GRANTS SOLICITATION: CALL FOR APPLICATIONS USAID Pacific-American Climate Fund Project Supported by: United States Agency for International Development (USAID) Managed by: Partners for Global Research and Development, LLC (PGRD) June 26, 2015
Grants Solicitation: Call for Applications USAID Pacific-American Climate Fund Supported by: United States Agency for International Development (USAID) Managed by: Partners for Global Research and Development, LLC (PGRD) This publication was prepared by Partners for Global Research and Development, LLC (PGRD) for review by the United States Agency for International Development. The contents of this document are the sole responsibility of PGRD and do not necessarily reflect the views of USAID or the United States Government. ii
ACRONYMS & DEFINITIONS ADS CFR FAA FBO GRB IEE NGO PACAM PERSUAP PGRD PIO SAM USAID Automated Directive System. USAID s policies. ADS 303 are USAID s policies for grants and cooperative agreements and are applicable to PACAM grants. Code of Federal Regulations. US Government wide regulations that apply to all agencies, including USAID and, when incorporated, USAID-funded grantees. Fixed Amount Award. One of the possible USAID grant types. Under an FAA payment is made to the grantee/awardee based on completion of predefined milestone, rather than actual costs incurred. Faith-based Organization. A religiously oriented organization. Grants Review Board. A body made up of PACAM and USAID/US Embassy officials who recommend PACAM grant applications for funding. Initial Environmental Examination. USAID s review of the potential environmental impact of PACAM activities, including its grants. All PACAM grants must fall within the approved activities of the PACAM IEE. Non-governmental Organization. An organization that operates independent from government control. Pacific-American Climate Fund. The name of the USAID-funded program that is soliciting Grant Applications under this solicitation. PACAM s main office is located in Manila, Philippines. Pesticide Evaluation Report and Safer Use Action Plan. A plan developed by a grantee/awardee if it intends to use pesticides in its PACAM-funded activity. PERSUAPs should be approved by USAID. Partners for Global Research and Development. The implementer of the USAID-funded PACAM program. Public International Organization. For purposes of PACAM, PIOs are defined by USAID s ADS 308. System for Award Management. The database used by the US Government to, among other things, document organizations that have been debarred from receiving US Government funding. United States Agency for International Development. iii
Issuance Date: June 26, 2015 Closing Time: Reference: August 10, 2015, 12:00 Noon, Manila, Philippines Issued under USAID Pacific-American Climate Fund (PACAM) Solicitation of Applications SECTION I. DESCRIPTION OF THE FUNDING OPPORTUNITY 1. Introduction Pursuant to the authority contained in the Foreign Assistance Act of 1961 and United States Agency for International Development (USAID) Contract AID-492-C-13-00017, Partners for Global Research and Development (PGRD), on behalf of the Pacific-American Climate Fund (PACAM) is seeking applications for activities aimed at reducing long-term vulnerabilities associated with climate change and providing additional co-benefits, such as livelihoods enhancement, food security, improved health, better governance, or sustainable natural resources management. Subject to availability of funds, the Pacific-American Climate Fund intends to award up to 15 grants for projects not to exceed 24 months in duration under this call for applications. This solicitation document will guide potential applicants through the application process. 2. Goals and Objectives of PACAM The Pacific Island region is one of the world s most vulnerable regions to the negative impacts of climate change. Climate stressors, such as rising sea levels, ocean acidification, changing temperatures, and shifting rainfall and storm patterns, will impact human health, water resources, fisheries, agriculture, ecosystems, infrastructure and other sectors. Communities need support in building their resilience to the impacts of climate change and extreme events in order to achieve sustainable economic growth. The Pacific-American Climate Fund (PACAM) is a grant-making facility funded by USAID and implemented by PGRD that assists 12 Pacific Island countries to adapt to the impacts of climate change. PACAM awards grants to civil society organizations to support innovative projects that reduce longterm vulnerabilities associated with climate change and provide additional co-benefits, such as livelihoods enhancement, food security, improved health, better governance, or sustainable natural resources management. In addition to building climate resiliency, the Pacific-American Climate Fund, through the awarded grants, will assist in strengthening the managerial and financial capacity of civil society organizations that are technically capable, but require additional financial, managerial, and organizational training. Building local managerial and financial capacity will be prioritized, so that local recipients develop a 4
