Pacebook vol 1- Getting to grants

Last updated on November 01, 2012 “This publication was prepared by Management Systems International (MSI) for the Promoting Active Citizen Engagement (PACE) program funded by the United States Agency for International Development (USAID). The contents are the responsibility of MSI and do not necessarily reflect the views of USAID.”

PACEbook 1.0 GETTING TO GRANTS HANDBOOK PROMOTING ACTIVE CITIZEN ENGAGEMENT (PACE)

PACE GRANTEE HANDBOOK i

CONTENTS SECTION 1. INTRODUCTION...................................................................................................................... 2

1.1. PACE Overview and Objectives ...................................................................... 2 1.2. Guiding Principles ........................................................................................... 2 1.3. PACE Grants Fund .......................................................................................... 3

SECTION 2. TYPES OF GRANTS ............................................................................................................... 3 2.1. Grant Categories and Sizes .............................................................................. 4 2.1. Fixed Obligation Grants (FOGs) ..................................................................... 4 2.2. Simplified Grants (SIGs) ................................................................................. 5 2.3. In-Kind Grants ................................................................................................. 6

SECTION 3. GRANT ELIGIBILITY REQUIREMENTS ................................................................................ 7 3.1. Eligible Organizations ..................................................................................... 7 3.2. Ineligible Organizations ................................................................................... 7 3.3. Eligible Activities ............................................................................................ 8 3.4. Ineligible Activities and Unallowable Costs.................................................... 8

SECTION 4. GRANT SOLICITATION AND APPLICATION PROCESS ..................................................... 9 4.1. Solicitation Instruments ................................................................................... 9 4.2. Advertising Solicitations ................................................................................ 10 4.3. Handling of Questions About Solicitations ................................................... 10 4.4. Application Processing and Notification of Applicants ................................. 10 4.5. ‘Getting to Grants’ Workshops and Pre-Proposal Briefings .......................... 11

SECTION 5. GRANTEE SELECTION PROCESS ..................................................................................... 12 5.1. Technical Evaluation of Concept Papers and Grant Applications ................. 12 5.2. Budget and Grantee Contributions Review ................................................... 13 5.3. Branding Strategy and Marking Plan ............................................................. 14 5.4. Vetting and Reference Checks ....................................................................... 14 5.5. Pre-Award Surveys ........................................................................................ 15 5.6. Grant Agreement Signature and Grant Launch Workshop ............................ 15

ANNEX A. ELEMENTS OF GOOD GRANT APPLICATIONS .................................................................. 16 ANNEX B. REQUIRED CERTIFICATIONS ................................................................................................ 17 ANNEX C. AGENDA FOR GRANT LAUNCH WORKSHOP ..................................................................... 23 ANNEX D. GRANTEE HANDBOOK EVALUATION SHEET .................................................................... 24

PACEBOOK 1.0: GETTING TO GRANTS HANDBOOK 2

SECTION 1. INTRODUCTION The purpose of PACEbook is to provide potential and existing grantees of the Promoting Active Citizen Engagement (PACE) program with guidance, tips, and tools for successful grant management—from responding to a solicitation to close-out. PACEbook comes in two volumes. Volume 1, “Getting to Grants,” focuses on pre-award steps—i.e., what potential partners need to know about the grant-making process and how to prepare a grant concept paper or application. Volume 2, “Managing Grants,” focuses on post-award steps—i.e., what partners need to know to successfully manage their PACE grant. 1.1. PACE Overview and Objectives Funded by the United States Agency for International Development (USAID), PACE is a three-year program that seeks to strengthen civil society capacity to act as a catalyst for change through civic advocacy and participation. To that end, PACE focuses on three mutually reinforcing activities: • Develop policy alternatives that respond to citizen concerns at the local, regional,

and national levels • Support media marketing, reporting, and analysis of policy alternatives based on

citizen concerns • Provide grants to Lebanese civil society organizations (CSOs) to increase civic

advocacy, activism, and participation through activities that respond to citizen concerns

Through grants, training, and technical assistance, PACE partners with CSOs across Lebanon to reach broad constituencies, particularly youth, women, and vulnerable groups. PACE runs from October 1, 2011, through September 30, 2014. Day-to-day implementation of the program is handled by Management Systems International (MSI), an international development firm based in Washington, D.C. Founded in 1981, MSI (www.msiworldwide.com) manages projects worldwide in areas such as democratic governance, economic growth, organizational capacity building, health, and the justice sector. PACE is implemented by MSI in partnership with IREX (www.irex.org) under USAID’s Global Civil Society Strengthening (GCSS) Leader With Associates (LWA) award held by Counterpart International (www.counterpart.org). 1.2. Guiding Principles PACE operates based on a set of guiding principles that we seek to embody and reflect in all of our work: • Leveraging local partnerships. PACE works with and through Lebanese CSOs.

We view PACE as a program for the Lebanese and by the Lebanese. With this in mind, PACE grants are meant to empower local CSOs to advance their mission and achieve positive social impact.

http://www.msiworldwide.com/

http://www.irex.org/

http://www.counterpart.org/


• Driven by citizen concerns. PACE seeks to respond to the concerns of Lebanese citizens in areas that can be influenced by civil society actors. For this reason, PACE programmatic approaches and thematic areas are based on the findings of a national opinion survey conducted at the start of the program.

• Non-partisan, non-confessional approach. PACE is committed to supporting non-partisan, non-confessional approaches to civic engagement. To that end, we seek to achieve balance in our geographic reach and to bolster CSOs in advancing causes that cut across confessional and partisan lines.

