USAID/Uganda Feed the Future Enabling Environment for Agriculture Activity EEA-APS-001 Pre-Application Forum 7 August 2014
Today s Agenda Introduce the Enabling Environment for Agriculture Activity (EEA) and EEA-APS-001 Provide you with practical advice on how to develop a Concept Paper application in response to this APS
About EEA
Enabling Environment for Agriculture Activity A three-year program managed by Chemonics International Inc. Part of USAID s Feed the Future (FtF) initiative Goal: To improve the enabling environment for agriculture development, trade and adaptation to climate change in agriculture Focus commodities: Coffee, maize, and beans
Enabling Environment for Agriculture Activity Expected results: 1. Removal of targeted policy and regulatory constraints to agricultural production, processing, marketing, and trade 2. Improved capacity of Ugandan government institutions to facilitate agricultural development and trade 3. Improved capacity of Ugandan government institutions to respond to the impact of climate change on agriculture 4. Improved capacity of private sector and civil society organisations to contribute to policy decisions related to agricultural development, agricultural trade, and climate change adaptations
Enabling Environment for Agriculture Activity Grants Component Funds creative and innovative projects that extend the Activity s impact and further the Activity s expected results
Grant Basics
What is a USAID Grant? Grants are financial assistance providing support or stimulation to accomplish a public (project) purpose, consistent with grantee s mandate Governed by a specific set of regulations Relationship is one of sponsorship Often entails capacity building Cannot include profit
Grant Regulations ADS 303 Grants and Cooperative Agreements to Non- Governmental organisations Mandatory Provisions Required As Applicable Standard Provisions Required Certifications 22 CFR 226 Administration of Assistance Awards to U.S. Non-Governmental organisations OMB Circular A-122 Cost Principles for Nonprofit organisations OMB Circular A-133 Audits of States, Local Governments, and Nonprofit organisations
Types of Grants
Types of Grants Simplified Max $150,000 per grant, no limit on duration Advances or reimbursement No international airfare (exceptions) No indirect costs Equipment only if necessary No construction
Types of Grants Simplified Max $150,000 per grant, no limit on duration Advances or reimbursement No international airfare (exceptions) No indirect costs Equipment only if necessary No construction Fixed Obligation Max $500,000/year, 3 years ($1.5m) Normally shorter duration Fixed tranche payments upon achievement of milestones Accomplishments clear and discernible Low risk and management burden; Requires more up-front work No construction
Types of Grants Simplified Max $150,000 per grant, no limit on duration Advances or reimbursement No international airfare (exceptions) No indirect costs Equipment only if necessary No construction Fixed Obligation Max $500,000/year, 3 years ($1.5m) Normally shorter duration Fixed tranche payments upon achievement of milestones Accomplishments clear and discernible Low risk and management burden; Requires more up-front work No construction Standard No max amount or duration Advances or reimbursement May include int l travel, indirect costs Increased grantee financial and reporting requirements; Requires more legwork during the grant No construction
About EEA-APS-001
What is an APS? Annual Program Statement A broad-reaching solicitation mechanism for grant proposals that encourages fair and open competition EEA-APS-001 Will remain open until 30 January 2015 First round deadline is 5:00pm on 4 September 2014 Later applications will be reviewed on a rolling basis
Concept Paper
Selected for Award Concept Paper
Concept Paper Selected for Award Not Selected for Continuation
Concept Paper Selected for Award Selected to Submit Full Application Not Selected for Continuation
Concept Paper Selected for Award Selected to Submit Full Application Not Selected for Continuation Selected for Award
Concept Paper Selected for Award Selected to Submit Full Application Not Selected for Continuation Selected for Award Not Selected for Award
Eligibility Registered Ugandan organisations in good standing Types of organisations: organisations engaged in coffee, maize, and beans value chains Policy research and development institutions Private universities Commodity-based associations and organisations engaged in policy advocacy organisations engaged in climate change adaptation and in gender and/or youth in agriculture
Application Guidance
The Most Important Parts of your Application are: The concept How the concept is presented
Grants must: 1. contribute to creating an enhanced enabling environment for the coffee, maize, and beans value chains 2. be for a period of no more than 12 months between July 2014 and January 30, 2016