stronger capability for contributing to and sustaining the country s climate-resilient development in the long term. 3. Eligible Countries PACAM awards grants for projects in 12 Pacific Island countries: Fiji, Kiribati, Palau, Federated States of Micronesia, Marshall Islands, Nauru, Papua New Guinea, Samoa, Solomon Islands, Tonga, Tuvalu, and Vanuatu. 4. Eligible Organizations Non-sovereign, local civil society organizations and other entities are eligible to apply for grant awards. They must have the ability to legally operate in the country where the proposed activity will take place. Organizations without previous USAID experience are encouraged to apply. Civil Society Organizations eligible for PACAM grants include: NGOs; Universities, academic institutions, advocacy groups, and umbrella organizations that represent multiple NGO members; Faith-Based Organizations (FBOs) operating nationally, or regionally, pursuant to Executive Order 13279; and Private sector entities such as companies, chambers of commerce, and associations. This solicitation is limited to local entities, defined as an entity that: Is legally organized under the laws of; Has as its principal place of business or operations in; Is majority owned by individuals who are citizens or lawful permanent residents of; and Is managed by a governing body the majority of who are citizens or lawful permanent residents of the country receiving assistance. For purposes of this definition, majority owned and managed by include, without limitation, beneficiary interests and the power, either directly or indirectly, whether exercised or exercisable, to control the election, appointment, or tenure of the organization's managers or a majority of the organization's governing body by any means. All applicants should be prepared, when requested by PACAM, to review and sign mandatory USAID certifications, which can be found at: http://www.usaid.gov/ads/policy/300/303mav. These certifications will be provided by PACAM to the applicant, as and when needed. Please note that sovereign, or entities otherwise controlled by a government, political parties, organizations that engage in illegal or anti-democratic activities, and Public International Organizations (PIOs) are not eligible to receive PACAM grants as a prime recipient. PIOs may partner with prime recipients so long as the total share of the grant budgeted to the PIO does not exceed 50%. 5. Eligible Activities Proposed activities designed to reduce long-term vulnerabilities associated with climate change impacts and providing additional co-benefits, such as livelihoods enhancement, food security, improved health, better governance, or sustainable natural resources management will be considered for funding. A list of illustrative/example activities can be found in Attachment 1. 5
Construction-related activities are not permitted by USAID to be funded by the PACAM program. USAID s definition of construction can be found at the following web link: http://www.usaid.gov/sites/default/files/documents/1868/303maw.pdf. Note that activities requiring the use of pesticides are discouraged and, if approved, will require a Pesticide Evaluation Report and Safer Use Action Plan (PERSUAP) approved by USAID. PACAM also does not fund inherently religious activities or other activities prohibited by USAID, such as involuntary sterilization, abortion-related and biomedical research, the promotion of the legalization of prostitution or sex trafficking, and/or travel expenses for foreign government delegations to attend an international conference sponsored by a PIO. 6. Grant Size and Period of Performance Subject to availability of funds, solicitations will be open to fund grants up to a maximum amount of $250,000 in value, though PACAM reserves the right to negotiate final grant amounts with selected applicants after the submission of full applications. The period of performance for each grant may vary but the maximum is 24 months. Cost share is not required. 7. Overview of Grant Selection Process The Pacific-American Climate Fund will use a two-step application process. First, applicants submit brief concept papers, which are evaluated by PACAM experts according to the selection criteria. Second, for those concept papers that are approved, the applicants are invited to submit full applications that include more detailed Technical and Financial Proposals. A Grants Review Committee (GRC) of US Government representatives, PACAM, and/or independent climate change experts, evaluate and rank these full applications against the selection criteria. A Grants Review Board (GRB) comprised of USAID and PACAM officials reviews the outcomes of the Grants Review Committee and makes the final recommendation for approval of full applications. Final approval of all awards will be made by USAID following completion of pre-award risk assessments to determine that the organization has the capacity to manage the funds effectively. SECTION II. CONCEPT PAPER CONTENT The template