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AET GLOBAL LLC CAAI Grants Manual
Catalyzing Afghan Agricultural Innovation (CAAI)
Agreement No. AID-OAA-L-12-00002
Submitted by:
Center for International Research, Education and Development (CIRED) 526 Prices Fork Road Blacksburg, VA 24061
Contact: CAAI Chief of Party – Noor Seddiq
Date of Submission: January 2020
Date Resubmitted: 24 September 2020 This publication was produced for review by the United States Agency for International Development. It was prepared by CAAI project staff. The author’s views expressed in this publication do not necessarily reflect the views of the United States Agency for International Development or the United States.
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Contents List of Acronyms .............................................................................................................................. 3 Executive Summary ........................................................................................................................ 4 Introduction .................................................................................................................................... 4
1.1 CAAI Background ............................................................................................................. 4 1.2 Overview and Aim of the Grant Making Policy ............................................................... 4 1.3 Research and Education Competitive Grants (RECG) ...................................................... 5 1.4 Objectives ........................................................................................................................ 5 1.5 Cross-cutting objectives .................................................................................................. 6 1.6 Expected Results .............................................................................................................. 6 1.7 Sources of Funding .......................................................................................................... 6 1.8 Fund & Awards Profile ..................................................................................................... 6 1.9 Future Policy and Modification to Grant Manual and Administrative Tools .................. 7
Management Structure .................................................................................................................. 7 2.1 The Role of VT Home Office ............................................................................................ 7 2.2 The Role of VT Home Office ............................................................................................ 7 2.3 Committee Members – Governance ............................................................................... 8 2.4 Committee Members - Conflicts of Interest.................................................................... 8 2.5 Committee Members - Confidentiality, Openness and Accessibility .............................. 8 2.6 Committee Members – Expenses .................................................................................... 9 2.7 Grants Coordinator .......................................................................................................... 9
Grant Management ........................................................................................................................ 9 3.1 Introduction ..................................................................................................................... 9 3.2 Publicity of Grant Programs ............................................................................................ 9 3.3 Information, Training and Capacity Building of Applicants and Grant Beneficiaries ...... 9 3.4 Eligibility Criteria ............................................................................................................ 10 3.5 Deadline Dates .............................................................................................................. 11 3.6 Fraud .............................................................................................................................. 11 3.7 Application Forms and Guidelines ................................................................................. 12 3.8 Process in summary ....................................................................................................... 13 3.9 Assessment .................................................................................................................... 14 3.10 Scoring Guidelines ......................................................................................................... 14 3.11 References and Vetting ................................................................................................. 15 3.12 Grant Decision Making .................................................................................................. 15 3.13 Approval Process ........................................................................................................... 15 3.14 Successful Applications.................................................................................................. 15 3.15 Rejected Applications .................................................................................................... 15 3.16 Terms and Conditions .................................................................................................... 16 3.17 Breach of Terms and Conditions ................................................................................... 16 3.18 Issue of Grant Funds ...................................................................................................... 16 3.19 Complaints ..................................................................................................................... 16 3.20 Appeals .......................................................................................................................... 16 3.21 Monitoring and Evaluation ............................................................................................ 17 3.22 Impact ............................................................................................................................ 17 3.23 Recipient Engagement ................................................................................................... 18 3.24 Future Review ................................................................................................................ 18