• Women, youth, and vulnerable populations as key beneficiaries. While PACE seeks to engage broad constituencies, a cross-cutting focus of our work is to ensure program benefits extend to women as well as men, youth (15-29 years of age), and marginalized segments of society.

• Using the media to amplify impact. Recognizing that the media in all its forms is a critical tool for effective public outreach, PACE includes a major media component that seeks to assist CSOs in making strategic use of various media platforms to inform, engage, and advocate.

1.3. PACE Grants Fund PACE uses competitive grant-making processes to partner with Lebanese civil society organizations, non-governmental organizations, social enterprises, media-related entities, and other civic actors. The total grants pool is approximately $3.65 million over three years. PACE grants are awarded to eligible organizations based on publicly advertised solicitations. Calls for proposals are made either through Annual Program Statements (APSs) or Requests for Applications (RFAs). An evaluation panel consisting of PACE and USAID representatives reviews grant proposals based on transparent evaluation criteria. Annex A lists some common elements of good grant applications. While each solicitation has specific evaluation criteria, PACE generally favors grant applications that demonstrate: • Approaches that bring together a broad spectrum of Lebanese society to address

citizen concerns • Potential to impact youth, women, and marginalized groups • Networking and partnerships with diverse civic actors at the local or national

levels • Leveraging of various media platforms to amplify impact • Potential for sustainability of the intervention once grant funding ends

Your feedback is important to us!

PACEbook is designed to be a “living document” that will be continually refined based on your feedback. Please help us improve this document by completing the evaluation sheet in Annex D of the handbook and submitting it to [email protected].

mailto:[email protected]


SECTION 2. TYPES OF GRANTS This section describes the various categories and types of grants issued by the PACE program, and the different conditions that apply to each. All grant awards are administered in accordance with USAID regulations. 2.1. Grant Categories and Sizes PACE grants are issued in four broad categories: • Civic engagement grants • Media grants • Social entrepreneurship grants • Capacity-building grants

PACE grants vary in size, depending on the specific nature of a solicitation and resulting awards. Typically, grants fall into one of the following tranches: • $250,000-$500,000, for durations of 12-18 months, to support complex activities

with a clear sustainability plan. Such grants are expected to be exceptional. • $125,000-$250,000 to support projects typically for durations of up to 12 months. • Grants below $125,000 for specific sets of activities, particularly those with

innovative elements, or rapid response to windows of opportunity. PACE uses various types of grant mechanisms, such as Fixed Obligation Grants (FOGs), Simplified Grants (SIGs), and Standard Grants, per USAID rules and regulations. The majority of PACE grants consist of FOGs, followed by SIGs. As Standard Grants are the exception, the PACEbook focuses on FOGs and SIGs. Grant solicitations specify the grant mechanism to be used. If an applicant lacks adequate financial management systems, PACE may provide some components of the grant in-kind or may impose additional requirements, known as “special award conditions.” These conditions may for example require pre-approval of certain procurements, assisted payroll payments, or extra reporting. 2.1. Fixed Obligation Grants (FOGs) PACE uses fixed obligation grants (FOGs) to support activities with very specific elements and reasonable certainty about associated costs, and when the achievement of grant results or milestones is readily discernible. This type of grant may also be used for quick-impact activities with a limited scope and short duration. FOGs are not appropriate if substantial changes in the milestones are expected as the grantee implements its project. Because payments are based on the achievement of milestones, the structure of the payments is critical under a FOG. Grantees are paid a set amount when they accomplish a predetermined milestone. PACE will negotiate a fair budget prior to grant award to ensure that the amount requested is an accurate estimate of the actual cost of the activity, using a combination of market research and available cost


information. The grant agreement will detail what is expected for each milestone, as well as the documentation required to verify milestone completion. Conditions that apply to FOGs include: • Grantees receive payment upon the completion of pre-determined milestones.

Advances are not allowed, but the initial milestone payment can be structured to occur within 15 days of grant signing based on the submission of a verifiable milestone (such as a detailed work plan) to provide the grantee with sufficient financial liquidity.

• Programmatic accomplishments or results in establishing grant milestones must be easily identified and quantified. Milestones generally have three parts: (a) a description of the task, deliverable or goal to be accomplished, (b) a description of how the grantee will document completion of the task, deliverable, or goal, with target dates, and (c) the amount that PACE will pay the grantee for each milestone.

• All costs to be charged to the grant must be identified in the budget and explained in the budget notes. In preparing the budget, the applicant must provide sufficient cost information for PACE to determine and negotiate the payment structure and ensure that the total FOG amount is a reasonable and realistic indication of the actual cost of the effort.

• No indirect costs can be included. Indirect costs are costs that cannot be directly identified with a single grant but are applied equitably across all of the business activities of the organization. A portion of administrative costs, such as office rent, communications, and utilities, may be included if they can be allocated directly to the grant.

2.2. Simplified Grants (SIGs) PACE uses Simplified Grants (SIGs) when a greater degree of flexibility is needed in carrying out the grant-funded activity and when activity costs cannot be easily defined upfront. Under a SIG, the grantee is paid for costs incurred after presenting receipts and other support documentation. Costs incurred must be part of the approved grant budget and be necessary and reasonable for implementation of the grant. The maximum value of a SIG cannot exceed $150,000 per USAID regulations. Conditions that apply to SIGs include: • Grantees receive payment on a cost-reimbursement basis and must provide

detailed receipts and financial reports to substantiate costs. Reimbursement will only be made based on costs incurred and upon acceptance of a financial and technical report. All costs to be charged to the grant must be identified in the grant agreement.