that should be used for the concept papers can be found in Appendix 1. Instructions for completing the Concept Paper template are embedded in the template and highlighted in grey. Applicants should submit concept papers by August 10, 2015, 12 Noon Manila time according to the submission requirements identified in the submission instructions and include the following information/contents in their concept papers, per the template provided: I. General Information on the Organization II. Project Information III. Technical Narrative, including: a. Project Description b. Proposed Activities c. Target Outcomes of the Project d. Institutional Capacity and Past Performance IV. Summary Budget Successful Applications will propose projects with clear climate change adaptation strategies and activities that explicitly address the climate impacts and stressors identified. Successful Applications will address and answer the following questions: 6
a) What are the main climate risks or hazards in your community? (e.g., sea level rise, changing rainfall and temperature patterns, greater frequency of storms or floods, ocean acidification, etc.); b) How do they impact a key development priority in your community? (e.g., food security, water security, health, livelihoods, infrastructure, ecosystems, etc.) c) How will your proposed project: i) reduce exposure and sensitivity to these climate impacts; and/or ii) increase the capacity to adapt to these impacts? SECTION III. QUESTIONS Applicants with questions on the contents of this solicitation may submit questions in writing to PACAMinfo@pgrd.org no later than July 17, 2015 5:00 PM Manila time. Responses to questions and clarifications will be made available through www.pgrd.org and applicants are also invited to visit this website for updates on this solicitation, schedules for succeeding grant application processing, additional announcements, guidelines, and instructions. The Pacific-American Climate Fund reserves the right to not respond to or post questions that are duplicates of other questions or questions that are deemed not relevant. 7
SECTION IV. CONCEPT PAPER FORMAT The following provides instructions for the format of the concept papers. a) All Concept Papers must be in English, single-spaced, Times New Roman size 11 font, sized to print on A4 size bond paper, with each page numbered consecutively. All application documents must be submitted in Microsoft Word or PDF format. b) Applicants should follow the prescribed format for concept papers (Please refer to Appendix 1) and should strictly observe the maximum number of pages allowed according to the table below: Section/Description Maximum Page Number / Text Limits I. General Information & II. Project Information 1 page III. Technical Narrative IV. Summary Budget Total Number of Pages 2 pages (1,300 words total, one inch margins) 1 page 4 pages c) Provide a one-page summary budget that reflects major cost line items, such as personnel, travel, training, and other direct costs by year to support activities for the proposed program period. d) Please provide proof of legal registration, along with evidence of the ability to operate legally in the country where the proposed grant activities will take place (if different). SECTION V. CONCEPT PAPER SUBMISSION INSTRUCTIONS The following provides concept paper submission information and instructions. a) Concept papers are due by August 10, 2015 12 Noon Manila time. b) Concept papers should be submitted in the format contained in Appendix 1. c) Electronic submissions are preferred. Applications should be transmitted as an attached document to PACAMinfo@pgrd.org. The subject line of the email should read as follows: PACAM Concept Paper. d) Printed hard copy submissions are acceptable and can be hand carried or mailed to PACAM s sub-regional offices as follows: 8
For Kiribati, Marshall Islands, Federated States of Micronesia, Nauru, and Palau: Pacific-American Climate Fund C/o Praveen Lata Acting Regional Fund Manager P O Box19034, Suva Fiji Islands For Papua New Guinea, Solomon Islands, and Vanuatu: Pacific-American Climate Fund C/o Junne Cosmas Regional Fund Manager P O Box 279, Waigani, National Capital District. URS Australia Pty, Ltd. (PNG) Century 21 House, Level 1 Kunai Street Papua New Guinea For Fiji, Samoa, Tonga, and Tuvalu: Pacific-American Climate Fund C/o Praveen Lata Regional Fund Manager P O Box19034, Suva Fiji Islands e) For hard copies, the envelopes containing the original and two copies of the application must reflect the name, address and contact details of the applicant. To ensure centralized tracking of application, applicants who send concept papers in hard copy should also send an email to PACAMinfo@pgrd.org notifying PACAM of their submission and provide evidence of transmittal date (photocopy of postal delivery receipt). f) Incomplete submission may mean non-processing, significant delay in processing of the concept papers, or rejection. g) All applicants should retain, for their records, a copy of their Concept Paper and all accompanying enclosures. h) Applicants are kindly