Appendices .................................................................................................................................... 19
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List of Acronyms ADS Automated Directives System AET Agricultural Education and Training AET, Global LLC Agricultural Education and Training, Global Company AHS Agricultural high school (under TVET-A) ANASTU Afghan National Agricultural Sciences and Technology University AOR Agreement Officer’s Representative ARIA Agricultural Research Institute of Afghanistan ATVET Agricultural technical/vocational education and training AVI Agricultural and Veterinary Institute (under TVET-A) CAAI Catalyzing Afghan Agricultural Innovation CABI Commonwealth Agricultural Bureau International CALS College of Agriculture and Life Sciences (VT) CFR Code of Federal Regulations – Also Electronic (eCFR) CHAMP Commercial Horticulture and Agricultural Marketing Program CIRED Center for International Research, Education and Development CLA Collaborative Learning and Adaptation COP Chief of Party CPD Career and Professional Development DAIL Directorate of Agriculture, Irrigation, and Livestock DCOP Deputy Chief of Party ERF/ERR Environmental Review Form and Review Report GOA Government of Afghanistan GRAIN Grain Research and Innovation HAU Haryana Agriculture University (CCSHAU) MAIL Ministry of Agriculture, Irrigation, and Livestock MOE Ministry of Education MOHE Ministry of Higher Education MSU Michigan State University NAEC National Agriculture Education College NAEREE National Agriculture Education, Research, Extension and
Economics NAEREC National Agricultural Education, Research and Extension Council PERSUAP Pesticide Evaluation Report and Safer Use Action Plan PMU Project Management Unit PPQD Plant Protection and Quarantine Directorate (MAIL) PST Provincial Site Team RADP-E Regional Agricultural Development Project-East RECG Research and Education Competitive Grant SPS Sanitary and phytosanitary SWIM Strengthening Watershed and Irrigation Management TVET-A Technical & Vocational Education Training - Authority USAID United States Agency for International Development USDA United States Department of Agriculture USG United States Government VT Virginia Tech
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Executive Summary This manual is prepared by AET Global LLC, a Virginia Tech company. The Grant Making Policy Manual outlines the principles and definitions used by AET Global LLC to articulate the requirements for grant making under Catalyzing Afghan Agricultural Innovation (CAAI) program in Afghanistan, and to provide a standard and continuity of practice. This manual provides the framework and the rules for AET Global LLC personnel to fulfil their grants management and monitoring functions. Purpose of the Manual This manual provides CAAI program staff and all grant recipients with all the information necessary to undertake the implementation of project-supported grants. It provides information on the launching of the Research and Education Competative Grants (RECG), the process and criteria for selection of projects for funding, and how to manage an agreement. It covers the period from the award of the grant until the final report and payment. The manual also highlights key aspects of contractual obligations and the correct way to develop internal project management, monitoring and supervision processes. These processes will help minimize risks, avoid implementation delays, and ensure timely reporting to USAID. All grant recipients in the Research and Education Competitive Grant (RECG) scheme are subject to this manual in their project implementation, procurement (purchase of goods, services and works), reporting, and branding and visibility activities. Similarly, Monitoring and Evaluation Experts must use this manual in their MEL work. Introduction 1.1 CAAI Background The Catalyzing Afghan Agricultural Innovation (CAAI) is a five-year USAID-funded program implemented by Virginia Tech. CAAI supports Afghan-led innovation in agriculture by training a highly-skilled, modern agricultural workforce, strengthening the capacity of research and extension actors to deploy innovative solutions to the practical challenges of Afghan farmers and agribusinesses, and institutionalizing coordination among agricultural value chain stakeholders. The purpose of CAAI is to improve the capacity of agricultural education institutions to serve their clientele groups. CAAI will improve relevance and capacity of agricultural education and promote new roles for educators and researchers by building relationships among them and with the private sector. Working with Afghanistan public sectors at the Ministry of Higher Education (MoHE), Ministry of Agriculture, Irrigation and Livestock (MAIL) and the Technical, Vocational Education and Training Authority (TVET-A), CAAI provides support to train the next generation of agricultural workers to be successful participants in Afghanistan’s modern value chains. The program uses the Positive Youth Development approach and experiential learning to provide youth with the skills necessary for success in the workforce and to start their own businesses, including using modern agricultural technologies to increase yields and profitability. CAAI focuses on locally important value chains in five provinces to ensure that graduates are prepared for and linked with relevant private and public sector employment opportunities. Grants are awarded throughout the year and are granted to support targeted agriculture-related research activities. 1.2 Overview and Aim of the Grant Making Policy