• Advances are only issued in exceptional circumstances, provided the organization

meets the financial qualifications required to receive advances. Ideally, the grantee should have access to a minimum amount of working capital to start the grant


activity and must have accounting systems that are able to produce reliable and accurate financial reports documenting costs incurred. When advances are permitted, they will only be made once prior advances have been liquidated.

• If the grantee is a non-U.S. organization that will expend $300,000 or more in

USAID awards (i.e., organizations that receive USAID funds either directly or through a prime contractor or recipient) in its fiscal year, then the grantee must have an annual audit conducted in accordance with applicable USAID guidelines.

• The grantee cannot purchase any equipment with grant funds. “Equipment” is

defined as a single item that has a useful life over one year and a cost of $5,000 or more.

• As with FOGs, indirect costs—i.e., costs that cannot be directly identified with a single grant—cannot be covered by grant funds.

2.3. In-Kind Grants In select cases, PACE may provide an in-kind grant. Under the in-kind mechanism, MSI procures goods and/or services and directly pays suppliers on behalf of the grantee, rather than providing funds directly to the grantee. All procurement conducted by MSI on behalf of the grantee is made in compliance with USAID regulations and MSI procurement policies. The good or service must be clearly specified in the grant agreement, and selection of the supplier must be based on adequate price competition. PACE may use small in-kind grants to support an informal, unregistered network or platform as a means to assist in its establishment and formalization. In some cases, an in-kind grant may be incorporated into a FOG or SIG when the grantee does not possess the cash on hand or the capacities to follow procurement procedures to make certain purchases under the grant. TIP: Regardless of the type of grant you may be receiving, it is necessary to

put in a place solid accounting systems to properly manage and report on grant funds. This will improve your overall performance and increase your chances of receiving future donor funding. If needed, PACE may assist you in this respect.


SECTION 3. GRANT ELIGIBILITY REQUIREMENTS This section describes minimum eligibility requirements for grant applicants, as well as activities, goods, and services eligible for funding. Additional eligibility requirements may be included in specific grant solicitations issued by PACE. 3.1. Eligible Organizations To be eligible to receive grant funds, the applicant must be a Lebanese non-governmental organization (NGO), civil society organization (CSO), think tank/research center, or private sector entity (provided no profit is charged to the grant). Every solicitation issued by PACE will specify eligibility conditions. In general, grantees must not use funds for religious or political purposes; must be in compliance with all applicable Lebanese laws; must demonstrate the ability to properly manage grant funds, safeguard assets, and protect against fraud, waste, and abuse; and must have a satisfactory past performance record and demonstrated technical capacity to achieve grant objectives. 3.2. Ineligible Organizations PACE grant support may not be provided to the following: • Organizations that are not legally registered.1 • Government entities.2 • Public international organizations (PIOs). • Any entity that has been found to have misused USAID funds in the past, unless

specifically approved by USAID. • Political parties, groupings or institutions, or their subsidiaries and affiliates. • Organizations that advocate, promote, or espouse anti-democratic policies or

illegal activities. • Faith-based organizations whose objectives are for discriminatory and religious

purposes, and whose main objective for the grant is of a religious nature. • Any entity which appears in the Excluded Parties List System (www.epls.gov);

the U.S. Treasury’s Specially Designated Nationals List (www.treas.gov/offices/enforcement/ofac/sdn); the United Nations 1267 Committee List of individuals and entities associated with Al Qaida (www.un.org/sc/committees/1267/AQList.htm); or the U.S. State Department Foreign Terrorist Organizations List (www.state.gov/j/ct/rls/other/des/123085.htm).

Any organization that refuses to sign mandatory clauses and required certifications, including the Certification Regarding Terrorist Financing; the Certification Regarding Debarment, Suspension, and Other Responsibility Matters; Certifications Regarding 1 In rare circumstances, exceptions may be made through the provision of small in-kind grants to support the formalization of informal networks or platforms when their objectives and proposed activities present a strategic fit for PACE. 2 While government institutions may not be direct grant recipients, grantees may collaborate with government entities during grant implementation to further successful achievement of grant objectives.

http://www.epls.gov/

http://www.treas.gov/offices/enforcement/ofac/sdn

http://www.un.org/sc/committees/1267/AQList.htm

http://www.state.gov/j/ct/rls/other/des/123085.htm


Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions; the Certification regarding Lobbying; the Organizational Certification: Narcotics offenses and Drug Trafficking; and the Sub-Awardee “Transparency Act” reporting & Certification Grantees and the Certification Regarding a Drug-Free Workplace (see Annex B for the full text of these certifications). 3.3. Eligible Activities Grant activities funded by USAID under PACE must meet the following general criteria: • Grants supported by PACE must advance the overall PACE goal and objectives. • Proposed activities may be the sole or primary work of an organization, or a

special dimension or function of an organization largely dedicated to other projects.

• Grants must cover only necessary and allowable costs linked to the execution of the activity, such as project staff salaries, consultant fees, trainings, meetings and seminars, publications, purchase and/or rental of equipment, office and local travel expenses, and other direct costs.

• Activities can only begin upon signature of the agreement between the applicant and MSI. Costs incurred before execution of the agreement will not be reimbursed, unless specifically authorized by MSI in writing.

Any given solicitation may further specify particular activities to be funded. 3.4. Ineligible Activities and Unallowable Costs Grant funds cannot be used for the following activities: • Any purchases or activities deemed unnecessary to accomplish grant purposes,

including any grantee headquarters expenses that are not directly linked to grant implementation.