requested to only submit one concept paper per organization. PACAM reserves the right to fund any or none of the concept papers/applications submitted under this solicitation and is not obliged to pay for the cost of preparation of concept papers or applications. SECTION VI. EVALUATION OF CONCEPT PAPERS Concept papers will be evaluated following the criteria listed in the below table. Concept Paper Evaluation Criteria 1. Technical Approach and Fit with PACAM Goals and Objectives 2. Proposed Illustrative Budget/Cost Efficiency and Reasonability 3. Eligibility of Organization to Receive a PACAM Grant Concept papers approved by PACAM will be invited to submit full applications. Concept papers not selected will be notified. SECTION VII. SUBMISSION OF FULL APPLICATIONS Step two of the application process will start with an invitation from the Pacific-American Climate Fund to submit a full application that includes both Technical and Financial Applications. The Technical Application should not exceed 25 pages, excluding cover page and required appendices, unless 9
otherwise stated in the instructions provided. Required appendices will include but not be limited to: a Branding and Marking Plan, a Monitoring and Evaluation Plan, and Pre-Award Certifications and Assurances. The Financial Application should provide sufficient details to support the proposed budget. Technical and Financial Applications should be submitted separately and in accordance with the instructions provided if/when an applicant is invited to submit a full application. Applicants invited to submit a full application will receive detailed application development instructions, including application templates. Information on the evaluation criteria for full applications can be found in Appendix II. SECTION VIII. AWARD INFORMATION AND ADMINISTRATION Potential awardees will be subject to a pre-award risk assessment that will be conducted by the Pacific- American Climate Fund and may include a pre-award visit to the applicant s place of establishment. A positive risk assessment will confirm that the awardee possesses, or has the ability to obtain, the necessary management competence in planning and carrying out project activities and that it will practice mutually agreed upon methods of accountability for funds provided by PACAM. Risk assessments generally entail a detailed analysis of the applicant s financial, administrative, and programmatic capacity and are generally performed over a one- to four-day period at the applicant s place of establishment. In some cases the Awardee may receive an award with conditions, such as administrative and capacity building assistance. Potential awardees will also be subject to an environmental review, which will assess the awardee s proposed activities in terms of potential environmental impact. Depending on the results of the review, potential awardees may be required to take specific environmental risk mitigation measures, including changing programmatic approach. The Pacific-American Climate Fund will select the appropriate grant instrument to be used based on the organization s institutional capacity, the amount of the grant award, and other relevant factors. It is expected that most awardees will receive a Fixed Amount Award (FAA), whereby funds are transferred to the Awardee as pre-determined milestones are completed, though other grant types will be considered. An initial financing milestone provides liquidity to get started. A FAA provides a means for PACAM to assist the Awardee in building institutional capacity as the project activities are completed. During the period of a FAA, the Awardee has the opportunity to strengthen and improve its internal procedures, systems, and policies. By doing so, the Awardee can improve its ability to access and manage resources from USAID and other donors. Awards shall be made and administered in accordance with all pertinent USAID policies and regulations. For U.S. organizations 2 CFR 200 and the ADS 303maa, Standard Provisions for U.S. Non-governmental Organizations are applicable. For non-u.s. organizations, the ADS 303mab, Standard Provisions for Non-U.S. Non-governmental Organizations and 2 CFR 200, where incorporated, will apply. Please note, that if requested to submit a full application, your organization must obtain a DUNS number and be registered in the Central Contractor Registration through the System for Award Management (SAM). 10