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In order to promote a culture of applied and educational research in the agriculture sector, CAAI plans to award small grants to university faculties and students in form of small students grans also know as capstone grants which are awarded to a faculty mentor to support the work of a student applicant. The Projects should address a need in sustainable agriculture in the province where the students and faculty attend the university. Projects must contain both research and education components and possibly involve agricultural producers in planning, design, implementation, and educational outreach. CAAI will also administer a small grants program to provide seed funding to researchers in agriculture faculties. CAAI PMU and PST teams will make sure that all CAAI related grants activities are securely conducted in a safe and secure environment. We will have the awarding institution to monitor the situation and report to CAAI on monthly or as need bases informing us of the situation. Our grant making program: is informed by research, information and consultation that relates to the needs of
agriculture research and education prioritizes the allocation of resources to achieve maximum impact reflects the need to develop the human and institutional capacity of local agriculture
research, extension, and education institutions responds strategically to needs across the provinces where CAAI is working enhances collaborative and voluntary activity and encourages best practices implements, monitors, and evaluates to ensure optimum achievement
In awarding grants, CAAI aims to be fair, efficient, and professional. In explaining the processes and procedures relating to our grant making, we can demonstrate that our structures are robust, transparent, and accessible to attract applications from a range of educational and research institutions. Our grant making criteria must be clear and consistent, but also remain flexible to ensure that our donor’s planned activities are incorporated, and objectives achieved. 1.3 Research and Education Competitive Grants (RECG) The grant program of the CAAI program will be implemented through the Research and Education Competitive Grants initiative. CAAI plans to use the USAID’s Fixed Award Amount (FAA) mechanism of awarding limited small grants through competitive process in agriculture universities and institutes in five provinces of – Kabul, Kandahar, Herat, Balkh and Nangarhar. 1.4 Objectives
• To run a competitive process to solicit and fund innovative, industry-driven proposals from Afghanistan universities and TVET for establishing new or expanding and improving existing research, education and training programs to meet industry needs, and thus provide a mechanism for incentivizing the development and implementation of sustainable and innovative industry-led programs that set leading examples for higher education and TVET reform in Afghanistan.
• To enhance the employability of universities and TVET graduates leading to a higher proportion of employed graduates with higher salaries.
• To conduct basic research in specific crops identified by private sector stakeholders and farmers.
• To establish new or expand and extend existing innovative higher education and and TVET programs. For AVI and AHS, programs need to be developed in line with TVET-A requirements and should be modular and utilise work-based learning approaches.
• To develop public and private sector partnerships in universites and TVET nationally and internationally.
•
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1.5 Cross-cutting objectives • To ensure that all projects funded through the CAAI program ensure environmental
and social protection. • To strengthen youth and gender inclusion in higher education and TVET education
by promoting innovative approaches to social and gender integration and overcoming of stereotyping.
1.6 Expected Results • Innovative and effective approaches to employment-oriented skills development in
Afghanistan are developed by providing investment funding to new or existing universities and TVET programs through a competitive research and education grants program in the agriculture sector.
• Universities and TVET institutions are incentivized to engage with local and international industry through the provision of services and technical assistance to overcome financial and capacity barriers to market entry in agriculture.
• New university and TVET programs are established or existing programs are expanded and/or improved to result in a defined qualification (i.e. degree or diploma).
1.7 Sources of Funding The main source of grant funding is CAAI. The role of agriculture universities and institutes is to offer professional, flexible research, extension, and educational services to assist donors (CAAI under USAID) to achieve their objectives. (See Appendix A) Agriculture universities and institutes are increasingly recognised by governments and the private sector as an effective conduit for progress in many areas of research, extension and education, specifically youth skill building and the effective use of funds for positive youth development. The indicative grant fund amount available for RECG under this Grant Scheme is $200K over four years. Depending on the number and quality of grant applications and the available grant money, up to three requests for proposals will be announced during each annual work plan. In the Year 3 Work Plan, one large multi-institution grant project with industry partners and educational institutions combined will be considered. 1.8 Fund & Awards Profile Below is a description of the type of funds managed by the CAAI grants management office. Donor-advised fund in which the donor is involved with the decisions on how the fund is
distributed and for what purpose and type of project. Restricted fund where funding is restricted to a certain geographical area and/or an
identified for a specific purpose. One-year grant a grant is made following a specific request from an organisation or
individual toward a specific activity, grants are generally to be spent over an agreed time period, usually one year and are made with specific terms and conditions.
Multi-year grant a grant made over a longer period, usually 3 years. Payments are made monthly or quarterly, following receipt of satisfactory monitoring, and are subject to the availability of appropriate donor funding.
