Funding Opportunity Title: Malawi Local Capacity Development Initiative

Announcement Type: Annual Program Statement

Funding Opportunity Number: APS-612-12-000001

APS Issuance Date: May 11, 2012

APS Closing Date: May 10, 2013

Pre-Proposal Conference Date: May 15, 2012

Deadline for submission of Questions: May 24, 2012under Round I

Deadline for Submission of Concept Papers: June 14, 2012 at 4:00 pm, local time, Lilongwe,

under Round I Malawi.

Eligibility: Local and Regional Organizations/Firms/NGOs

Submit Concept Papers to: OAA-SOLICIT-LILONGWE@usaid.gov (for electronic copies)USAID/Malawi, Nico House, P.O Box 30455, Lilongwe (for hard copies)

The purpose of this Annual Purpose Statement (APS) is to disseminate information to prospective applicants so that they may develop and submit applications for USAID funding. This APS: (A) describes the types of activity for which applications will be considered; (B) describes the funding available and the process and requirements for submitting applications; (C) explains the criteria for evaluating applications; and (D) refers prospective applicants to relevant documentation available on the internet. USAID/Malawi anticipates awarding multiple grants and/or cooperative agreements as a result of this APS.

Pursuant to 22 CFR 226.81, it is USAID policy not to award profit under assistance instruments.However, all reasonable, allocable, and allowable expenses, both direct and indirect, which are related to the program and are in accordance with applicable cost standards may be paid under the award.

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In accordance with ADS 304.3.1 (b), the principal purpose of the relationship with the Applicant under the subject program is to transfer funds to accomplish a public purpose of support or stimulation, which is authorized by Federal statute.

The APS provides prospective applicants with a fair opportunity to submit applications to USAID for a range of programs and services. The application process will occur in two stages: (1) concept papers will be submitted by prospective Applicants; and (2) Applicants with the most highly evaluated concept papers will be invited to submit full applications.

The Mission will hold a Pre-Proposal Conference on May 15, 2012 at Crossroad Hotel, Lilongweunder Round I. The Conference will have two sessions, one for each program area outlined under Round I. The Health, Population and Nutrition program area will be under Round II. Interested Applicants will need to register in advance and indicate which session they will attend by sending an e-mail to OAA-SOLICIT-LILONGWE@usaid.gov.

The deadline for submission of Concept papers is specified above. Facsimile submissions are not authorized and will not be accepted.

Issuance of this APS does not constitute an award commitment on the part of the U.S. Government, nor does it commit the U.S. Government to pay for any costs incurred in the preparation and submission of any application.

In addition, final award of any resultant Agreement cannot be made until funds are fully appropriated, allocated, committed, and obligated through internal USAID procedures, on which condition this APS is issued. The USG anticipates that these procedures will be successfully completed, potential Applicants are hereby notified of these requirements and conditions for award and applicants will not be compensated for any proposal preparation and submission costs. The USG reserves the right to reject any or all applications received.

The preferred method of distribution of USAID procurement information is via www.Grants.gov on the World Wide Web (www). This APS and any future amendments can be downloaded from the Agency website. To access the Agency website from Grants.gov: Click “Find Grant Opportunities,” then click “Browse by Agency” and choose “Agency for International Development.” If you have difficulty registering or accessing the Grants.gov website, please contact the Grants.gov Contact Center at 1-800-518-4726 or via e-mail at support@grants.gov for technical assistance. Receipt of this APS through Grants.gov is to be confirmed by written notification to the contact person noted below. It is the responsibility of the recipient of the application document to ensure receipt of all documentation from Grants.gov in its entirety and USAID bears no responsibility for data errors resulting from transmission or conversion processes.

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POINT OF CONTACTFor any questions regarding this APS, please submit to Patrick Kollars, Regional Agreement Officer, pkollars@usaid.gov with a copy to Joseph Chisoni Tembo, Senior Acquisition and Assistance Specialist, and Gideon Suya, Acquisition Specialist at OAA-SOLICIT-LILONGWE@usaid.gov .

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ACRONYMS

ACE--the Agriculture Commodity ExchangeAfDB--African Development Bank AISM--The Association of Input Suppliers of MalawiCAMAL--The Coffee Association of MalawiCCR -- Central Contractor Registration CIDA--Canadian International Development Agency CISANET--Civil Society and Agriculture NetworkCONGOMA--Council for Non-Governmental Organizations of MalawiDUNS - Data Universal Numbering System (DUNS) numberDfID--The Department for International Development of the United KingdomEDSA--Education Decentralization Support Activity FUM--Farmers’ Union of MalawiGDC--German Development Cooperation (Includes GIZ and KfW)GOM - Government of MalawiJICA--Japanese International Cooperation Agency MCCCI--The Malawi Confederated Chambers of Commerce IncorporatedMoEST--Ministry of Education, Science and TechnologyMTPDS--Malawi Teacher Professional Development Support MUSCCO--The Malawi Union of Savings and Credit CooperativesNASFAM--The National Association of Smallholder Farmers of MalawiRTOA--The Road Transporters’ Association of MalawiSTAM--The Seed Traders’ Association of MalawiTAMAL--The Tea Association of MalawiTEAM -- The Exporters’ Association of MalawiUNICEF--United Nations Children’s Education Fund VSO--Volunteer Service OrganizationWB --World BankWFP--World Food Program

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DEFINITIONS

Annual Program Statement (APS): When USAID intends to support a variety of creative approaches towards developing methodologies to assess and implement development objective activities, the Agency may use an Annual Program Statement (APS) to generate competition for these awards.

Central Contractor Registration (CCR): The Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the CCR Internet site (currently at www.ccr.gov/).

Construction: under USAID policy means: construction, alteration, or repair (including dredging and excavation) of buildings, structures, or other real property and includes, without limitation, improvements, renovation, alteration and refurbishment. The term includes, without limitation, roads, power plants, buildings, bridges, water treatment facilities, and vertical structures.

Data Universal Numbering System (DUNS) number: The nine-digit number established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or the Internet (currently at fedgov.dnb.com/webform).

Entity/Implementing Partner: Any for- or not-for-profit organization that receives USG funding to deliver foreign development assistance. Examples: NGOs, universities and development contractors.

Local/Regional Organization: To be considered a “local” or “Regional” organization, an entity must meet all of the following criteria:• Be organized under the laws of the recipient country or a country within that region;• Have its principal place of business in the recipient country*;• Be majority owned by individuals who are citizens or lawful permanent residents of the recipient country or be managed by a governing body, the majority of whom are citizens or lawful permanent residents of a recipient country; and• Not be controlled by a foreign entity or by an individual or individuals who are not citizens or permanent residents of the recipient country.

Subaward: This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which an organization received a direct award and that recipient, makes award to

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an eligible subrecipient. The term does not include procurement of property and services needed to carry out the project or program.

USAID Mission: Missions are USAID’s field offices outside of the United States based in developing countries. Example, USAID/Malawi is a field office through which USAID development assistance is provided.

*For purposes of this definition recipient countries also includes countries within the same region.

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ACRONYMS-------------------------------------------------------------------------------------------- 3 -DEFINITIONS----------------------------------------------------------------------------------------- 4 -SECTION I: FUNDING OPPORTUNITY DESCRIPTION------------------------------------ 6 -

A. BACKGROUND – LOCAL CAPACITY DEVELOPMENT------------------------------------------- 6 -B. TYPES OF ACTIVITIES ELIGIBILE FOR FUNDING----------------------------------------------- 6 -C. PROGRAM AREAS---------------------------------------------------------------------------------------------- - 6 -D. ADMINISTRATION OF AWARD------------------------------------------------------------------------ 16 -

SECTION II: AWARD INFORMATION-------------------------------------------------------- 17 -SECTION III: ELIGIBILITY INFORMATION------------------------------------------------ 17 -SECTION IV: APPLICATION AND SUBMISSION OF CONCEPT PAPERS----------- 18 -SECTION V: APPLICATION AND SUBMISSION INFORMATION FOR FULL APPLICATIONS------------------------------------------------------------------------------------- 20 -SECTION VI: OTHER IMPORTANT INFORMATION-------------------------------------- 25 -SECTION VII: EVALUATION CRITERIA------------------------------------------------------ 27 -SECTION VIII: AWARD AND ADMINISTRATION INFORMATION-------------------- 29 -SECTION IX: AGENCY CONTACTS------------------------------------------------------------ 30 -SECTION X : REFERENCE MATERIALS------------------------------------------------------ 30 -CERTIFICATIONS, ASSURANCES, AND OTHER STATEMENTS OF THE RECIPIENT (MAY 2006)-------------------------------------------------------------------------------------------- 0 -

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SECTION I: FUNDING OPPORTUNITY DESCRIPTION

Pursuant to the Foreign Assistance Act (FAA) of 1961, as amended, the United States Government (USG), as represented by the U.S. Agency for International Development (USAID), invites applications for funding from qualified registered local (Malawian) and Regional non-profit or profit organizations that have experience in; A) advocacy and organizational capacity building related to the agriculture sector; B) Education sector and C) Health sector.

The purpose of this Annual Program Statement (APS) is to disseminate information to prospective applicants so that they may develop and submit applications for USAID funding. Specifically, this APS;

1) describes the types of activity for which applications will be considered;2) describes the funding available and the process and requirements for

submitting applications;3) explains the criteria for evaluating applications; and4) provides guidance on the types of entities that are eligible to apply for

funding.

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

A. BACKGROUND – LOCAL CAPACITY DEVELOPMENT

Many local nonprofit organizations receive indirect funding from USAID through large umbrella grants or under contracts given to U.S. based non-government organizations (NGOs). In response, USAID has embarked on an ambitious reform effort called “USAID FORWARD” to change the way we do business, by forming and strengthening new partnerships that emphasize direct awards to local entities - organizations/NGOs.