• Capital expenditures, construction or major infrastructure activities. • Private ceremonies, parties, celebrations, or “representation” expenses. • Alcoholic beverages. • Previous obligations and/or bad debts. • Fines and/or penalties. • Creation of endowments. • Profit or fee. No grant funds can be paid as profit or fee to a grantee, whether the

grantee is a non-profit or for-profit organization, under any type of grant. • Prohibited goods under USAID regulations, including military equipment,

surveillance equipment, commodities or services for support of police or other law enforcement activities, abortion equipment and services, luxury goods, gambling equipment, or weather modification equipment.

• Purchases of restricted goods without prior USAID approval, such as agricultural commodities, motor vehicles, pharmaceuticals, contraceptives, pesticides, used equipment, and fertilizer.

• Purchases of any goods or services furnished by any firm or individual whose name appears on the Excluded Parties List System (www.epls.gov).

http://www.epls.gov/


SECTION 4. GRANT SOLICITATION AND APPLICATION PROCESS This section describes the grant solicitation instruments typically used by the PACE program (i.e., how calls for proposals are made), and the grant application process to be followed by potential grantees. 4.1. Solicitation Instruments PACE uses competitive processes to award grants in order to identify and support the best possible activities to achieve program objectives. Grant applications are solicited through publicly advertised Requests for Applications (RFAs) or Annual Program Statements (APSs), which specify the activities to be supported, objectives sought, eligibility requirements, grant size and type, grantee selection criteria, submission deadline and format, and other requirements. PACE does not accept unsolicited proposals. Requests for Applications. RFAs are used to support a specific set of activities based on a detailed scope of work. PACE typically uses RFAs to solicit applications for the implementation of projects whose design is at an advanced stage based on well-defined grant objectives, target beneficiaries, and expected results. RFAs are usually issued for a period of 30 days and all applications are reviewed at the same time by the Grants Evaluation Committee. Annual Program Statements. APSs are broader and used to encourage local creativity in project design. APSs invite applicants to develop their own ideas and methodologies in implementing activities that support PACE objectives. A two-step application process is typically used under an APS. First, applicants submit a concept paper. If the concept paper is approved, they are invited to submit a full grant application. This helps to minimize the burden on both applicants and the program team by reducing time spent on developing and evaluating full grant applications. APSs are typically issued for a period of 6 to 12 months. Applications submitted in response to an APS are evaluated on a rolling basis as they are received up until the closing date of the APS or until the total funds allocated to an APS run out. TIP: Because APSs are used to award multiple grants, it is possible that grant

funds allocated to an APS may be fully obligated prior to the closing date of the APS (in which case the APS may close early). For that reason, interested applicants should not wait until the closing date to submit an application, but should do so as early as possible.

Once a concept paper is approved, the applicant will receive feedback and guidance from the PACE team on completing the full grant application, which will include a technical proposal, work plan, monitoring and evaluation plan, branding strategy and marking plan, and detailed budget. When an applicant is invited to present a full grant application, this does not in any way guarantee grant funding. The full grant application will be thoroughly reviewed


by the Grants Evaluation Committee based on transparent evaluation criteria, and a final determination of funding made accordingly. TIP: It is possible for an organization to apply to more than one solicitation

or to submit more than one concept paper to PACE. 4.2. Advertising Solicitations RFAs and APSs are broadly advertised through a variety of channels, including e-mail announcements, postings on civil society web portals and newsletters (such as www.daleel-madani and www.civicboard.org), the PACE Facebook page (www.facebook.com/PACElebanon) and Twitter account (@PACElebanon), and other means of distribution. TIP: If you wish to be added to the PACE contact list in order to receive e-

mail announcements of future solicitations, send a request to [email protected] with the name of your organization, contact information, and brief description of your work. Also join us on Facebook and Twitter to receive regular announcements of solicitations.

4.3. Handling of Questions About Solicitations Every solicitation includes both a deadline for submitting applications and a deadline for submitting questions about the solicitation. Applicants must submit their questions in writing before the advertised deadline for questions by sending an e-mail to [email protected] to obtain an official response. PACE will share relevant questions and answers in writing with all interested applicants to ensure all are operating with the same information. Phone calls about technical content related to an open RFA or APS will not be entertained. 4.4. Application Processing and Notification of Applicants Every solicitation will provide detailed instructions on the submission of applications, including the required format. Generally, concept papers and applications must be submitted via e-mail to [email protected] as Word and Excel attachments. The PACE grants manager will inform applicants that their submission has been received, review it for completeness, alert applicants of any missing documentation or problems with transmission, and forward the application to the Grants Evaluation Committee (GEC) in charge of assessing the merits of the application according to the evaluation criteria listed in the solicitation. PACE receives a large number of applications in response to every call for proposals. All applicants are notified in writing of whether their application was successful or not. While every effort is made to inform unsuccessful applicants of the reasons why their application was rejected, PACE is not in a position to provide detailed verbal or written debriefs given the large volume of proposals received by the program.

http://www.daleel-madani/

http://www.civicboard.org/

http://www.facebook.com/PACElebanon






Generally, applicants can expect to receive notification within two weeks of submitting their concept paper or grant application to PACE. 4.5. ‘Getting to Grants’ Workshops and Pre-Proposal Briefings PACE may conduct periodic “Getting to Grants” workshops to orient potential grantees to the grant-making process. These group sessions will be general and aimed at improving understanding of PACE grant-making procedures and policies. In the case of RFAs, PACE may also schedule a pre-application briefing session to clarify RFA objectives and answer questions from potential applicants. These group sessions will be announced in the RFA itself, and a summary of the questions and answers will be distributed to all potential applicants, including those who were unable to attend the session in person. In the case of a two-step APS, applicants who submit a successful concept paper will receive instructions and guidance from the PACE team on how to complete the full application. All successful applicants selected for grant award will be invited to a grant launch workshop with the PACE team to review grant-making procedures and implementation processes.