Sector Agriculture and food security Water resources Forests and grasslands Fisheries Infrastructure* Disaster risk management Attachment 1 Illustrative Adaptation Activities Pacific-American Climate Fund PACAM illustrative (not exclusive) adaptation options Adaptation of crops to salinity, droughts, temperature, and floods; integrated pest/disease management Improved soil management; increased/improved water storage and irrigation Improved food production, processing, and distribution networks; crop/disaster insurance; promotion of traditional knowledge related to management and food processing methods Greater diffusion of information and communication technologies (ICT) to enhance access to information on seasonal weather forecasts, markets, pests and diseases, and best practices Diversification of locally-available crops and animal husbandry to enhance livelihoods and address dependence on food imports Early warning system for food security; development of emergency food banks and distribution networks Improved water management systems; demand-side management; water conservation and efficiency improvements in water utilization Sustainable management of groundwater sources; protection of water quality; water reuse; climate-proofing of water supplies against salinity, floods, and storm surges Development of redundant/emergency water supplies; integrated water resource management and disaster risk management Improved forest management, reforestation, and restoration of forest wetlands and grasslands; terrestrial protected areas Promotion of community-based forest and grasslands management and protected area co-management Promotion of forest-based livelihood options, including non-timber forest products and tourism Selecting trees and plants with resistance to drought, fire, disease, and pests Improved monitoring and early warning systems Addressing overfishing problems; area closures; marine protected areas; integrated reef fishery management Diversification of fisher livelihoods (e.g., ecotourism); aquaculture Control of wastewater and storm water discharges; restoration of mangroves and other nursery areas Implementation and enforcement of building codes, zoning laws, and setbacks Incorporation of climate concerns into environmental impact assessments of new infrastructure planning and investment; climate-proof existing infrastructure against salinity, floods, storm surge, and sea level rise Improved disaster preparation and planning including vulnerability assessment; training disaster staff and volunteers; applying traditional knowledge to risk reduction strategies Drought/storm early warning systems; awareness and education programs 11
Sector Health PACAM illustrative (not exclusive) adaptation options Integration of risk reduction principles into environmental permitting; integration of disaster risk management with adaptation strategies to reduce exposure to floods and extreme events Surveillance/monitoring of water and vector-borne diseases, particularly in aftermath of disasters Improved health care capacity; integration of health care and disaster risk management planning Implementation of preventive health maintenance programs; promotion of healthy lifestyles and improved nutrition and hygiene *Note: Construction activities are not eligible for funding. 12
Appendix 1 Concept Paper Template Pacific-American Climate Fund Instructions to complete the Concept Paper Template are provided in gray. I. General Information Name of Organization Office Address Location Where Founded/Organized Website Phone Number Date Established Brief Organizational Profile and Legal Status Organizational Size (Annual Revenue, in US Dollars) Board of Trustees/ Board of Directors and/or Owners Name Please list names, nationalities and position of Board of Trustees or similar governing body. Nationality/Contact No./Email Address Contact Person/s Name Position in the organization Email Name, Position and Signature of Authorized Representative On behalf of the Applicant identified in Section 1, General Information, of this application, I hereby certify that to the best of my knowledge, this application in its entirety contains only true and current information: Signature over name and position title Date II. Project Information Proposed Project Title Geographic Coverage Target Beneficiaries Proposed Partners Project Timeframe Requested Budget from PACAM III. Technical Narrative I. PROJECT DESCRIPTION 13
A. Project Background Instructions: Please give a brief description of the climate change adaptation needs to be addressed. The description should address the following two questions: 1) What are the main climate risks or hazards in your community? (e.g., sea level rise, changing rainfall and temperature patterns, greater frequency of storms or floods, ocean acidification, etc.); 2) How do they impact a key development priority in your community? (e.g., food security, water security, health, livelihoods, infrastructure, ecosystems, etc.) B. Project Goal Instructions: In view of your answers to the two questions above, state the goal and objectives of your climate change adaptation project. The objectives should include how your proposed project will: 1) Reduce exposure and sensitivity to these climate impacts; and/or 2) Increase the capacity to adapt to these impacts? C. Co-Benefits: Describe how the project will address the identified problems or needs. Include details about how the proposed project will provide co-benefits, such as livelihoods enhancement, food security, water security, improved health, sustainable natural resources management or good governance. D. Gender Focus Instructions: Outline any steps the project will take to ensure a gender sensitive approach and to promote equal