USAID/Malawi is implementing a local capacity initiative that provides opportunities for local entities that have limited or no experience managing direct USAID grants. This APS is designed to expand the number of direct partnerships USAID has with local entities and to build the capacity of these organizations to better meet the needs of their constituents.

B. TYPES OF ACTIVITIES ELIGIBILE FOR FUNDING

This APS may provide funding opportunities in the following four (4) program areas:

1. Sustainable Economic Growth – Malawi Agriculture Policy Strengthening (MAPS) Program

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2. Education - Strengthening Early Grade Reading for Malawi Children Program

3. Health, Nutrition and Population – Further details will be provided via an amendment to this APS.

4. Mainstreaming Activities involving the Disabled. – Further details will be provided via an amendment to this APS.

Each key area provides the details of the program description, activities and expected results as outlined below.

C. PROGRAM AREAS

Applicants are invited to submit one concept paper for each program area for which they are requesting funding. Applicants may apply for either or both program areas. Each concept paper should be a stand-alone application specific to a program area.

PROGRAM AREA #1: MALAWI AGRICULTURE POLICY STRENGTHENING (MAPS)

1. Value of Award(s): The total funding available will be $2 million per year for 3 years. The minimum award is $250,000 and maximum is $2 million per year over 3 years. USAID may issue more than one award under this Program Area. Funds awarded under the APS may come in the form of Cooperative Agreements as well as Fixed Obligation Grants (FOGs).

2. Program Description:

I. Introduction

The Malawi Agriculture Policy Strengthening (MAPS) project has the overall goal of contributing to sustainable food security in Malawi by increasing the participation of Non-State Actors (NSAs) in agriculture policy dialogue in Malawi. Through MAPS, USAID will work with NSAs, the GoM, other development partners and the ASWAp Secretariat to increase the profile, capacity and engagement of NSAs in agriculture policy development and implementation.

As stated in the Mission’s Feed the Future (FtF) Multi-Year Strategy, long-term development of agricultural markets will require evolution of Malawi’s current policy environment, which favors

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Non State Actors (NSAs) in MalawiNSA is a collective term for organizations not belonging to or existing as a state-structure, or established institution of a state. They exercise significant economic, political, or social power and influence at national, and in some cases international level. Typically the term describes civil society and private sector. In Malawi such organizations include: Private sector (e.g. The Malawi Confederation of Chambers of Commerce and Industry (MCCCI), Exporters Association of Malawi, Association of Input Suppliers of Malawi);

government intervention over market forces. While technical-level engagement between Government and the Donor Committee on Agriculture and Food Security (DCAFS) in the absence of an Agriculture Sector Working Group has been extensive, it will not suffice to bring about the types of reforms essential to moving smallholders beyond mere subsistence. MAPS focuses on building a broad and inclusive policy dialogue, with an emphasis on empowering the largest group of food producers in the country, women, to play leadership roles across the sector. MAPS is a critical part of USAID/Malawi’s FtF Core Investment Area 31, Improved Enabling Policy Environment and Strategic Objective 6: Sustainable Increase in Rural Incomes.

II. Description/Activity/Beneficiaries

Primary beneficiaries will be NGO entities engaged in the agriculture sector (relevant to the Mission’s Feed the Future strategy) that already have a level of advocacy and internal organizational capacity. Such NGOs can, within a short period, acquire the skills necessary to effectively engage government in policy dialogue. These NGOs will also be paired with smaller organizations to enhance their advocacy and organizational capacity. It is critical that these pairings result in mentoring that builds the overall strength and voice of NSA participation in government. Secondary beneficiaries will be the agriculture sector as a whole which will benefit from creation of a more conducive policy environment for agricultural growth.

III.Overview of Sector

Malawi is a landlocked, overwhelmingly agricultural country with over half its population chronically living below the poverty line. By far the smallest but most densely populated nation in the region – at 141 people per square kilometer, Malawi is eight times more crowded than neighboring Zambia and nearly four times as crowded as Tanzania. At 14.2 million people, Malawi has a higher population than Zambia, Zimbabwe, South Sudan and many other African countries.

The economy of Malawi is dependent on the productivity of its agriculture sector. Currently, 80 percent of the total workforce is actively engaged in agriculture. This output comprises more than 80 percent of Malawi’s foreign exchange earnings, and accounts for 39 per cent of GDP. Since Malawi’s independence, development resources, strategies and policies have been heavily biased towards agricultural development. In fact the country’s agriculture sector underwent a nearly complete shift from pre-independence state control to post-independence liberalization and the development of a private sector.

Most recently the GoM, under the direction of former President Bingu wa Mutharika, made increasing food security its highest strategic priority in

1 Area 1 is Improved Nutritional Behaviors, Area 2 is Transformational Value Chain Development

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Non State Actors (NSAs) in MalawiNSA is a collective term for organizations not belonging to or existing as a state-structure, or established institution of a state. They exercise significant economic, political, or social power and influence at national, and in some cases international level. Typically the term describes civil society and private sector. In Malawi such organizations include: Private sector (e.g. The Malawi Confederation of Chambers of Commerce and Industry (MCCCI), Exporters Association of Malawi, Association of Input Suppliers of Malawi);

response to severe food security crises of the early 2000s. The GoM has demonstrated a strong commitment to agriculture-led economic growth, food security and nutrition through a series of key initiatives and policies, including the1. The Farm Input Subsidy Program (FISP);2. The Green Belt Initiative (GBI); and3. The ASWAp which has accomplished two major milestones: signing of the Comprehensive African Agriculture Development Program (CAADP) compact in April 2010 and completion of a Post-CAADP Roadmap and CAADP Business Meeting in September 2011.

Nevertheless, attaining Millennium Development Goal (MDG) 1, which aims to eradicate extreme poverty and hunger, will be a challenge for Malawi. A significant portion of the population is malnourished and continues to be food insecure during the “hungry season” (typically December to February). Malawians are dependent on rain-fed agricultural practices, and remain only one or two bad rainy seasons away from a drought-related humanitarian crisis. In 2010/2011 Malawi saw significant decreases in tobacco prices and sales, with far reaching impacts on the terms of trade throughout the Malawian economy.

GoM agriculture plans, and most specifically the CAADP/ASWAp, contain language stating the importance of NSA involvement in design and implementation of plans and interventions. However, there has been low engagement of these stakeholders in both planning of the ASWAp and other agriculture policy issues. Despite these challenges, the GoM has made efforts including the organization of a pre-CAADP Business Meeting to solicit feedback and participation from NSAs who perhaps previously were not consulted. Nonetheless, many of the stakeholders in the agriculture sector are still not aware of major ASWAp focus areas and initiatives.

There are several constraints that have emerged over the decades which have and continue to weaken Malawian NSAs’ participation in national policy dialogue. These include:• Decreased efforts/motivation by government to include NSAs in processes

and discussions, especially related to agriculture and food security. • Limited number of NSAs in Malawi and complex relations between those

that exist and the Malawian Government. • Insufficient capacity within NSAs to effectively engage in advocacy activities

around policy discussions.• In some cases, a lack of solid constituency support grounded in Malawian society.• Weak financial bases, with heavy dependence on donors, and therefore, their agendas.

As it stands, the ASWAp and other plans like the GBI are government-owned in Malawi, but not country-owned. Without the full participation of NSAs:

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• The identification of productivity constraints and potential solutions is limited. The creativity and experience of NSAs is a critical component of the success of all development efforts in Malawi. Such participation has been a hallmark of Sector Wide Approaches (SWAps) in education and health in Malawi.

• NSA ownership over the ASWAp and therefore their dedication to its momentum and success is compromised. It is another GoM program, rather than a comprehensive, country-wide effort at poverty reduction and food security growth.

• NSA oversight in ensuring government accountability to economic governance related to the ASWAp is limited.

Through technical support, NSAs will be able to demand their rightful place in dialogue to shape programs in the agriculture sector.

IV. Program Objectives

Component 1 aims to strengthen the internal capacity of NGOs entities engaged in the agriculture sector to advocate effectively while Component 2 will work to build linkages among NGOs and with government to strengthen and institutionalize advocacy. These two components will account for the varying levels of development and readiness of organizations and associations in Malawi to take on advocacy activities. Furthermore, different organizations may have policy agendas more focused on local/regional issues than national level policy. Therefore, the project will tailor interventions dependent on the situation and constituency of each participant.

The goal of MAPS will be supported by two main components:

1. Building NGO institutional capacity; and2. Effective participation in key networks that increase access to policy makers

V. Illustrative Activities

Component 1: Institutional Capacity BuildingIn order for NGOs to advocate effectively, they must be able to function effectively. This component will address the internal operations and services of an organization that impact its ability to effectively participate in the agricultural policy dialogue. NGOs that focus on agricultural products and value chains identified in the FtF multi-year strategy (http://feedthefuture.gov/country/malawi) will be specifically targeted, ensuring MAPS complements and aligns with other SO-6 activities.

A: Organizational DevelopmentThis sub-component will identify existing gaps in the functioning of organizations and work with NGOss to draft and implement capacity building plans. The implementer should consult with USAID to utilize organizational

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development tools that are being piloted through the USAID Forward Local Capacity Development Initiative, which is an agency wide initiative to promote more direct relationships between USAID and local entities. Potential areas for capacity building include:

Organizational Capacity Assessments. Long-term financial sustainability. Management and administrative capacity Communications and networking. Leadership capacity, including capacity or openness to collaboration with

other organizations. Types and quality of services offered to members. Accountability of leadership and staff to members.