SECTION 5. GRANTEE SELECTION PROCESS This section describes the procedures for evaluating, approving, and selecting grant applications for award—from receipt of the application to grant signing. 5.1. Technical Evaluation of Concept Papers and Grant Applications Every solicitation issued by PACE includes specific evaluation criteria for grantee selection. Grant applications that meet minimum eligibility criteria are reviewed and awarded based on their technical merit, cost effectiveness/cost realism, and the grantee’s past performance. Grants Evaluation Committee. Concept papers and applications are reviewed by the Grants Evaluation Committee (GEC) and rated according to the evaluation criteria listed in the solicitation. The GEC consists of PACE and USAID representatives. As determined by PACE, outside experts may also be invited to participate as non-voting members of the GEC to provide technical advice to committee members. The committee reviews the concept paper/application and may (a) approve it, (b) request changes or clarifications from the applicant, or (c) reject it in whole. Final grant selection must be approved by USAID. All information received from applicants is considered proprietary and is held in strict confidence by those individuals who review it to protect the integrity and privacy rights of the applicant. Conflicts of interest. All members of the GEC are required to sign conflict of interest disclosure forms. GEC members, and any other staff involved in review and approval of concept papers and applications, shall not have conflicts of interest or the appearance of such with regard to the organizations whose applications are under review. An individual is considered to have the appearance of a conflict of interest if that person—or that person’s spouse, partner, child, close friend or relative—works for, is negotiating to work for, or has a financial interest (including being an unpaid member of a board of directors) in any organization that submitted a concept paper/application, or contributed to any component that resulted in a grant award. In such cases, the GEC will carefully review the situation and determine the appropriate action required to avoid or mitigate such conflict and ensure impartiality in the award of grants. Such actions may, for example, include removing the individual from the GEC so that he/she is not involved in the decision-making process related to grant award to that organization. Evaluation of concept papers. For two-step Annual Program Statements (APSs), the GEC rates concept papers on a “pass/fail” basis. Applicants who pass the concept paper stage are invited to submit a full grant application and are provided with feedback on their concept paper so that they may address any issues raised by the GEC in their full application.


It is important to note that applicants that submit successful concept papers are not guaranteed a grant award, which will be contingent on GEC review of their full application and USAID approval. Evaluation of full grant applications. For full grant applications received under an APS or an RFA, the GEC reviews and rates applications based on the detailed scoring criteria listed in the solicitation. In addition to evaluating applications from a technical standpoint, the GEC and grants manager conduct a thorough budget review to ensure that the proposed costs are justified and necessary for successful project implementation. The GEC may request clarifications or modifications from the applicant prior to making the final decision. This step may be repeated until the GEC is satisfied with the scope of work and budget, or until it is determined that the applicant is not qualified to receive a grant. Once the scope of work and budget are negotiated and finalized, PACE requests final USAID approval of the grant. Otherwise, the grants manager notifies the applicant in writing that the application was rejected. Generally, applicants can expect to receive notification within two weeks of submitting a full grant application. 5.2. Budget and Grantee Contributions Review The GEC and grants manager perform a thorough cost analysis of the applicant’s proposed budget to ensure all proposed costs are reasonable, allowable, and allocable, per USAID regulations (see definitions below). This involves obtaining cost breakdowns, verifying cost data, and evaluating specific elements of cost. The budget is also reviewed for ineligible or restricted goods or services (see Section 3.4, “Ineligible Activities and Unallowable Costs”). The grants manager will negotiate with the applicant to resolve any issues related to the proposed budget before an award can be made.

Grantee contributions may be encouraged or required, depending on solicitation requirements, the nature of the activity, and the capacity of the grantee. The application of grantee contributions is flexible, case-specific, and used to support or contribute to the achievement of results. Grantee contributions may come from the grantee organization itself or from third parties. They can include in-kind contributions in the form of volunteer or staff time,

What are “Reasonable, Allowable, and Allocable Costs”?

Reasonable costs are ordinary and necessary for grant implementation, consistent with sound business practices, and do not deviate significantly from the grantee’s established practices. Allowable costs conform to the terms and conditions of the grant agreement, including any limitations or exclusions of the grant. Allocable costs are clearly and specifically tied to the grant-funded activity.


use of facilities or equipment, donation of supplies, and the like. The values of grantee contributions must be established in accordance with the current fair market value and must be verifiable from the grantee’s records. 5.3. Branding Strategy and Marking Plan USAID regulations require branding and marking of USAID-funded activities to raise awareness of USAID’s efforts in Lebanon and ensure the American people are credited for the foreign assistance they finance. All grantees are required to develop a Branding Strategy and Marking Plan (BSMP) prior to grant award, to be approved by PACE. Branding refers to how a project is positioned and promoted, while marking refers to how logos are applied to program materials. USAID regulations allow for certain exceptions to branding and marking requirements, such as when marking would compromise the independence of materials that must be seen as neutral (e.g., public policy advocacy, independent media, and voter information literature), or when marking would diminish the credibility of studies or policy recommendations whose findings must be seen as independent. Any applicable exceptions must be included in the BSMP. Requests for exceptions from branding and marking requirements will be reviewed on a case-by-case basis. PACE will provide grantees with a template for the BSMP and offer guidance as needed. The grantee’s BSMP will be reviewed and discussed with relevant PACE staff and the final, agreed-upon BSMP will become part of the grant agreement between the grantee and PACE. As with other terms and conditions of the agreement, the grantee is responsible for ensuring adherence to the approved BSMP throughout grant implementation. PACE staff will monitor compliance with the BSMP as part of their regular monitoring and evaluation responsibilities. 5.4. Vetting and Reference Checks Vetting and reference checks are completed by the PACE team during the application phase. For reference checks, PACE requests feedback on the applicant’s past performance from other donor representatives or individuals able to comment on the applicant’s prior work. This information is used to rate past performance of the applicant. TIP: To facilitate past performance checks and avoid delays in evaluating