Grants must: 3. contribute to the Activity s results -- Applicants should select and propose at least 1 indicator from the list in Section C of the APS -- Applicants should also propose other appropriate indicators 4. incorporate at least one cross-cutting theme (gender, youth, climate change) 5. relate to at least one of the objectives of the EEA Activity s grants component
Objectives of the EEA Activity s Grants Component: 1. Encourage effective advocacy 2. Support evidence-based research
Objectives of the EEA Activity s Grants Component: 3. Support participation of women and youth in the agriculture enabling environment 4. Accelerate and deepen the integration of climate change adaptation policies, strategies, and activities 5. Promote outreach and sensitization of agricultural policies Section C.1 of the APS
How & When Submit Follow formatting and submission instructions in Section G.5 First round deadline is 5:00pm local time on 4 September 2014
What to Submit 1. Grant Concept Paper (template in Annex A) 2. Grant Concept Paper Budget (template in Annex B) 3. Grant Concept Paper Budget Notes (template in Annex C) 4. Implementation Timeline (template in Annex D) 5. A copy of your valid legal registration
Grant Concept Paper What is a concept paper? A concept paper is a very clear and well-articulated summary of the idea for which you are requesting funding Your proposed concept should intersect with the EEA Activity s objectives and results Use template (Annex A) 8 pages maximum; note page limits specifically for items 4, 7, 8-9
Grant Concept Paper Item 4: Share relevant past or ongoing performance. Item 7: What problem will your concept address? Item 12: Describe your proposed approach in terms of tasks. Capacity building needs
Grant Concept Paper Items 8-9: Describe your concept and expected results. Explain how it relates to the EEA Activity s focus value chains, objectives, and expected results. Propose at least 1 indicator to address.
Grant Concept Paper Items 8-9: Describe your concept and expected results. Explain how it relates to the EEA Activity s focus value chains, objectives, and expected results. Propose at least 1 indicator to address. What is a result? A significant, intended, and measurable change in the condition of a beneficiary or a change in the host country, institutions, or other entities that affect the beneficiary directly or indirectly
Grant Concept Paper Items 8-9: What is an indicator? Used to observe progress and measure actual results compared with expected results. Used to measure intended changes over time
Grant Concept Paper Items 8-9: What is an indicator? Used to observe progress and measure actual results compared with expected results. Used to measure intended changes over time Make language clean and clear keep it simple!
Grant Concept Paper Budget Use template (Annex B) Show costs (line item by line item) of the grant activities you are proposing To be discussed further following our tea break
Grant Concept Paper Budget Notes Use template (Annex C) Explain the costs (line item by line item) of the grant activities you are proposing. Include details on rates, quantities proposed, assumptions, and grantee contribution 3 pages maximum To be discussed further following our tea break
Implementation Timeline Use template (Annex D) Describe each proposed task, the responsible parties, the resources required, the timeframe, and the expected results/indicators
After the concept paper stage Applicant Self-Assessment Form (Annex E) Required Certifications (Annex F) EEA will work with grantees to develop a branding strategy and marking plan EEA will assess environmental soundness and compliance in the proposed activity s design and implementation
Stages of Progress in Policy and Regulatory Reform Process Annex G Applicants proposing interventions in support of removal of policy and regulatory constraints must use these definitions to discuss: The current stage of progress in the reform process The stage(s) through which the instrument will pass during the course of implementation of the proposed grant activities The stage of progress it is expected to reach at the end of the proposed grant activities
Evaluation Criteria Section H Evaluation Category Rating (Points) Methodology & Technical Approach 30 Relevance to Grant Objectives and Focus Value Chains Integration of Gender, Youth, and/or Climate Change Concerns Relevance to Activity s Expected Results and Performance Indicators Organisational Capability & Past Performance 15 Cost Reasonableness & Effectiveness 10 Overall Rating (out of 100 points) 100 15 15 15
Tea Break
Budget Guidance
Budget Reminders Grantee contribution is encouraged. Grantee contribution means any unique resources your organisation will contribute to supplement funds from USAID/EEA Activity. This could include cash or in-kind contributions. In-kind could be volunteer services, equipment, or property. Period of performance must be within July 2014- January 30, 2016 and should be for a period of no more than 12 months.