B: Policy Research In order for NGOs to actively participate in the dialogue on agricultural policies, they must not only understand the issues involved, but also be able to critically analyze and understand how they might affect the interests of their members. Illustrative activities include:

Conduct or participate in constraints analyses with their members. Analyze findings of constraints analyses. Conduct or analyze research on policy done by others. Identify policy research assistance sources, and analyze those for quality. Provide targeted training on policy research. Assist NSAs to effectively communicate policy analysis to the public.

C: Advocacy This sub-component will work to build s’ advocacy skills of entities engaged in the agriculture sector, providing assistance in how to develop strategies and communicate messages to both government and the general public. Advocacy targets will include all branches of government (executive, legislative, and judicial), as appropriate, at all levels of society – national, sub-national, and municipal. MAPS activities will follow the guidelines in USAID’s Policy Reform Lessons Learned (http://pdf.usaid.gov/pdf_docs/PNADK260.pdf). Activities include:

Conduct a series of workshops targeting lobbying strategy skills relating to various levels/branches of government.

Work with educational institutions to incorporate or introduce seminars or courses on advocacy training.

Provide active mentoring and feedback for associations involved in advocacy. Provide training on public relations, communications, and press releases for

reform issues. Work with local media to better report on and engage NSAs on reform needs

and activities.

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Provide training to government agencies on how to participate in and receive feedback through advocacy events.

Component 2: Building LinkagesThis component seeks to work with targeted NGOs to strengthen their awareness and participation in the platforms that currently exist and also to work with government to sensitize them to the very positive role that they can play in the policy process.

A: Building linkages within civil society The level of institutional development and capacity varies greatly among Malawian civil society and private sector organizations and associations. To address these gaps, this sub-component will set up partnerships and peer-to-peer capacity building between Malawian organizations. This will utilize local expertise and best practices to strengthen NGOs as well as strengthen networks for increased cooperation and communication around specific reform objectives, as well as in general:

Strengthen major civil society networks (MEJN, CISANET, etc.) and their linkages and networking platforms to reach more effectively a broad base of private sector and civil society interests to pursue common objectives.

Create linkages and platforms for organizations to access expertise in policy research, and advocacy and share findings

Facilitate the participation of NGOs in major advocacy networks and platform events.

Integrate low and high capacity organizations for peer-to-peer capacity building.

Determine the viability of and demand for a formal federation of complementary associations.

B: Building platforms with the GoMIn order for NGOs to carry out their role in policy dialogue and formulation, they must seek and even demand a place at the table with the government. This sub-component will work with relevant government agencies and offices to normalize dialogue with NGOs.

Conduct, at start-up and at regular intervals throughout the MAPS project, meetings with key government officials/committees to first introduce MAPS and then to follow up on progress, major initiatives and milestones, etc.

Conduct policy forums to discuss relevant issues that affect Malawi’s agriculture sector

Increase involvement of NGOs with the National Assembly in the agricultural policy dialogue and improve communication between advocacy groups and MPs and their staff.

Facilitate Public Private Forums between government and private sector

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Support and institutionalize NGO participation in the Agriculture Sector Working Group and Technical Working Groups (TWGs) which will be the national forum to discuss implementation of ASWAp.

This activity is dependent on GoM receptiveness to NSA participation and action. MAPS will work actively with NSAs to sensitize GoM stakeholders to the roles and responsibilities of NSAs. Key advocates in this process will be the DCAFS and the ASWAp Secretariat, both of which can encourage GoM/NSA collaboration and communication.

VI. Expected Outcomes

Number of institutions/organizations that, as a result of USG assistance, are in one of these following stages:o Strengthened awareness and participation in existing government-civil

society platforms Showing improved institutional capacity o Mature/viable (local organizations with ability to receive USG

grants/contracts)

Any evaluation to be conducted under this award should to a greater extent comply with guidelines in the USAID Evaluation Policy. These include having clear evaluation purpose, questions, development hypothesis to be tested, well-articulated evaluation methods that are reliable, and come up with evaluation findings based on facts, evidence and data.

USAID will provide guidance on the specifics, where a project evaluation needs to be undertaken.

PROGRAM AREA #2: STRENGTHENING EARLY GRADE READING FOR MALAWI CHILDREN PROGRAM

1. Value of Award(s): The total funding available will be $1.5 million peryear for 3 years. The minimum award is $250,000 and maximum is $1.5 million per year over 3 years. USAID may issue more than one award under this Program Area. Funds awarded under the APS may come in the form of Cooperative Agreements as well as Fixed Obligation Grants (FOGs).

2. Program Description:

I. Introduction

The USAID/Malawi Education Team is interested in funding innovations that will result in widespread improvements in literacy skills for Malawi students via (1) improved teaching and learning materials; (2); increased local capacity; (3) better trained teachers to develop literacy skills for students; and (4) better education data to support decision-making, transparency, incentives and

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accountability; all of which are essential to advance the goal of all children reading in the primary grades.

II. Description of Beneficiaries

Primary beneficiaries will be the 3.0 million Primary school students and their corresponding 40, 000 teachers who teach in Standards 1-4 and 12,000 head teachers and deputies in public schools in Malawi in all 34 Education Districts in the country. At the school level, additional beneficiaries will include the communities, School Management Committees, and Parent Teacher Associations.

Additional beneficiaries of interest include: 1)The Government of Malawi, particularly the Ministry of Education, Science and Technology (Although no direct government-to-government awards will be considered under the APS, potential opportunities could arise at sub-government or school levels where specific technical assistance could be provided for administrative and technical capacity building at national, institutional, and individual levels.); 2) Parastatals; 3) Local and or Regional entities, including education focused, capacity building, and advocacy focused entities; and 4) the Private Sector.

III. Overview of Education Sector

Malawi is a landlocked, overwhelmingly agricultural country with over half its population chronically living below the poverty line. By far the smallest but most densely populated nation in the region – at 141 people per square kilometer, Malawi is eight times more crowded than neighboring Zambia and nearly four times as crowded as Tanzania.2 At 13.5 million people, Malawi has a higher population than Zambia, Zimbabwe, Southern Sudan and many other African countries. The economy of the Republic of Malawi is dependent on the productivity of its agriculture sector. Currently, 80% of the total workforce is actively engaged in agriculture. This output comprises more than 80% of Malawi’s foreign exchange earnings, and accounts for 39 per cent of GDP. Malawi is a young country demographically with 37% of its population in the 6-17 years age group and an annual rate of increase of 2.4%. Malawi’s education challenges are a manifestation of the overall development challenge that faces one of the poorest countries in Africa.

Despite being a comparatively stable and peaceful country, Malawi ranks 171th out of 187 countries on UNDP’s Human Development Index rankings for 2011 , where it only stands one point above Afghanistan on the education index and two points below its peers in the South African Development Community (SADC) region . In recent years, Malawi has started to experience internal

2Derived from 2009 CIA World Fact Book data (as cited at www.theodora.com).

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conflicts, regional tensions and stresses due to economic challenges which can seriously hinder the nation’s ability to reduce poverty, its dependence on donor assistance and to have greater economic independence.

Malawi’s overall development challenges: In 2006, Malawi was included in the World Bank’s and the International Monetary Fund (IMF)’s Enhanced Heavily Indebted Poor Countries initiative. With the GoM introducing the “Malawi Growth and Development Strategy 2006-2011” and international development partners providing debt relief, Malawi is now expected to turn-around its economy and become a country which relies to export revenues. Not an easy challenge to surmount, for a country which is predominantly agricultural, relies on imports of manufactured goods, lack of government capacity to deliver on social and other services, energy issues, reliance on neighboring countries for trade and heavy reliance on donor funding. The World Bank cites lack of quality education as one of the main issues hindering Malawi’s aspirations to become debt-free.

Education challenges and opportunities: The major reform in education in recent decades was the introduction of free primary education in 1994, which resulted in a massive increase in enrollments. This sudden increase in enrollment put an enormous strain on the limited physical and technical capacity of the primary education sector. The resulting explosive increase in student enrollment put the system under severe strain, leading to inadequate supply of infrastructure, teachers and teaching and learning materials. Malawi’s primary education system has an enrollment of 4.6 million children in 5,404 schools (5,106 public schools and 298 private schools). The majority of pupils enrolled in these schools (89%) are in rural areas. Following the declaration of free primary education, an unplanned consequence of this significant increase in enrollments resulted in extremely large class sizes (see Table 1 below) which has translated to extremely poor student performance particularly in substandard reading abilities for Malawian students and school graduates/leavers, as documented by the Southern African Consortium for Monitoring Education Quality (SACMEQ) and an Early Grade Reading Assessment (EGRA). While Malawi has made significant gains in increasing access at the primary school level, the primary education system continues to face numerous challenges in providing quality education service delivery.

The overall low quality of instruction and teacher’s professional development significantly contribute towards low achievement levels amongst pupils. SACMEQ III identified that 26% of Standard 6 pupils could read with understanding, with boys outperforming girls by 10% points. SACMEQ found that Malawi had the lowest levels amongst its peers in the Southern-African region in literacy. MPTDS conducted an EGRAin November 2010 that established a baseline for Standard 2 and 4 pupils in reading abilities which showed that students from both standards had significant 0 scores in letter recognition, knew few letter names, read few words, and thus comprehended little of the text that was presented to them with 97.1% of standard 2 students

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and 69.3% of students in standard 4 unable to answer a single comprehension question correctly.

The generally poor performance of Malawian children, on tests such as SAQMEC and EGRA is cause for grave concern. In lower primary, pupils struggle in large classes to master the basic literacy skills that will lay the foundation for later learning. The MTPDS National EGRA Baseline found that the average reading speed in Standard 2 is just 1 word per minute and in std. 4 it is 11 words per minute. The MTPDS National Literacy Forum (2010) illustrated, that there have previously been several successful literacy projects in Malawi, but none of these has so far managed to be scaled-up to achieve national impact. As a result of these findings, USAID/Malawi has placed greater emphasis on measuring the performance of the education system in terms of learner outcomes that has been embraced by the MoEST and other development partners. This emphasis is clearly expressed in the USAID Education Strategy 2011-2015 which has ‘Improved reading skills for 100 million children in primary grades by 2015’ as its first goal.

