assistance, and performance
evaluation. All these functions provide key support to organizations so they better implement
PEPFAR HIV & AIDS activities.

Please note that these examples are not exhaustive nor are they necessarily targeted for funding.




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