Costs Should Be: Allowable Allocable Reasonable Adequately supported See 2 CFR 200 - Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards for more information Subpart E: Cost Principles
Allowable Costs Are: Reasonable for the performance of the award Allocable to the award In conformance with limitations/exclusions in the award Consistent with the organization s policies and procedures Accorded consistent treatment In accordance with generally accepted accounting principles (GAAP) or international accounting standards (IAS) Not used to meet other cost-sharing requirements Adequately documented Reviewed and approved by management
Allocable Costs Are: Charged to a cost objective on the basis of relative benefit received Incurred specifically for the award and in accordance with the budget in the award agreement To the benefit of the award and other work, and can be distributed in reasonable proportion in accordance with relative benefit received Treated consistently with other costs for the same purpose in like circumstances
Reasonable Costs Are: Ordinary and necessary for the performance of the award Processed at arm s length with sound business practices Not a significant deviation from an organisation s established practices and procedures Not in excess of what would be incurred by a prudent person under the prevailing circumstances at the time the decision was made to incur the costs
Adequately Supported Means: The organisation can provide original legible receipts, vouchers, purchase orders, contracts, delivery orders, timesheets, etc. Who, when, where, why, how much, etc. is fully explained
Ineligible Costs The following items may not be purchased under any circumstances: Military equipment Surveillance equipment Commodities/services for support of police or other law enforcement activities Abortion equipment/services Luxury goods and gambling equipment Weather modification equipment
Restricted Goods The following items require prior written approval from USAID: Agricultural commodities Motor vehicles including motorcycles! Pharmaceuticals and contraceptives Pesticides Fertilizer Used equipment US Government-owned excess property
Prohibited Sources You may not procure items made in, shipped from, or transported through, the following countries: Burma (Myanmar) Cuba Iran North Korea North Sudan Syria
Program Income Gross income earned by the recipient that is directly generated by a supported activity earned as a result of the award fees for services performed the use or rental of real or personal property acquired under federally-funded projects the sale of commodities or items fabricated under an award license fees and royalties on patents and copyrights and interest on loans made with award funds
Activity-Based Budgeting The budget is based on the specific activity described in the technical approach Quantify proposed activities into estimated workload and resource requirements All costs are allocable to the grant activity Budget is based on the expected results and the activities that go into creating the results
Direct Costs vs. Indirect Costs Direct costs can be identified specifically with a particular cost objective. Indirect costs are incurred for common/joint objectives and cannot be readily identified with a particular cost objective. The total cost of an award is the sum of the allowable direct and allocable indirect costs.
How to Handle Indirect Costs? There are several methods that can be used to allocate indirect costs: Simplified allocation method Multiple allocation base method Direct allocation method Special indirect cost rates. Or, turn indirect rates into direct costs
Grant Concept Paper Budget Use template (Annex B) Show costs (line item by line item) of the grant activities you are proposing Budget categories Salary Benefits Other Direct Costs Security Costs Activity Service Delivery Travel and Transportation Procurement
Grant Concept Paper Budget Notes Use template (Annex C) Explain the costs (line item by line item) of the grant activities you are proposing. Include details on rates, quantities proposed, assumptions, and grantee contribution 3 pages maximum
Final Thoughts
Things to Keep in Mind Link your concept with the EEA Activity s objectives, expected results, and focus commodities Be complete include all required text and documents Format properly follow the instructions (page limits, font) Consider your presentation maximize use of space, use consistent line spacing, put specific text in appropriate locations
What Else? Ensure your budget is clear, complete, reasonable, and linked with all activities proposed Consider activity sequencing does your proposal make sense? Include tools and approaches for internal capacity building, and how capacity building will strengthen your organisation
And Don t Forget Showcase your organization history, achievements, similar past experience, relevant current activities, visibility, structure, leadership, networks, links with decision makers (unique access) Read the APS then read it again Check the EEA website periodically for amendments Demystify USAID and USG rules and regulations use Google!
Q&A