IV. Program Objectives:

The primary objectives of the education program are:

1. Improve learning outcomes by building teacher effectiveness and strengthening classroom and school management

2. Building institutional capacity of local organizations to promote early grade literacy; and

3.Promote innovative low cost effective interventions that promote early grade literacy for students.

USAID does not have a single, prescribed approach on how to improve early grade reading, but recognizes that measurable gains can be achieved in a variety of ways including improvements in content knowledge, instructional practice, management capacity, accountability and/or morale. USAID/Malawi is anticipating that respondents to the APS will address a combination of the problem areasbelowProposals should propose activities which address one or more of the following problem areas: 1. Poor quality and relevance of curriculum and materials:

Poor reading skills can result from poorly developed classroom materials and curricula. Classroom material should be relevant to the learning needs of children and presented in a way that is logical in the way it introduces reading, going from simple to complex letters, sounds, words, stories and reading comprehension concepts.

2. Inadequate quality of instruction and teachers’ professional development:

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One main reason for poor reading skills in pupils is due to inadequate training of teachers in reading instruction and research has documented that training teachers in specific strategies and methods focused on reading, both pre and in-service training on reading instruction improves student learning outcomes.

3. Large classroom sizes and high pupil to teacher ratios:

Major reforms in the education sector in recent decades have contributed to massive increases in enrollment, resulting in enormous strains on the limited physical and technical capacity of the primary education sector. The MoEST has introduced a Circular to reduce classroom sizes in the early grade while trying to increase the number of newly trained teachers. USAID through this APS will consider innovative approaches to address the adverse impacts of high pupil to teacher ratios and large classroom size.

4. Lack of parental and community engagement:

Research shows that community engagement and parental participation in children’s education improves learning outcomes. Both USAID and MoEST, in their respective education sector plans commit to establishing and strengthening Parent Teacher Associations and School Management Committees. Linking communities and schools and developing a supportive environment both in and out of the classroom and in the family and within the community to support literacy have been identified one means to promote early grade literacy

5. Reducing the gender gap in learning outcomes.

The 2010 Early Grade Reading Assessment found very minimal differences between boys and girls in reading outcomes in standard 2 and 4 but a growing disparity between the sexes occurs throughout primary school and is seen in SACMEQ III, the Primary School leaving exam, and transition to secondary school. It is more cost-effective to address the causes to the divergence in learning outcomes in the early grades when these differences are small than to wait for girls to drop out, repeat, or fail their school exams. Learning gains will not be sustainable if they do not benefit both sexes. USAID/Malawi understands that gender issues and challenges exist across the education sector and are committed to supporting innovative solutions to address these disparities.

USAID does not have a single, prescribed approach on how to improve early grade reading, but recognizes that measurable gains can be achieved in a variety of ways including improvements in content knowledge, instructional practice, management capacity, accountability and/or morale. Applicants are encouraged to highlight how activities will strengthen local community,

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organization, and school capacity to support literacy. Full proposals, if requested will require a section describing capacity building plans.

Thoseapplicants who are requested to submit full proposals (at Stage II)responding to this section of the APS will be expected to demonstrate how their proposed intervention will address one of these areas and link how the intervention will link to improved student learning, particularly in literacy.

V. Expected Outcomes

The expectation is that successful proposals will offer viable approaches to address the problem areas listed above in a measurable way, either by testing new and innovative approaches, or by scaling up or replicating already tested approaches. Applicants need to state specifically the logical framework between the proposed activity and link to student learning outcomes, particularly reading in the early grades.

Applicants to this Annual Program Statement are requested to show how these approaches will be monitored and evaluated empirically to measure performance and impact. This should include an initial analysis of the barriers and obstacles of the target community. A plan should be presented for maintaining robust empirical evidence throughout the period of implementation, including targets, baseline, and mid-term and final project performance evaluation.

USAID/Malawi will provide specific guidance to successfully applicants on the USAID Evaluation Policy. Applicants will be required to identify which of The Global Education Strategy Standard Indicators the project will track during implementation (all data must be disaggregated be sex):

Change over time in the number of correct words per minute identified by students in each standard.

Number and proportion of students who, by the end of two grades of primary schooling, demonstrate that they can read and understand the meaning of grade level text.

Number and proportion of students who, by the end of the primary cycle, are able to read and demonstrate understanding as defined by a country curriculum, standards or agreed-upon by national experts.

Number and proportion of primary school students who are able to read with comprehension, according to their countries’ curricular goals for each standard/grade.

Other appropriate indicators can be presented as appropriate and with justification.

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Some awardees may be requested to participate in integrating rigorous impact evaluations into project implementation, to support early grade reading agenda and answer key questions regarding improved gender equality. USAID Evaluation Policy also needs to be followed in this regard.

Awardees are expected to share evaluation results (either annually or at the end of the project as appropriate) and key lessons with USAID and the broader development community. Results should be linked to the initial barriers and opportunities identified. In doing so, these activities will help shape USAID’s technical leadership agenda on early grade reading.

Program Area #3: Health Sector and #4 Streamlining Activities for the Disabled

Details under these program areas will be provided later through an amendment to this APS.

D. ADMINISTRATION OF AWARD

Awards to Non-U.S. organizations will be administered in accordance USAID Standard Provisions for non-U.S. non-governmental organizations and OMB Circular A-122 (for non-profit organizations), and ADS 303.Applicants may obtain copies of the referenced material at the following websites:

Standard Provisions for Non-U.S., Nongovernmental Recipients: http://usaid.gov/policy/ads/300/303mab.pdf

SECTION II: AWARD INFORMATION

(1) Estimated Funding Level

Program Area #1: Malawi Agriculture Policy Strengthening (MAPS)

Total funding to be awarded under this Program Area is $6 million USD over 3 years ($2 mil per year), for between 1 and 4 awards, as follows:

1. Standard Assistance Award (Cooperative Agreement or Grant): The proposed Estimated Total Amount for Standard Assistance Awards will range from a minimum amount of $250,000 to a maximum amount of $1,500,000. The highest rated concept papers applying for a Standard Assistance Award will be invited to submit a full application. (See SECTION IV of this APS for guidance on full application format).

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2. Fixed Obligation Grants (FOGs): The proposed Estimated Total Amount for FOGs should range from a minimum amount of $150,000 to a maximum amount of $500,000. Applicants that submit applications that fall within the parameters of FOGs may be required to submit a full application and will be notified if successful or unsuccessful based only on the concept paper application.

PROGRAM AREA #2: STRENGTHENING EARLY GRADE READING FOR MALAWI CHILDREN PROGRAM

Total funding to be awarded under this Program Area is $4.5 million USD, for 1 to 4 awards, as follows:

1. Standard Assistance Award (Cooperative Agreement or Grant): The proposed Estimated Total Amount for Standard Assistance Awards should range from a minimum amount of $250,000 to a maximum amount of $1,500,000. The highest rated applications applying for a Standard Assistance Award will be invited to submit a full application. (See SECTION IV of this APS for guidance on full application format).

2. Fixed Obligation Grants (FOG): The proposed Estimated Total Amount for FOGs should range from $150,000 and maximum is $500,000 per year over 3 years. USAID may award up to three Fixed Obligation Grants (FOGs). SECTION III: ELIGIBILITY INFORMATION

(1) Types of Entities that May Apply

Registered local (Malawian) and regional (East or Southern African) non-governmental organizations, non-profit organizations and for-profit organizations may apply. To be considered regional, an organization must be registered in a country in either East or Southern Africa and meet the requirements of local organization as described in the “Definitions” section of this APS.

This APS is issued as a public notice to ensure that all interested and qualified organizations have a fair opportunity to submit applications for funding. Eligible organizations could include, for example, foundations, non-governmental organizations, faith-based organizations (FBOs), community-based organizations (CBOs), private organizations affiliated with public academic institutions and international non-governmental organizations, private companies, professional associations and consortiums of the above. USAID encourages an approach that establishes partnerships with several partner organizations (including US and Non-US organizations). USAID has published in the Federal Register (Vol. 69, No. 202/Wednesday, October 20, 2004/Rules and Regulations) new regulations on participation by FBOs in

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agency programs. This guidance may be found at: http://www.usaid.gov/our_work/global_partnerships/fbci/rule.html

(2) Potential New Partners USAID strongly encourages applications from potential new partners.

(3) Cost Share Cost share is not required for Fixed Obligation Grants; however, applicants for Standard Assistance Awards are encouraged to contribute resources from their own private or other non-US government sources for the implementation of this program where feasible. Cost share provided by private sector partners is particularly encouraged. If a cost share application is accepted and made part of an award, contributions must be supported by adequate documentation, be allowable under the applicable cost principles and meet the criteria set forth in 22 CFR 226.23. Cost sharing contributions may include volunteer services provided by professional and technical personnel and un-recovered indirect costs. Funds that are paid by the Federal Government through another source may not be used by an organization in cost share calculations (see 22 CFR 226.23). Cost share contributions must be reported on a periodic basis on payment forms, and USAID has the right to reduce its share of funding if the cost share reported is less than the agreed upon percentage or amount contained in the award. Grantees should be prepared to distinguish in their reporting the outputs and outcomes that result from cost share contributions versus USAID monies. Finally, if a difference remains after an award has expired; the recipient may be required to refund the difference to USAID.