your application, make sure you have provided accurate and up-to-date contact information for donor representatives and individuals able to comment on your work. Prior to including this information in your grant application, you should inform the individuals listed that you are using them as references. Note that PACE may contact individuals other than those listed to obtain past performance information.

For vetting, PACE ascertains that the applicant is not excluded from receiving USAID funds by verifying that the applicant does not appear on any exclusion lists, such as those listed under “3.2. Ineligible Organizations” in Section 3.


5.5. Pre-Award Surveys Grant applicants are expected to complete a pre-award survey questionnaire prior to receiving a grant. The questionnaire, which is included in the grant application package provided to applicants, collects information on the applicant’s accounting systems, internal controls, and organizational policies. It is designed to assist PACE in determining whether an organization has the necessary accountability measures in place—or has the ability to establish such measures—to properly account for and manage USAID funds. An on-site assessment of the applicant’s capacity to manage grant funds will be conducted by PACE or a designee. The on-site financial capacity assessment is typically completed within two weeks of the GEC’s approval of a grant award. Any weaknesses or problems identified during the on-site assessment may lead PACE to incorporate special award conditions or supplement the grant with a capacity-building component. 5.6. Grant Agreement Signature and Grant Launch Workshop Once a grant has received final USAID approval, the PACE grants manager prepares two original copies of the grant agreement, to be signed by the grantee, the PACE chief of party, and MSI’s contracts director. One original copy of the agreement goes to the grantee and the other is kept on file in the PACE office. A grant launch workshop is also scheduled to review, discuss, and clarify key aspects of the grant to ensure a full understanding of mutual expectations during grant implementation. A typical agenda for the grant launch workshop is included in Annex C . With grant signing by all parties, implementation of the grant begins. PACE maintains substantial involvement throughout grant implementation to ensure compliance with the grant agreement, provide guidance, support, and technical assistance to the grantee needed, as well as monitor and evaluate the results and impact of grant-funded activities.


ANNEX A. ELEMENTS OF GOOD GRANT APPLICATIONS • Clearly lay out the problem and proposed solution. What is the issue you want to

address? Why is it important? How will your project help to address this issue?

• Explain the knowledge, experience and capabilities of your organization to implement the proposed solution. Why is your organization the right one to address the problem? What makes you qualified to implement the solution?

• Present the goal and objectives for the grant that clearly define the impact to be achieved. What is the overall goal of your project? What are the specific, measurable objectives of your project to achieve this goal? What is the proposed duration of your project to achieve the grant objectives?

• Demonstrate how the proposed grant activity fits within your organization’s own vision and mission, not only that of PACE. How will your project advance the mission of your organization? How does it fit within PACE objectives?

• Describe and quantity the target beneficiaries and target geographic locations of the proposed grant activity. Who will benefit from your project? Who will you reach and engage in your project activities? How many people will be involved? Where will you implement your activities?

• Provide a clear implementation strategy. Who will do what when, where, and how to implement your project?

• Offer a logical sequence of tasks that are mutually reinforcing and contribute to the achievement of the grant goal and objectives. What are the specific tasks and sub-tasks you will implement? What is the timeline for implementing each task? What deliverables will be produced under each task?

• Describe how your organization will monitor and evaluate results. How do you define the success of your project? How will track and report on this success? What kind of quantitative and qualitative information will you collect to assess your progress, identify any problems, and adjust course when needed?

• Describe your approach to sustainability. How will you sustain or build on the grant-funded project after grant funding ends?


ANNEX B. REQUIRED CERTIFICATIONS I. CERTIFICATION REGARDING A DRUG-FREE WORKPLACE Alternate I. (Grantees Other Than Individuals) A. The grantee certifies that it will or will continue to provide a drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition;

(b) Establishing an ongoing drug-free awareness program to inform employees about: (1) The dangers of drug abuse in the workplace; (2) The grantee's policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance programs; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace;

(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a);

(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will

(1) Abide by the terms of the statement; and (2) Notify the employer in writing of his or her conviction for a violation of a

criminal drug statute occurring in the workplace no later than five calendar days after such conviction;

(e) Notifying the agency in writing, within ten calendar days after receiving notice under paragraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant;

(f) Taking one of the following actions, within 30 calendar days of receiving notice under paragraph (d)(2), with respect to any employee who is so convicted —

(1) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency;

(g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (t).

B. The grantee may insert in the space provided below the site(s) for the performance of work done in connection with the specific grant: Place of Performance: ________________________________________________________ Grantee Grant Award No.:____________________________________________________________ Name of Organization: ________________________________________________________ Name and Title of Authorized Representative: _____________________________________ Signature: ___________________________ Date: _________________________________


II. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER

RESPONSIBILITY MATTERS – PRIMARY COVERED TRANSACTIONS (1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals:

(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency;

(b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and

(d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default..