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The assessment and monitoring process for all funds are the same unless donors request specific procedures. In the case of current USAID-funded grants, CAAI will be strictly following USAID policies and regulations (2 CFR 200) ( https://www.govinfo.gov/app/details/CFR-2018-title2-vol1/CFR-2018-title2-vol1-part200/context) and 2 CFR 700 (https://www.govinfo.gov/app/details/CFR-2016-title2-vol1/CFR-2016-title2-vol1-part700/context) for monitoring, evaluation and reporting. All applications received by CAAI are processed according to the grant making procedures set out in this document. 1.9 Future Policy and Modification to Grant Manual and Administrative Tools If needed, annual review of this policy with appendices can be conducted, and modifications can be made to the grant process. Administrative and process tools will either be formally approved through a No-Objection by AET Global LLC field and home offices senior management or undergo a technical review by Research Committees established in each university. For No-Objections, the AET Global LLC response will distinguish general technical comments from items which are considered flaws and not acceptable to USAID. AET Global LLC staff will review comments from their counterparts at USAID, and ensure such comments are addressed by the author(s) before submission for No-Objection. Management Structure 2.1 The Role of VT Home Office CAAI’s Senior Management at Virginia Tech under AET Global LLC has full responsibility for the distribution of all project funds. The Senior Management implements the grants policy via a Grants Committee that is made up of a designated representative from the home and field offices and USAID. The Senior Management will receive a report of grant making activities quarterly. 2.2 The Role of VT Home Office The Committee is convened to consider issues regarding grant applications. The Committee makes informed decisions about grant applications in the context of the circumstances of each applicant, and in relation to the available budget, incorporating their knowledge of local needs. Decisions are by majority of the membership. The Committee’s role is to bring an understanding of local needs whilst taking a view of the whole educational community, not to represent specific constituency or organizations. Grant making is a collective experience and while respect should be given to members with specialist experience, care should be taken not to marginalize other committee members who may not have the same level of knowledge or expertise. The Committee members are expected to read the assessment reports prior to each meeting. If additional information is required, the Committee should request it of the Grants Team in advance of the meeting. If a committee member has personal knowledge that influences or gives an appearance of influencing their view of a particular group/application, they are required to inform CAAI COP and DCOP before the meeting, so that further information may be gathered. A quorum will be established for each program/committee and will usually be a minimum of 5 people One each from: Home Office, Field Office, USAID, universities, and other programs. The committee is expected to reach a final decision on all applications within the timeframe of the meeting, unless there are exceptional circumstances. In those instances, where the Grants Team is required to gather outstanding information after the meeting, the committee will respond by email with its final decision.
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2.3 Committee Members – Governance AET Global LLC under VT takes responsibility for appointing new committee members.
• AET Global LLC under VT reserves the right to replace members after they have missed two consecutive meetings. After missing three consecutive meetings, a committee member will be required to step down.
• AET Global LLC under VT reserves the right to remove members of the committee in cases where there is a conflict with the interests of the Fund.
• Committee members are asked to give reasonable notice if they intend to leave the committee. (Refer to Appendix B for CAAI Grant Committee Member Agreement Form)
2.4 Committee Members - Conflicts of Interest It is important that all decisions about grant awards under this fund are fair and objective. Committee members should not be involved in decisions on funding where they have an interest in the group that has applied. Committee members should, therefore, record all significant connections with institutions who are eligible to apply. A significant connection can be defined as a relationship that leads one to have a personal interest in an institution or organization such as being a member, volunteer, beneficiary, trustee or employee. This policy shall not prevent the involvement of committee members, whose professional role is to work with a large number of such groups, including advising them on funding applications.
1. When joining the committee, members will be asked to state any continuing involvement with any institution or organization. AET Global LLC will provide members with a ‘Declarations of Interest’ form, which must be returned and kept on file. At each meeting, Committee members are required to declare any interest they may have in any item under discussion and will be required to leave the room when such items are being discussed. Likewise, a Grant Team member may not review any application from an institution or organization in which they maintain an interest. Another representative of CAAI would review such an application.
2. When considering what to declare, the golden rule is “if members of the public, knowing the facts of the situation, would reasonably conclude that the interest involved might influence the decisions made regarding an application.”