SECTION IV: APPLICATION AND SUBMISSION OF CONCEPT PAPERS

1.ISSUANCE PERIOD:

This APS seeks concept papers and applications (ifrequested) for funding through May 10, 2013. The first round of concept paper submission is due June 14, 2012. USAID/Malawi will continue to accept/review during the stated period. USAID reserves the right to make or not to make awards through this APS.

2. THE APPLICATION PROCESS

USAID will review proposals using a two-stage process. Applicants must first submit a concept paper of no more than six (6) pages directly to USAID before submitting a full application. If a proposed project meets the requirements of this APS, applicants will be invited to submit full applications.

DO NOT SUBMIT A FULL APPLICATION UNLESS REQUESTED BY USAID. ONLY UPON RECEIPT OF POSITIVE USAID FEEDBACK ON THE CONCEPT PAPER WILL THE APPLICANT BE REQUESTED TO

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SUBMIT A FULL APPLICATION FOR USAID CONSIDERATION, USING THE CRITERIA BELOW.

The Concept Paper and Full Application must be submitted in accordance with sections 3-A below.

3. THE CONCEPT PAPER (First Stage)

In the first stage, all applicants are required to submit a short technical concept paper no longer than six (6) pages that is specific, complete and concise (this does not include the cover page, appendix and budget summary). The concept paper should demonstrate the applicant’s capabilities and expertise with respect to achieving the goals of this program. The instructions for developing the concept paper are listed in the next section. Concept papers will be reviewed in terms of responsiveness to the APS, appropriateness of subject matter, and creativity.

A. Concept Paper Instructions

The concept paper must be submitted in Times New Roman, 12 point font, and must include page numbers. Each page must be marked with the APS title and number. Prepare the application for the concept paper according to the structural format set forth below:

1- Cover Page (no more than one (1) page)

The cover page must include:

a. The APS number; b. The Program Area of interestc. Name and address of organization; d. Type of organization (e.g., for-profit, non-profit, university, etc.); e. Contact point (lead contact name; relevant telephone, fax, e-mail information); f. Names of other organizations (federal and non-federal) to whom you are

submitting and/or have submitted the application and/or who are funding the proposed activity; and

g. Signature of authorized representative of the applicant.

2-Technical approach (no more than six (6) pages)

This section should address the program summary and selected objectives in Section 1 of this APS and should address the evaluation criteria under Section B below:

3-Budget Summary (no more than 1 page)

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a. Proposed estimated cost: b. Brief cost breakdown by major category totals (e.g., salaries, travel, etc.); c. Proposed optional amount of the applicant’s and proposed or existing partners financial as well as in-kind participation if applicable;

B. Technical Evaluation Criteria for Concept Papers

USAID/Malawi will establish a Technical Evaluation Committee to review and evaluate all concept papers against the following criteria:

CONCEPT PAPER EVALUATION CRITERIA:

Design and Execution of the Proposed Activity (50 points) Demonstrated understanding of the Program Area needs that will be addressed. Clear set of goals and objectives Innovative and practical interventions with a measurable impact Linkages to existing resources and structures Ability to build on previous achievements in the program area Geographic coverage and number of people to be reached

Project Management (30 points) Technical and administrative capacity to manage and implement the proposed program Experience and capacity of staff to design, monitor and report on activities (CVs of key personnel can be provided as an appendix which will not count against the page limit.)

Institutional Capacity and Past Performance (20 points) Demonstrated experience and track record of the organization and key personnel in the proposed area of work (Three references can be provided as an appendix which will not count against the page limit.) Demonstrate that the organization is: Appropriate in size and scope for proposed activities

USAID will contact selected applicants to request a full application based on the information evaluated in the concept paper. Organizations that submit unsuccessful concept papers will be notified they are no longer being considered for award.

SECTION V: STAGE TWO APPLICATION AND SUBMISSION INFORMATION FOR FULL APPLICATIONS

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Once USAID/Malawi has received all the concept papers and reviewed them, the agency

will contact the applicants with the reviewers’ comments and decision for the submission

of a full application.

Upon consideration of award or during the negotiations leading to an award, Applicants

may be required to submit additional documentation deemed necessary for the Agreement Officer to make an affirmative determination of responsibility.

The instructions for the technical summary application format provided in this section apply only to Standard Assistance Awards. This information will be required after an Applicant Concept Paper has been approved and the Applicant has been requested by USAID to submit a full application.

TECHNICAL APPLICATIONThe technical application is the critical item of consideration in selection for award of this APS. Technical applications should be specific, complete and presented concisely. The applications should demonstrate the applicant’s capabilities, understanding of, and expertise with respect to achieving the Program Objectives described in Section I.

To facilitate the competitive review of the summary applications, USAID may consider only applications conforming to the format prescribed below.

Applications must be submitted in Times New Roman font, size 12, portrait layout with one inch margins. USAID requests that applications follow the general format described below.

Applications are limited to 20 pages exclusive of the following attachments (details below): • Cover Page (limit one page, must use the template below); • CVs of up to three key personnel (limit one page each);

Cover page (limit 1 page; must use format below) The language below must be reflected into each applicant’s cover page. Applicants should ensure all fields are complete. This should be the only information provided on the cover page. ―Cover Page – USAID/XXXXXXXX • Project title: _________________________ • Applicant organization (name and mailing address): ____________________ • Sub-partner(s) (if applicable, if not please type N/A): __________________ • Total amount of USAID funds requested: $________ (USD) • Contact person regarding this application: Name: _________________________

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Email: _________________________ Telephone: _________________________ Fax (if available): _________________________ • Brief description of program (not more than five sentences)

COST APPLICATION

Budget and budget narrative:

The budget and budget narrative are to be submitted under separate cover from the technical application. The following sections describe the documentation that Applicants for Assistance award must submit to USAID prior to award.

SF 424 424A & 424B The budget and budget summary shall be submitted using the Face Sheet- Cost Volume of Application (OMB Standard Form 424) and the budget summary (OMB Standard Form 424A) that may be downloaded from the following link http://www.usaid.gov/forms/sf424.pdf

Detailed Budget and Budget Narrative

The budget shall be submitted in Excel and must be accompanied by a budget narrative in a Word document. The budget should outline the total proposed costs for implementation of the program described in this APS. The budget should provide enough details to allow for an analysis of cost reasonableness as well as clearly demonstrate a direct relationship between proposed activities and related costs. In addition to an overall summary budget for the applicants program, the budget should be presented by yearly and then monthly estimates including all cost elements such as salaries, fringe benefits, equipment, rent, utilities, and other direct program costs.

Note: Indirect costs or costs based on a percentage of costs (except for fringe benefits) will not be allowable under any award unless the organization has an established NICRA with USAID.

The budget narrative must provide sufficient information to adequately support and explain all proposed costs, i.e. the actual cost basis for the line items in the detailed budget.

Programmatic Approach

i. Context Analysis: This section provides a foundation for proposed activities, including an analysis of barriers and opportunities for the proposed focus of activity. Applications should include clear linkages between the various focus organizations and populations. Data should be provided as

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available. The various public, private and civil society stakeholders in proposed activities should be described.

ii. Program Hypothesis: Applicants should include a clear development hypothesis (or hypotheses) which will be tested and the respective objectives of the activities. This will be important to ensure effective performance monitoring and evaluation of activities and impact measurement. Emphasis should be given to testing hypothesis and developing services and methodologies that lead to greater participation in a variety of levels of policy development and implementation. Applicants should demonstrate how catalytic change from proposed activities will extend impacts beyond current, ongoing initiatives.

For methodologies and activities which have been proven, focus should be on models which could increase in reach and scale. The opportunities and barriers for achieving this scale should be outlined in the proposal. For applications focusing on new approaches, focus should be on proving the effectiveness of the proposed innovations. Any potential risks in achieving the objectives should be identified in the applications.

iii. Technical Approach: This APS provides applicants the opportunity to propose creative, focused programming within the framework of the programmatic priorities in this APS. Linkages should be made, when appropriate, to other USAID funded activities (refer to specific information for each Sector). Applicants need to state specifically what policies in the agricultural and education sector respectively will be addressed. Proposed activities should show strong linkages to local and non-traditional partners and private sector actors that can be replicated and scaled-up to reach large numbers of beneficiaries.

The Implementation Plan outlines timeline for phasing of interventions. Proposed activities must demonstrate plan for sustainability after end of the program implementation period. Proposed implementation plan, inputs, outputs, and outcomes must be realistic and achievable within the proposed budget and timeframe, and reflect a grasp of necessary steps to ensure rapid, effective execution of program activities. A plan for performance monitoring and evaluation must also be included. Include a discussion of the learning agenda to empirically measure impact and adequate emphasis on scaling-up and achieving broad-based impact where possible and appropriate. Feasible strategies for sustaining activities beyond USAID funding for the proposed activity, and documenting and sharing key lessons must be included.

Management Plan and Key Personnel

i. Management Plan: The composition and organizational structure of the proposed project team should be well described, including the titles, roles and

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responsibilities of key personnel. The management plan should be structured so as to best support the project’s goals and implementation.

ii. Key Personnel: The applicant shall provide experienced, qualified personnel in relevant disciplines and areas for project management and staff. The applicant shall provide sufficient information on the technical and managerial experience of the proposed project director as well as any other key personnel. CVs of up to three key personnel may be included as attachments to the Summary Application and should not exceed one page each.

Organization Qualifications and Past Performance

Provide a concise summary of your organization's qualifications. The summary should include a description of your present and on-going programs that have a direct relationship to the proposed activities under the award that demonstrate past experience implementing advocacy, policy and capacity building interventions in Malawi or other African countries in the past. The summary may also include a description of relevant collaborative efforts your organization has undertaken jointly or in coordination with other institutions with a focus on developing countries. If your organization is a new one, please describe the past experience and efforts that resulted in its formation. In a separate paragraph, please also provide a concise summary of the positive impact that resulted from the past experience described above.