opportunity for male/female participants and beneficiaries. E. Sustainability Instructions: Provide details how the project will ensure project outcomes will be sustained in the long term. II. PROPOSED ACTIVITIES INSTRUCTIONS: Insert as many spaces for additional activities as needed below, maintaining the page limit for this section. Briefly describe the major activities necessary to achieve the anticipated project outcomes and impacts in the spaces below. Please provide details of what will be done, who will benefit? Who will participate? What are the beneficiaries roles and responsibilities in delivering the project results? Proposed Activity 1: Proposed Activity 2: Add More Activity Rows as Needed III. TARGET OUTCOMES INSTRUCTIONS: List the expected outcomes of the project in the space below. The outcomes reflect the changes the project will effect or contribute to. IV. INSTITUTIONAL CAPACITY AND PAST PERFORMANCE INSTRUCTIONS: Briefly describe your organization s ability to successfully implement the proposed project. Highlight partnerships (if any) and similar projects undertaken in the past three years. 14
IV. Summary Budget INSTRUCTIONS: Proposed summary budgets should be estimates of the total cost of the proposed project. This includes the estimated amount of necessary labor/salaries, travel, capacity building expenses (i.e., trainings and training related expenses for the applicant), and other direct costs, such as the cost of equipment, insurance, etc.). Summary budgets should not exceed $250,000 and should not be for a period longer than 24 months. At the full application stage, applicants will be requested to submit a detailed budget, which will itemize individual costs. The concept paper summary budget is an estimate and summary of those detailed costs. ITEMS Project Staff/Labor Travel, Transportation and Per Diem Capacity Building and Training Costs Other Direct Costs TOTAL Requested Budget from PACAM YEARLY EXPENDITURES TOTAL 15
Appendix II Full Application Evaluation Criteria A committee will review and score each full application using the selection criteria in the table below. The relative importance of each criterion is indicated by approximate weight in points below. A total of 100 points will be possible. Evaluation Criteria Rating-Points 1. Technical Approach including Co-Benefits 40 POINTS The extent to which the proposed project clearly articulates the climate change threats and puts forward appropriate and effective adaptation measures to address them. The overall quality of the technical approach, including inclusiveness, innovativeness, flexibility, appropriate partner organizations, community ownership and government coordination. The extent to which the project assists communities to adapt to the impacts of climate change and helps build climate resiliency. The extent to which the application describes the project in a clear and concise manner and presents specific focused objectives with corresponding activities. The extent to which the application shows the logical connections between problem statement, objectives and activities, and how the activities will lead to the achievement of expected outcomes. The extent to which the project contributes to national climate change adaptation strategies or plans. The extent to which the project addresses other development challenges or provides co-benefits, such as livelihoods enhancement, food security, water security, improved health, sustainable natural resources management or good governance. The extent to which the application describes how project sustainability will be maintained. The extent to which the proposed project addresses gender issues. 2. Management Approach and Key Personnel 30 POINTS The extent to which the application describes a clear plan for project implementation, including the timeline for its major activities and milestones over the life of the project. The extent to which the application shows how personnel and resources are reasonably organized to implement and track project activities, account for funds, and manage relationships with relevant stakeholders. The demonstrated skills and qualifications, including technical and program management experience, of the project staff to implement the project. The extent to which the application presents strategies that respond to any issues or concerns that might arise during project implementation, such as the extent to which the 16
proposed project may result in unintended negative consequences. 3. Institutional Capacity and Past Performance 20 POINTS The extent to which the organization has the necessary resources human, technical, financial or access to these resources to be able to successfully implement the project within the proposed time frame and cost. The organization has undertaken and successfully completed similar projects in the past three years. 4. Budget/Cost 10 POINTS The extent to which the proposed budget proposes an efficient use of resources. The extent to which budgeted costs are reasonable and realistic in terms of achieving the objectives of the application. 17