3. In order to maintain consistency for all applicants, committee members will not receive assessment reports for those institutions and organizations in which they have declared an interest.
4. In view of potential conflicts of interest, CAAI will not appoint committee members who also work as private consultants in the sector. (Refer to Appendix C for Declaration of Interest form)
2.5 Committee Members - Confidentiality, Openness and Accessibility All information presented and discussed in the committee meetings will remain strictly confidential. This policy is intended to protect applicant institutions and organizations, and to ensure that applications can be discussed in a safe, open manner during committee meetings. To maintain clear lines of communication, CAAI alone will be responsible for notifying institutions and organizations of the outcome of their applications. Notwithstanding the need for confidentiality, information on awarded grants will be made publicly available. Successful institutions and organizations must be open about the source, amount and purpose of the grant received. Applicant institutions and organizations are entitled
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to full details of the reasons why a grant was/was not awarded. (Refer to Appendix D for CAAI Confidentiality Policy) 2.6 Committee Members – Expenses Travel expenses incurred by committee members when attending the meetings will be reimbursed by AET Global LLC. Forms will be made available to make claims, and committee members will be required to provide copies of receipts/travel tickets. (Refer to Appendix E for Travel Claim Form.) 2.7 Grants Coordinator CAAI home office program coordinator will support the CAAI grant making program under AET Global LLC. The coordinator at Home Office will provide support for ensuring that the training and development needs of the grants finance office and Committee are met with respect to grant making matters. Grant Management 3.1 Introduction This section sets out the process for the distribution of funds by outlining a minimum standard to which CAAI will adhere. This standard ensures that CAAI is an effective grant maker and ensures that the necessary safeguards are in place to protect the interests of donors and senior management. In some instances, especially where CAAI is managing a statutory sector grant program, donors may ask for elements to be added to the process. For example, donors such as USAID have specific requirements regarding the way in which applicants should be assessed or the information, they require at the monitoring stage. It is the responsibility of the CAAI MEL specialist to ensure all guidelines are up to date and adhered to by everyone. 3.2 Publicity of Grant Programs All grant opportunities are publicized through a range of media releases, primarily on the CAAI website https://cired.vt.edu/programs/catalyzing-afghan-agricultural-innovation--caai-.html and will let our partner universities and institutes know by email and newsletters. CAAI also conducts Funders Fairs and participates in seminars and workshops to inform and assist prospective applicants. The timing of publicity aims to provide sufficient lead-time for the deadline date for receipt of grant applications. Award presentation events will be held for funds, and photographic opportunities will be encouraged with donors. For newspapers and other media relations, it is imperative that individual press releases are prepared to publicize local grant awards. The CAAI website offers an important outlet to promote the grants awarded to a wide audience. Similarly, the CAAI’s meetings and donor receptions give an opportunity to include presentations from beneficiaries to our supporters. 3.3 Information, Training and Capacity Building of Applicants and Grant Beneficiaries Application forms and guidelines can be downloaded from CAAI’s website. Where inquiries are received regarding projects that do not meet the criteria of any of the CAAI’s current grant funds, the grant coordinator is encouraged to provide information that could be helpful in identifying alternative funders. The CAAI PMU, with support from VT/CIRED, will organize a kick-off event in Kabul where all key stakeholders will be invited, and media will be called to publicize the event.
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The CAAI PMU with support from VT/CIRED will provide information, consultation, training and capacity building support and technical assistance to applicants and grantees throughout the CAAI program implementation. During the RECG launching and pre-application stage, the CAAI PMU will provide the following support to applicants and interested parties:
1 RECG launching and awareness raising; 2 Information and clarifications on RECG guidelines and overall proposal development and
evaluation process and timeline; 3 Explanation of special requirements and applicable standards and procedures 4 RECG-related information handouts, presentations and trainings at the concept paper
and full application development stages online and during open events; 5 Publicly shared file of Q&A relating to RECG-specific issues raised by applicants.