Provide a description of any publications or reports that demonstrate any special qualification and experience that your organization has the related directly to the proposed activities.

Finally, applicants are required to supply the names of the entities from which applicants have received assistance awards or contracts for similar activities over the past three years. Reference information should include addresses, current telephone numbers, current points of contact, award numbers if available, and brief descriptions of the work performed.

4. FOGs

General Information:

This section reflects further details on FOGs to be awarded under this APS. All other requirements mentioned for standard awards under this APS remain applicable to FOGs as well.

i. Period of Performance The period of performance for programs funded under this APS should not exceed 3 years.

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ii. Fixed Obligation Grants

FOGs support a program with very specific elements and are appropriate for supporting specific projects when USAID is confident that a reasonable estimate of the actual cost of the overall effort can be established. The applicant must be able to identify and quantify programmatic accomplishments or results in establishing grant milestones. FOGs are based on the achievement of milestones. It focuses on outputs and results. Guidance on FOGs can be found in ADS 303.3.25 at the following link: http://www.usaid.gov/policy/ads/300/303.pdf

Appropriate activities for FOGs include but are not limited to:

Capacity building activities for agricultural producers, businesses and trade associations with costs segregated by milestone achievements;

Business development services with costs segregated by milestone achievements; and

Other innovative and bold approaches to increasing participation in agricultural policy dialogue by NSA or community engagement for literacy when costs can be segregated by milestone achievements.

Applicants who submit concept papers that fall within the parameters of FOGs may be required to submit a full application and will be notified if successful or unsuccessful based on the evaluation of their concept paper only. If appropriate, these applicants may be given additional instructions on how their concept paper should be revised to meet the requirements of this APS.

Detailed Budget and Budget Narrative

Please be advised that budgets submitted under potential FOGs should be associated with specific milestones and should describe in sufficient detail established program milestone and associated amount.

iii.Cooperative Agreements

USAID anticipates assistance in the form of Cooperative Agreement(s) are to be awarded as a result of this APS. Under a Cooperative Agreement, USAID may be substantially involved in the following areas:• USAID approval of the recipient’s Annual Work/Implementation Plans• USAID approval of key personnel funded under the agreement (minimum of

three but maximum of five)• USAID approval of the program’s Monitoring and Evaluation (M&E) Plans, including indicators• USAID approval of sub-recipients (sub-grants/sub-awards) and corresponding activities

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• USAID monitoring to permit direction and redirection because of interrelationships with other projects

• USAID branding and marking plan must be received and approved before awards may be made

SECTION VI: OTHER IMPORTANT INFORMATION

1. PRE-SOLICITATION CONFERENCE

In order to assist potential Applicants understand how USAID conducts its business as well as the requirements of this APS, a pre-solicitation conference will be organized and held on the dates indicated on the cover page of this APS. A separate session will be held for each Program Area. Applicants can attend more than one session if they intend to submit concept papers under the two Program Areas. However, each organization/firm shall be limited to a maximum of 2 representatives.

Attendance at the Conference will be via registration with USAID and a formal invitation and agenda will be issued to organizations/firms that successfully register. Organizations/firms without valid registrations will not be allowed at the Conference.

2. QUESTIONS AND ANSWERS:

Questions before the submission of concept papers are due no later than the times specified on the cover page of this APS. Please send questions to Patrick Kollars, Agreement Officer, pkollars@usaid.gov and Joseph Tembo, Senior A&A Specialist and Gideon Suya, Acquisition Specialist at OAA-SOLICIT- LILONGWE@usaid.gov

Responses/Answers are anticipated within a week of submission of questions.

3. CONCEPT PAPER DUE DATE:

Submission of concept papers will be no later than the times specified on the APS cover page, unless an extension is granted through an amendment to the APS. Concept papers must be submitted electronically to Patrick Kollars, Agreement Officer, pkollars@usaid.gov , Joseph Tembo, Senior A&A Specialist and Gideon Suya, Acquisition Specialist at OAA-SOLICIT-LILONGWE@usaid.gov

4. FORMAT FOR SUBMITTING CONCEPT PAPERS

Concept Papers should be submitted to the Mission Primary Point of Contact as provided in this APS. Please note that hard copies will be accepted.

All correspondence must include the relevant APS number and title.

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Full applications are not required until the Agreement Officer or A&A Specialist specifically sends a request to you or your organization.

An award shall be made only by the USAID/Malawi Regional Agreement Officer upon his/her signature to incur costs but only after he/she makes a positive responsibility determination that the applicant possesses, or has the ability to obtain, the necessary management competence in carrying out assistance programs and that it will practice mutually agreed upon methods of accountability for funds and other assets provided by USAID.

4. PRE-AWARD SURVEYS

For organizations that are new to working with USAID or for organizations with outstanding audit findings, USAID may perform a pre-award survey to assess the applicant’s management and financial capabilities. If notified by USAID that a pre-award survey is necessary, applicants must prepare, in advance, the required information and documents. Please note that a pre-award survey does not commit USAID to make any award.

5. POST AWARD REPORTING

Not later than thirty (30) days from the effective date of the award, the recipient shall submit to the Agreement Officer’s Representative (AOR), the initial work plan which shall update all details of the application’s Illustrative First Year Work Plan, including any refinements negotiated pre-award and a revised version of the Performance Monitoring and Evaluation Plan.The plan shall include a detailed plan for managing the collection of data in order to monitor performance and report thereon.

6. BRANDING

Effective January 2, 2006, all USAID-sponsored assistance awards are required to adhere to branding policies and revised marking requirements for grants and cooperative agreements in accordance with ADS 320. This includes visibly displaying the USAID Standard Graphic Identity that clearly communicates assistance is, From the American people on all programs, projects, activities, publications, public communications, and commodities provided or supported through USAID assistance awards. ADS 320 requires that, after the evaluation of the applications, the USAID Agreement Officer will request the Apparently Successful Applicant to submit a Branding Strategy that describes how the program, project, or activity is named and positioned, how it is promoted and communicated to beneficiaries and cooperating country citizens, and identifies all donors and explains how they will be acknowledged. USAID will not competitively evaluate the proposed Branding Strategy. ADS 320 may be found at the following website: www.usaid.gov/policy/ads/300/320.pdf

7. ENVIRONMENTAL PROCEDURES

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1. The Foreign Assistance Act of 1961, as amended, Section 117 requires that the impact of USAID’s activities on the environment be considered and that USAID include environmental sustainability as a central consideration in designing and carrying out its development programs. This mandate is codified in Federal Regulations (22 CFR 216) and in USAID’s Automated Directives System (ADS) Parts 201.5.10g and 204 (http://www.usaid.gov/policy/ads/200/ ), which, in part, require that the potential environmental impacts of USAID-financed activities are identified prior to a final decision to proceed and that appropriate environmental safeguards are adopted for all activities. i.e.: environmental compliance obligations under these regulations and procedures are specified in the following paragraphs of this APS.

2. In addition, the contractor/recipient must comply with host country environmental regulations unless otherwise directed in writing by USAID. In case of conflict between host country and USAID regulations, the latter shall govern.

3. No activity funded under this Cooperative Agreement will be implemented unless an environmental threshold determination, as defined by 22 CFR 216, has been reached for that activity, as documented in a Request for Categorical Exclusion (RCE), Initial Environmental Examination (IEE), or Environmental Assessment (EA) duly signed by the Bureau Environmental Officer (BEO). (Hereinafter, such documents are described as ―approved Regulation 216 environmental documentation.)

8. GENDER CONSIDERATIONS

In accordance with USAID’s recognition that gender issues are important considerations in development, and in keeping with the program planning guidance outlined in USAID regulationsADS 201.3.9.3 and ADS 303.3.6.3 (available at http://www.usaid.gov/policy/ads/ ), please outline the most significant gender issues that will be considered during activity planning and implementation.

9. DISABILITY INCLUSIVENESS

Applicants will be expected to clearly demonstrate specific internal and external organizational disability inclusive practices or actions that will be adopted to directly improve the lives of persons with disabilities. Further, the applicants should outline how the project /activities would help achieve a sustainable disability inclusive outcome.

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10. USAID CONSTRUCTION POLICY

USAID may use an assistance award to finance construction activities only when all of the followingconditions apply:

i. The award is a cooperative agreement (CA), since greater oversight is possible through substantial involvement by USAID (see ADS 303.3.11).  Where construction activities are financed under contracts, operating units are encouraged to use fixed price contracts to the greatest degree possible. Construction must not be financed under a grant;ii.   The CA complies with the requirements of ADS 221 USAID’s Procedures

for Implementing International Agreements for Tied and Untied Aid;iii.   The CA must expressly state that no construction activities other than those explicitly approved under the agreement may be performed as part of the cooperative agreement;iv. Construction activities must be explicit in the budget;v. A term of substantial involvement must be the right of the Agreement Officer’s Representative (AOR) to halt construction; andvi.   The construction activities are only a portion of all award activities and       1.  The estimated cost of construction activities at a single project site is less than $500,000 and       2.  The total aggregate estimated cost of construction activities under the award is less than             $10,000,000.

11. CENTRAL CONTRACTOR REGISTRATION AND UNIVERSAL IDENTIFIER

In order for USAID to make an award to any recipient, that recipient must have a valid central contractor registration and Data Universal Numbering System (DUNS) number/identifier.

Registration is free and the procedures are simple to complete. Full registration details; please refer to the information below:

(1)Additional information about registration procedures may be found at the CCR Internet site (currently at www.ccr.gov/).

(2) A DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or the Internet (currently at www.fedgov.dnb.com/webform ).