Grantee Grant Award No.:____________________________________________________________ Name of Organization: ________________________________________________________ Name and Title of Authorized Representative: _____________________________________ Signature: ___________________________ Date: _________________________________

III. CERTIFICATIONS REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND

VOLUNTARY EXCLUSION – LOWER-TIER COVERED TRANSACTIONS 1. By signing and submitting this proposal, the prospective lower tier participant is providing

the certification set out below. 2. The certification in this clause is a material representation of fact upon which reliance was

placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

3. The prospective lower tier participant shall provide immediate written notice to the person to whom this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

4. The terms “covered transaction,” “debarred,” “suspended,” “ineligible,” “lower tier covered transaction,” “participant,” “person,” “primary covered transaction,” “principal,” “proposal,” and “voluntary excluded,” as used in this clause, has the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations.

5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated.

6. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transaction,” without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.


7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Non-Procurement List.

8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions:

1. The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.

Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Grantee Grant Award No.:____________________________________________________________ Name of Organization: ________________________________________________________ Name and Title of Authorized Representative: _____________________________________ Signature: ___________________________ Date: _________________________________ IV. CERTIFICATION REGARDING TERRORIST FINANCING As a condition of entering into the referenced agreement, hereby certify that the organization has not provided and will not provide material support or resources to any individual or entity that it knows, or has reason to know, is an individual or entity that advocates, plans, sponsors, engages in, or has engaged in terrorist activity, including but not limited to the individuals and entities listed in the Annex to Executive Order 13224 and other such individuals and entities that may be later designated by the United States under any of the following authorities: § 219 of the Immigration and Nationality Act, as amended (8 U.S.C. § 1189), the International Emergency Economic Powers Act (50 U.S.C. § 1701 et seq.), the National Emergencies Act (50 U.S.C. § 1601 et seq.), or § 212(a)(3)(B) of the Immigration and Nationality Act, as amended by the USA Patriot Act of 2001, Pub. L. 107-56 (October 26, 2001)(8 U.S.C. §1182). [Name of organization] further certifies that it will not provide material support or resources to any individual or entity that it knows, or has reason to know, is acting as an agent for any individual or entity that advocates, plans, sponsors, engages in, or has engaged in, terrorist activity, or that has been so designated, or will immediately cease such support if an entity is so designated after the date of the referenced agreement.

For purposes of this certification, “material support and resources” includes currency or other financial securities, financial services, lodging, training, safe houses, false documentation or identification, communications equipment, facilities, weapons, lethal substances, explosives, personnel, transportation, and other physical assets, except medicine or religious materials.

For purposes of this certification, “engage in terrorist activity” shall have the same meaning as in section 212(a)(3)(B)(iv) of the Immigration and Nationality Act, as amended (8 U.S.C. § 1182(a)(3)(B)(iv)).

For purposes of this certification, “entity” means a partnership, association,


corporation, or other organization, group, or subgroup. This certification is an express term and condition of the agreement and any violation

of it shall be grounds for unilateral termination of the agreement by USAID prior to the end of its term. Grantee Grant Award No.:____________________________________________________________ Name of Organization: ________________________________________________________ Name and Title of Authorized Representative: _____________________________________ Signature: ___________________________ Date: _________________________________

V. CERTIFICATION REGARDING LOBBYING (Required by the U.S. Code, Section 1352, Title 31 of the U.S. Code) 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 grant, 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 Form to Report Lobbying,'' in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under grants, loans, and cooperative agreements) and that all sub-recipients 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 this certification 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 certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the above applicable certification. Grantee Grant Award No.:____________________________________________________________ Name of Organization: ________________________________________________________ Name and Title of Authorized Representative: _____________________________________ Signature: ___________________________ Date: _________________________________

VI. ORGANIZATIONAL CERTIFICATION: NARCOTICS OFFENSES AND DRUG

TRAFFICKING I, the undersigned, hereby certify on behalf of the above cited Organization that no officer, employee, agent, representative or individual (especially those that may be listed below) associated with the MSI Activity (see above Solicitation/Subcontract/Grant Agreement Number) has, within the last ten years:


1. 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. Been or is an illicit trafficker in any such drug or controlled substance; and 3. Been or is a knowing assistor, abettor, conspirator, or colluder with others in the illicit

trafficking in any such drug or substance. I further certify that I am properly authorized by the Organization to attest to the accuracy of this representation and certify on its behalf. Grantee Grant Award No.:____________________________________________________________ Name of Organization: ________________________________________________________ Name and Title of Authorized Representative: _____________________________________ Signature: ___________________________ Date: _________________________________

VII. SUB-AWARDEE “TRANSPARENCY ACT” REPORTING AND CERTIFICATION -

GRANTEES

SUB-AWARDEE “TRANSPARENCY ACT” REPORTING & CERTIFICATION (FAR 52.204-10) Offerors/Applicants are advised that Section 2(d)(2) of the Federal Funding Accountability and

Transparency Act of 2006 (Pub. L.09-282), as amended by section 6202 of the Government Funding Transparency Act of 2008 (Pub. L. 110-252), requires that the following information about any award at or above US$25,000 or its equivalent – given to entities with an annual gross revenue equal to or above

$300,000 – shall be made public. PLEASE COMPLETE & CERTIFY TO THE FOLLOWING:

The Sub-Awardee hereby certifies that the organization’s gross income in the previous tax year did did not equal to or exceed US$300,000. If the first box above is checked, the Sub-Awardee is required to register with the Central Contractor Registration (CCR)* and complete the “General Information”, “Financial Information”, and “Authorized Company Signatory” sections below. If the second box above is checked, the Sub-Awardee is only required to complete the “General Information” and “Authorized Company Signatory” sections below: Sub-Awardee shall complete the following General Information: A. Sub-Awardee’s Legal (Company or Organization) name: B. Sub-Awardee’s physical address including stress address, city, state, and country with

nine-digit zip code and congressional district if a U.S Company: C. Sub-Awardee’s DUNS** Number(s) (awardees must apply to Dun & Bradstreet for a free

DUNS number): D. Parent Company (if applicable) DUNS Number: E. Sub-Awardee’s NAICS*** Code applicable to the sub-award (only if Sub-Awardee is

registered with CCR): Sub-Awardee shall complete the following Financial Information: A. Answer the following questions:

1. In the previous tax year, did your company receive 80 percent of its gross revenues from Federal Contracts (and Subcontracts), loans and grants (and sub-grants)?

Yes No 2. In the previous tax year, did your company receive $25,000,000 in gross revenues from

Federal Contracts (and Subcontracts), loans, and grants (and sub-grants)? Yes No

3. Does the public have access to information about compensation of senior executives through periodic reports filed under section 13 (a) of 15 (d) of the Securities and Exchange Act of 1934 15 (U.S.C 78m (a), 78o(d)) or section 6104 of the Internal Revenue Code 1986? Yes No


If items (1) and (2) are answered Yes, and item (3) is answered No, then complete section B. B. You are required to provide the names and total compensation of each of the five most

highly compensated officers for the calendar year of this award

Name Position Total Yearly Compensation****

Authorized Company Signatory: Certify that the information above is complete and accurate Subcontractor Name: _________________________________________ Authorized Representative: _________________________________________ Signature: _________________________________________ Title/Position: _________________________________________ Date: _________________________________________ *CCR: The Central Contractor Registration (CCR) at www.ccr.gov is a web-enabled

government-wide application that collects, validates, stores, and disseminates business information about the federal government's trading partners in support of the contract award, grants, and the electronic payment processes. Anyone (sole proprietors, corporations, partnerships, and governmental organizations) desiring to do business with the U.S. government must register in CCR.

** DUNS: The Data Universal Numbering System (DUNS) number is a unique nine-digit

identification number provided by Dun & Bradstreet (D&B). The DUNS Number is site-specific. Therefore, each distinct physical location of an entity (such as branches, divisions, and headquarters) may be assigned a DUNS number.

*** NAICS: The North American Industry Classification System (NAICS) code(s) are used by U.S.

business and government to classify business establishments according to the type of economic activity/activities.

****“Total compensation”: Means the cash and non-cash value earned by the executive during the

subcontractor’s past fiscal year. Total Compensation includes the following: (1) Salary and bonus, (2) Awards of stock, stock options and stock appreciation rights. (3) Earnings for services under non-equity incentive plans, (4) Change in pension value, (5) Above-market earning on deferred compensation which is not tax-qualified, and (6) Other compensation.

NOTE: CSOs may acquire a DUNS number by following the instructions at: http://www.grants.gov/applicants/organization_registration.jsp

http://www.ccr.gov/

http://www.grants.gov/applicants/organization_registration.jsp


ANNEX C. AGENDA FOR GRANT LAUNCH WORKSHOP Below are the topics covered during a grant launch workshop, which lasts approximately 2.5 hours and is conducted at the PACE program office. Welcome and introductions Review objectives of the workshop.

5 minutes

General review and explanation of the grant agreement Walk through all major sections of the grant agreement to ensure full understanding of mutual expectations during grant implementation, including scope of work, terms and conditions, payment process and schedule, branding strategy and marking plan, and necessary approvals.

30 minutes

Overview of PACE staff responsibilities Describe roles and responsibilities of various PACE staff involved in grant oversight, monitoring and evaluation, and technical assistance.

5 minutes

Pre-award survey findings and recommendations Review findings of pre-award survey and recommendations for improvement, including expectations on financial management and accounting; procurement system; inventory/asset tracking; and available capacity-building support.

30 minutes

Monitoring and evaluation (M&E) Review M&E plan to ensure common understanding of indicators, data collection, and quality control measures, as well as reporting responsibilities.

30 minutes

Media and social media outreach Discuss grantee’s approach to leveraging various media platforms to amplify the impact of grant activities and the type of media-related support that can be provided by PACE.

30 minutes

Initial milestone Review initial milestone with the grantee to ensure full understanding of deliverables and submission requirements.

15 minutes

Budget Review the approved budget to ensure initial purchases and expenditures are on track.

15 minutes

Wrap-up and questions Answer any additional questions or requests for clarification/guidance.


ANNEX D. GRANTEE HANDBOOK EVALUATION SHEET Help us improve this document by taking a few minutes to complete and return this evaluation sheet to [email protected]. Thank you for your assistance! Name of your organization (optional): ____________________________________________ Your name and title (optional): __________________________________________________ Date: ___________________ Please rate the usefulness of PACEbook 1.0. Did you find it: Very useful Somewhat useful Not very useful Not useful at all Don’t know Did PACEbook 1.0 assist you in preparing a concept paper or grant application to PACE? Yes No Not applicable Do you plan to use PACEbook 1.0 to assist you in preparing a grant application to other donor projects? Yes No Not applicable What additional information or clarifications would you like to see addressed in PACEbook 1.0? ________________________________________________________ How did you learn about PACEbook 1.0? from PACE staff through Facebook through Twitter from another organization (specify: ________________) through other means (specify: ____________________) Use the space below for any additional remarks or comments on PACEbook 1.0:

Please return the completed form to [email protected].



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