During the RECG implementation stage, the CAAI PMU will provide the following support to awarded projects:
1. Capacity building of the grant beneficiaries – introductory and follow up project implementation, procurement and reporting training;
2. Provision of support to grant beneficiaries in grant project implementation, monitoring, procurement, visibility, good practices development and other relevant plans development;
3. RECG quarterly monitoring and information system; 4. Support and training of grantees to facilitate compliance with IFC Performance
Standards, including management and monitoring of compliance throughout the project cycle;
5. Support and training of grantees in the application of ESP, OHS, and SGI relevant to the specific Univerity or TVET AVI or AHS subject, industry and grant deliverable, including risk identification, assessment and management;
6. Grant Scheme Quarterly and Final Technical and Financial Reporting; 7. Grant Scheme Evaluation and Good Practices.
The CAAI PMU will deliver four RECG-related trainings in the application and implementation stage. The trainings will be provided with gradual expansion and increased focus on aspects as relevant to the RECG needs at the different stages of the application and the implementation and reporting. The information and training materials will be developed by CAAI and will provide essential inputs and information. CAAI will monitor the quality of the training content, materials, and delivery process. 3.4 Eligibility Criteria CAAI will award grants only to the institutions it works with in five provincial agriculture faculties in provincial universities and agriculture institutes. The proposals can be submitted as single institution or a collaborative between the institutions. Agriculture Research Institute of Afghanistan (ARIA) is also eligible as collaborative institution from MAIL. CAAI can also consider on a case by case basis to allow any other regional university or institute to participate if listed by the five partner universities and institutes as being essential and critical for collaboration to conduct regional research and study. No other will be considered or eligible. To be eligible, proposals should:
1. support projects that establish new or expand/improve existing university and TVET programs and courses, clearly demonstrating how they are serving needs of industry and are driven by industry; OR,
2. conduct basic research in value chain requested by private sector actors or farmers.
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Qualifying projects will be expected to enhance the employability of university and TVET graduates leading to a higher proportion of employed graduates as well as leading to higher salaries for those graduates.
Programs should: 1. propose innovative models and practices, including the greater integration of girls and
other vulnerable populations in Univeristies and TVET provision. 2. integrate occupational health and safety standards through curriculum development,
training, and practical application. The results should be sustainable beyond the life of the CAAI program and plans for sustainability will be a key assessment and selection criteria.
1. The Program Improvement Competitive Grants are open to public TVET Institutes and high schools and public universities and institutions of higher education.
The applicants, lead organizations, and partners should be duly established and registered in accordance with the relevant Afghanistan or other national legislation and be directly responsible for the preparation and management of the project with their partner/s, not acting as an intermediary. CAAI encourages co-financing of the proposed projects. Co-financing contributions must be toward meeting the project objectives. Co-financing contributions may be financial or in-kind and should amount to a minimum of 10% of total grant funding. Financial contributions include, without limitation: cash, grants, loans (principal and any interest thereon), securities, guarantees, and other financial instruments, that may be provided by the applicant through its own resources or from non-U.S. Government donors or non-government entities. In-kind contributions may include goods, services, works, studies, equipment, materials, land, and leased property provided by the applicant. The value of in-kind contributions should be estimated by applicant or by reviewer during the selection process based on the expected value of the goods, works or services provided, assessed for reasonableness, and related explicitly to the project. The recorded value for any in-kind contribution will be the fair market value. Co-financing contributions, whether financial or in-kind, will be acceptable when such contributions meet all of the following criteria:
2. are verifiable from the applicant’s accounting records, are not included as contributions for any other project;
3. are necessary and reasonable for proper and efficient accomplishment of the project objectives;
4. are allowable under the USAID Cost Principles and are not paid by the US Government under another grant or loan.