SECTION VII: EVALUATION CRITERIA

1. Conformance with USAID Forward

Applicants should integrate principles outlined in USAID Forward (http://forward.usaid.gov) which encompasses USAID providing grants to more

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and varied local and non-traditional partners. As such, this APS is inviting local and regional partners to submit applications. In addition, in conformity with USAID Forward, this APS seeks to encourage creative partnerships. For applicants seeking Cooperative Agreements, this could be between the lead organization and sub-grantees. Where the sub-grantee is a US or international organization, the specific role of that partner should be clearly stated. Partnerships with private sector are strongly encouraged, when appropriate.

2. Evaluation Criteria for Full Application

The technical applications will be evaluated in accordance with the technical evaluation criteria set forth below. Awards will be made to the applicant whose application offers the best value to the U.S. Government (USG), considering both technical and cost factors. Applicants should note that these criteria: (1) serve as the standard against which all applications will be evaluated, and (2) serve to identify the significant matters that recipients should address in their applications.

All evaluation factors other than cost, when combined, are significantly more important than cost. The criteria set forth below are in descending order of importance, as stated by their points value, and the sub-criteria within each criterion are of equal importance.

A: Technical Approach (60 points out of 100)

o Demonstrates understanding of the subject content including the policy context as indicated in the Background and Overview sections.

o Degree to which the program approach and strategies proposed are bold, innovative, and feasible.

o Includes a clear implementation plan as listed in this APS.

o Includes a clear plan for sustainability of activities and approaches or activities that can be scaled up.

o Includes a clear performance monitoring and evaluation plan with measurable indicators as well as a learning agenda with a proposed development hypothesis to be tested.

B: Partnerships (15 points out of 100)

The application shall demonstrate partnerships which include:

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o Collaboration, inclusion, and strengthening of local and non-traditional partners (i.e., local organizations, civil society, governments, private companies, etc.). .

o Engagement of the private sector for innovation solutions.

C: Project Management & Institutional Capacity (15 points out of 100)

o Demonstrates capacity to recognize and adjust to shifting political and social environments over the life of a project that addresses the existing sensitivities around NSA participation in governance, or

o Demonstrates capacity to recognize and adjust to shifting political and social environments over the life of a project that addresses the changing needs of schools, government policies, and student learning needs in relation to school management.

o Demonstrates institutional capacity to manage (technically, administratively and financially) a project relevant to advocacy and organizational capacity building.

o Clearly demonstrates how progress and impacts will be tracked, measured and reported, with clear and appropriate milestones, expected accomplishments, with measurable output and performance indicators based on global standards, along with a plan to document and share good practices and lessons learned.

o Demonstrates long term experience by key staff (minimum of one (1) to be provided, with maximum of three (3) per application) in implementation of relevant programming, regional experience and knowledge, and language capabilities, if possible.

o Has an established and successful institutional presence in Malawi or the region.

D: Past Performance (10 points out of 100)

o Demonstrates performance in (a) achieving results (including concrete developmental results of the programs), and (b) implementation of projects/activities similar in scope and breadth, including evidence of adherence to contract schedules and requirements, timely and thorough periodic reporting, forecasting and controlling costs and quality of products delivered, and (c) developing sound programs in a collaborative fashion.

o Has successful institutional track record in implementing projects/activities of similar scope, complexity and size. Has a history of

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reasonable and cooperative behavior; open lines of communication; the ability to follow-up on and resolve outstanding issues; and a commitment to customer satisfaction in previous USG-funded activities/projects similar in scope and activity.

SECTION VIII: AWARD AND ADMINISTRATION INFORMATION

(1) Post- Selection Information Following selection of an awardee, USAID will inform the successful applicant concerning the award. A notice of award signed by the Agreement Officer is the official authorization document, which USAID will provide either electronically or in hard copy to the successful applicant’s main point of contact. USAID also will notify unsuccessful applicants concerning their status after selection has been made.

(2) Standard Provisions and Deviations There is no standard provision deviations contemplated under this award.

(3) General Information on Reporting Requirements Program implementation reporting will be determined based on the outcome of the collaborative finalization of the planned program and the delineation of roles and responsibilities. An annual performance monitoring and evaluation plan, using established baseline data and specific, measurable targets and indicators will also be agreed upon. Financial reporting will be in accordance with the requirements of the obligating document.

The following reports and related requirements will be included in the cooperative agreements issued as a result of this APS:(a). Start-up Plan(b). Annual Work Plan(c). Performance Monitoring Plan(d). Quarterly Financial Reports(e). Final Project Report(f). Mid-Term and Final Evaluation

SECTION IX: AGENCY CONTACTS

The points of contact for this APS and any questions during the APS process are Patrick Kollars, Agreement Officer at pkollars@usaid.gov, and Joseph Tembo, Senior Acquisition Specialist at OAA-SOLICIT-LILONGWE@usaid.gov>

Any prospective applicant desiring an explanation or interpretation of this APS must request it in writing by the date listed on the cover letter to allow

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a reply to reach all prospective applicants before the submission of their applications. Oral explanations or instructions given before award of a Cooperative Agreement will not be binding. Any information given to a prospective applicant concerning this APS will be furnished promptly to all other prospective applicants as an amendment of this APS, if that information is necessary in submitting applications or if the lack of it would be prejudicial to any other prospective applicants.

SECTION X: REFERENCE MATERIALS

Detailed reference materials for each of the sectors can be obtained from the following links:

Program Area #1: Malawi Agriculture Policy Strengthening (MAPS)www.ftt.gov www.usaid.gov/mw

PROGRAM AREA #2: STRENGTHENING EARLY GRADE READING FOR MALAWI CHILDREN PROGRAM

www.usaid.gov/our_work/education_and_universities/goal1.htmlwww.usaid.gov/our_work/education_and_universities/documents/USAID_ED_Strategy_feb2011.pdf www.allchildrenreading.org www.usaid.gov/mw

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CERTIFICATIONS, ASSURANCES, AND OTHER STATEMENTS OF THE RECIPIENT (MAY 2006)

The certification and other statements of the recipient will be submitted only after a successful Concept Paper has been approved.

NOTE: When these Certifications, Assurances, and Other Statements of Recipient are used for cooperative agreements, the term "Grant" means "Cooperative Agreement".

PART I - CERTIFICATIONS AND ASSURANCES ASSURANCE OF COMPLIANCE WITH LAWS AND REGULATIONS GOVERNING NON-DISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS

(a) The recipient hereby assures that no person in the United States shall, on the bases set forth below, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under, any program or activity receiving financial assistance from USAID, and that with respect to the Cooperative Agreement for which application is being made, it will comply with the requirements of:

(1) Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352, 42 U.S.C. 2000-d), which prohibits discrimination on the basis of race, color or national origin, in programs and activities receiving Federal financial assistance; (2) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which prohibits discrimination on the basis of handicap in programs and activities receiving Federal financial assistance; (3) The Age Discrimination Act of 1975, as amended (Pub. L. 95-478), which prohibits discrimination based on age in the delivery of services and benefits supported with Federal funds; (4) Title IX of the Education Amendments of 1972 (20 U.S.C. 1681, et seq.), which prohibits discrimination on the basis of sex in education programs and activities receiving Federal financial assistance (whether or not the programs or activities are offered or sponsored by an educational institution); and (5) USAID regulations implementing the above nondiscrimination laws set forth in Chapter II of Title 22 of the Code of Federal Regulations.

(b) If the recipient is an institution of higher education, the Assurances given herein extend to admission practices and to all other practices relating to the treatment of students or clients of the institution, or relating to the opportunity to participate in the provision of services or other benefits to such individuals, and shall be applicable to the entire institution unless the recipient establishes to the satisfaction of the USAID Administrator that the institution's practices in designated parts or

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programs of the institution will in no way affect its practices in the program of the institution for which financial assistance is sought, or the beneficiaries of, or participants in, such programs.

(c) This assurance is given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts, property, discounts, or other Federal financial assistance extended after the date hereof to the recipient by the Agency, including installment payments after such date on account of applications for Federal financial assistance which was approved before such date. The recipient recognizes and agrees that such Federal financial assistance will be extended in reliance on the representations and agreements made in this Assurance, and that the United States shall have the right to seek judicial enforcement of this Assurance. This Assurance is binding on the recipient, its successors, transferees, and assignees, and the person or persons whose signatures appear below are authorized to sign this Assurance on behalf of the recipient.

2. CERTIFICATION REGARDING LOBBYING The undersigned certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal Cooperative Agreement, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities,‖ in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of

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this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, United States Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

3. Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206) USAID reserves the right to terminate this Agreement, to demand a refund or take other appropriate measures if the Grantee is found to have been convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140. The undersigned shall review USAID ADS 206 to determine if any certifications are required for Key Individuals or Covered Participants.

If there are COVERED PARTICIPANTS: USAID reserves the right to terminate assistance to or take other appropriate measures with respect to, any participant approved by USAID who is found to have been convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140.

4. CERTIFICATION REGARDING TERRORIST FINANCING IMPLEMENTING EXECUTIVE ORDER 13224

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.

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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) and is available online at OFAC’s website : http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf, 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, safehouses, 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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(ii) an act of premeditated, politically motivated violence perpetrated against noncombatant targets by subnational 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.

5. CERTIFICATION OF RECIPIENT By signing below the recipient provides certifications and assurances for (1) the Assurance of Compliance with Laws and Regulations Governing Non-Discrimination in Federally Assisted Programs, (2) the Certification Regarding Lobbying, (3) the Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206) and (4) the Certification Regarding Terrorist Financing Implementing Executive Order 13224 above. RFA/APS No. ________________________________ Application No. ______________________________ Date of Application ______________________________ Name of Recipient _______________________________ Typed Name and Title __________________________________ Signature _____________________________________

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Date _______________

PART II - KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING

I hereby certify that within the last ten years: 1. I have not been convicted of a violation of, or a conspiracy to violate, any law or regulation of the United States or any other country concerning narcotic or psychotropic drugs or other controlled substances. 2. I am not and have not been an illicit trafficker in any such drug or controlled substance. 3. I am not and have not been a knowing assistor, abettor, conspirator, or colluder with others in the illicit trafficking in any such drug or substance. Signature: ____________________________ Date: ____________________________ Name: ____________________________ Title/Position: ____________________________ Organization: ____________________________ Address: ____________________________ ____________________________ Date of Birth: ____________________________ NOTICE: 1. You are required to sign this Certification under the provisions of 22 CFR Part 140, Prohibition on Assistance to Drug Traffickers. These regulations were issued by the Department of State and require that certain key individuals of organizations must sign this Certification. 2. If you make a false Certification you are subject to U.S. criminal prosecution under 18 U.S.C. 1001.

PART III - PARTICIPANT CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING 1. I hereby certify that within the last ten years: a. I have not been convicted of a violation of, or a conspiracy to violate, any law or regulation of the United States or any other country concerning narcotic or psychotropic drugs or other controlled substances. b. I am not and have not been an illicit trafficker in any such drug or controlled substance. c. I am not or have not been a knowing assistor, abettor, conspirator, or colluder with others in the illicit trafficking in any such drug or substance. 2. I understand that USAID may terminate my training if it is determined that I engaged in the above conduct during the last ten years or during my USAID training. Signature: ___________________________________ Name: ___________________________________ Date: ___________________________________ Address: ___________________________________ ___________________________________

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Date of Birth: ___________________________________ NOTICE: 1. You are required to sign this Certification under the provisions of 22 CFR Part 140,Prohibition on Assistance to Drug Traffickers. These regulations were issued by the Department of State and require that certain participants must sign this Certification. 2. If you make a false Certification you are subject to U.S. criminal prosecution under 18 U.S.C. 1001.

PART IV - RESERVED.

PART V - SURVEY ON ENSURING EQUAL OPPORTUNITY FOR APPLICANTS Applicability: The Applicant is invited to complete the Survey on Ensuring Equal Opportunity for Applicant, located at the link below, and include it in the application. The Applicant’s completion of the survey is voluntary. The absence of a completed survey in an application is not a basis upon which the application is determined incomplete or non-responsive. http://apply07.grants.gov/apply/forms/sample/FaithBased_SurveyOnEEO-V1.2.pdf

PART VI - OTHER STATEMENTS OF RECIPIENT

1. AUTHORIZED INDIVIDUALS The recipient represents that the following persons are authorized to negotiate on its behalf with the Government and to bind the recipient in connection with this application or grant: Name Title Telephone No. Facsimile No. ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ 2. TAXPAYER IDENTIFICATION NUMBER (TIN) If the recipient is a U.S. organization, or a foreign organization which has income effectively connected with the conduct of activities in the U.S. or has an office or a place of business or a fiscal paying agent in the U.S., please indicate the recipient's TIN: TIN: ________________________________

3. DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (a) In the space provided at the end of this provision, the recipient should supply the Data Universal Numbering System (DUNS) number applicable to that name and address. Recipients should take care to report the number that identifies the recipient's name and address exactly as stated in the proposal. (b) The DUNS is a 9-digit number assigned by Dun and Bradstreet Information Services. If the recipient does not have a DUNS number, the recipient should call Dun and Bradstreet directly at 1-800-333-0505. A

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DUNS number will be provided immediately by telephone at no charge to the recipient. The recipient should be prepared to provide the following information: (1) Recipient's name. (2) Recipient's address. (3) Recipient's telephone number. (4) Line of business. (5) Chief executive officer/key manager. (6) Date the organization was started. (7) Number of people employed by the recipient. (8) Company affiliation. (c) Recipients located outside the United States may obtain the location and phone number of the local Dun and Bradstreet Information Services office from the Internet Home Page at http://www.dbisna.com/dbis/customer/custlist.htm. If an offeror is unable to locate a local service center, it may send an e-mail to Dun and Bradstreet at globalinfo@dbisma.com

The DUNS system is distinct from the Federal Taxpayer Identification Number (TIN) system. DUNS: ________________________________________

4. LETTER OF CREDIT (LOC) NUMBER If the recipient is a US organization and has an existing Letter of Credit (LOC) with USAID, please indicate the LOC number: LOC: _________________________________________

5. PROCUREMENT INFORMATION (a) Applicability. This applies to the procurement of goods and services planned by the recipient (i.e., contracts, purchase orders, etc.) from a supplier of goods or services for the direct use or benefit of the recipient in conducting the program supported by the grant, and not to assistance provided by the recipient (i.e., a subgrant or subagreement) to a subgrantee or sub recipient in support of the sub grantee’s or sub recipient’s program. Provision by the recipient of the requested information does not, in and of itself, constitute USAID approval. (b) Amount of Procurement. Please indicate the total estimated dollar amount of goods and services which the recipient plans to purchase under the grant: $__________________________ (c) Nonexpendable Property. If the recipient plans to purchase nonexpendable equipment which would require the approval of the Agreement Officer, please indicate below (using a continuation page, as necessary) the types, quantities of each, and estimated unit costs. Nonexpendable equipment for which the Agreement Officer's approval to purchase is required is any article of nonexpendable tangible personal

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property charged directly to the grant, having a useful life of more than one year and an acquisition cost of $5,000 or more per unit.

TYPE/DESCRIPTION (Generic) QUANTITY ESTIMATED UNIT COST

(d) Source and Componentry of Goods. If the recipient plans to purchase any goods/commodities which are not of U.S. source and/or does not contain at least 50% componentry, which are not at least 50% U.S. source, please indicate below (using a continuation page, as necessary) the types and quantities of each, estimated unit costs of each, and probable source, to include the probable source of the components if less than 50% U.S. components will be contained in the commodity. "Source" means the country from which a commodity is shipped to the cooperating country or the cooperating country itself if the commodity is located therein at the time of purchase. However, where a commodity is shipped from a free port or bonded warehouse in the form in which received therein, "source" means the country from which the commodity was shipped to the free port or bonded warehouse. Any commodity whose source is a non-Free World country is ineligible for USAID financing. "Components" are the goods, which go directly into the production of a produced commodity. Any component from a non-Free World country makes the commodity ineligible for USAID financing.

TYPE/DESCRIPTION QUANTITY ESTIMATED GOODS PROBABLE GOODS PROBABLE (Generic) UNIT COST COMPONENTS SOURCE COMPONENTS

(e) Restricted Goods. If the recipient plans to purchase any restricted goods, please indicate below (using a continuation page, as necessary) the types and quantities of each, estimated unit costs of each, intended use, and probable source. Restricted goods are Agricultural Commodities, Motor Vehicles, Pharmaceuticals, Pesticides, Rubber Compounding Chemicals and Plasticizers, Used Equipment, U.S. Government-Owned Excess Property, and Fertilizer. TYPE/DESCRIPTION QUANTITY ESTIMATED PROBABLE INTENDED USE (Generic) UNIT COST SOURCE

(f) Supplier Nationality. If the recipient plans to purchase any goods or services from suppliers of goods and services whose nationality is not in the U.S., please indicate below (using a continuation page, as necessary) the types and quantities of each good or service, estimated costs of each, probable nationality of each non-U.S. supplier of each good or service, and the rationale for purchasing from a non-U.S. supplier. Any supplier whose nationality is a non-Free World country is ineligible for USAID financing.

TYPE/DESCRIPTION QUANTITY ESTIMATED PROBABLE SLUPPIER NATIONALITY RATIONALE

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(Generic) UNIT COST (Non-US Only) for NON-US

(g) Proposed Disposition. If the recipient plans to purchase any nonexpendable equipment with a unit acquisition cost of $5,000 or more, please indicate below (using a continuation page, as necessary) the proposed disposition of each such item. Generally, the recipient may either retain the property for other uses and make compensation to USAID (computed by applying the percentage of federal participation in the cost of the original program to the current fair market value of the property), or sell the property and reimburse USAID an amount computed by applying to the sales proceeds the percentage of federal participation in the cost of the original program (except that the recipient may deduct from the federal share $500 or 10% of the proceeds, whichever is greater, for selling and handling expenses), or donate the property to a host country institution, or otherwise dispose of the property as instructed by USAID.

TYPE/DESCRIPTION (Generic) QUANTITY ESTIMATED UNIT COST PROPOSED DISPOSITION

6. PAST PERFORMANCE REFERENCES On a continuation page, please provide past performance information requested in the APS.

7. TYPE OF ORGANIZATION The recipient, by checking the applicable box, represents that - (a) If the recipient is a U.S. entity, it operates as [ ] a corporation incorporated under the laws of the State of, [ ] an individual, [ ] a partnership, [ ] a nongovernmental nonprofit organization, [ ] a state or loc al governmental organization, [ ] a private college or university, [ ] a public college or university, [ ] an international organization, or [ ] a joint venture; or (b) If the recipient is a non-U.S. entity, it operates as [ ] a corporation organized under the laws of _____________________________ (country), [ ] an individual, [ ] a partnership, [ ] a nongovernmental nonprofit organization, [ ] a nongovernmental educational institution, [ ] a governmental organization, [ ] an international organization, or [ ] a joint venture.

8. ESTIMATED COSTS OF COMMUNICATIONS PRODUCTS The following are the estimate(s) of the cost of each separate communications product (i.e., any printed material [other than non- color photocopy material], photographic services, or video production services) which is anticipated under the grant. Each estimate must include all the costs associated with preparation and execution of the product. Use a continuation page as necessary.

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[End of APS-612-12-000001]

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