3.5 Deadline Dates Deadline dates are strictly adhered to, are widely publicized, and appear on the CAAI website. Applications that are received after the published deadline will not be assessed in that current grants round. When relevant, and after discussion with the applicant, the application will be deferred into a following grant round. 3.6 Fraud CAAI takes fraud very seriously, and we are committed to ensuring that the appropriate guidance and information is available to all grant technical and financial monitors to mitigate the risk of fraud. CAAI greatly values the importance of developing effective relationships with funded organizations. By developing stronger, clearer relationships and by building trust with funded
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organizations, we can help to prevent any misunderstandings and remain a flexible and accessible funder for local educational institutions. Fraud can take place in all stages of grant funding (i.e. application stage, selection, and during monitoring and evaluation). There are measures that CAAI has in place when assessing grant applications. CAAI finance office will monitor Grants budgets and expenditures and will look for the following indicators in grant applications: applicant unknown to local universities, institutes and other organizations or local
government first-time applicant applicant having no address, only a mobile phone number and/or PO Box address discrepancies between financial information provided on the application form and that
in the audited accounts discrepancies between the named applicant organization and the name as it appears in
the constitution/bank account only one check signatory, or check signatories who appear related relationships between Trustees/committee members/check signatories
Identifying individuals, institutions, and organizations as ‘high risk’ does not mean an application is automatically rejected. CAAI can and will implement different assessment and monitoring processes in such instances. For example, we may visit the individual’s place of business, institutions, and organization before making a grant, or implement a staged grant payment and monitoring system. The return of Monitoring and Evaluation forms is vital as they provide the necessary feedback on how a grant was spent and the outcomes achieved. As part of Monitoring and Evaluation activities, CAAI requests evidence of expenditure and any audited or independently examined accounts. CAAI has a zero tolerance for fraud, misuse, and abuse of the grant’s funds and in the event CAAI considers that a grant has been used fraudulently, CAAI will seek to recover the full grant and any associated costs. We will inform the relevant regulatory authorities who may include the police, and legal action will be considered. All dispute between parties will be resolved under AET Global and Virginia Tech policies and procedures and under local laws. 3.7 Application Forms and Guidelines CAAI will make all grant application forms accessible to local universities, institutes, and other education institutions regardless of size and professional fundraising expertise. Application forms are designed to gain essential information about the organization and its eligibility for funding. It requires information regarding the structure of the organization, the request for funding, how the money will be used, and how a grant will benefit students, institutions and local communities. Minimum information to be included on the application form:
Name of individual/s, institution/s Contact email Contact details, which should include check payee details Local registration number if applicable
All beneficiaries of competitive grants are subject to applying CAAI procedures and using CAAI documents in their project implementation, procurement (purchase of goods, services and works), reporting, and branding and visibility activities.
Similarly, all monitoring experts must use the manual in their monitoring work.
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Current activities Amount applied for and itemized cost breakdown Purpose of grant Signature of applicant individual/s and institutional representative
All applicants are required to submit supporting documents that provide the necessary evidence of institutional purpose and financial situation. Supporting documents must be provided with the application. Failure to do so may result in an application being deferred or withdrawn. Other information needed from educational and public institutions are:
Bylaws or another Governing Document Annual accounts (Independently examined / or audited annual financials) Budget/income and expenditure forecast for the coming year Project budget including quotes as appropriate Minutes of the meeting in which the Trustees agreed to make the application Equal Opportunities Policy Safeguarding policy if working with children or vulnerable people Others where applicable
Where individual help is needed the grant team may provide or refer applicant to an appropriate body for support. 3.8 Process in summary
Applications are received and assessed in accordance with the procedures defined in this document and those specified by the funder.
Reports are produced setting out details of all eligible applications and recommendations in line with the funds available at that grants round.
Reports summarizing recommended applications are sent to the Grants Committee and/or donors at least a week before meeting.
CAAI is responsible for administering and monitoring the grant, and to report back as required by the donor’s agreement.
Minutes confirming the decision of the Grants Committee are reported to the full Board and must be filed for audit purposes.
The CAAI finance office must ensure all applicants are notified of the outcome of their application
Process Map – Lifecycle of a Grant Award (Pre and Post Awards)
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CAAI Informs Ag Faculties/Institutes Close BudgetSubmit Final Activities ReportSubmit Final Financial Status ReportFinal Evaluation & Compliance
Ag Researchers/Students Prepare ProposalProposal Submission to CAAIReview by Research CommitteeReview by Home Office/COP/DCOP & AOR Ag Faculty/Institute to Setup Project
Establish BudgetStart Research Activities
Final Approval by COP/DCOP Milestone Activities ReportingCAAI Informs Universities/Ag Faculty Milestone Billingand Institute of Grants Award Notification Monitoring & Compliance
Pre-Award - CAAI Grants Proposal Process Post-Award - CAAI Grants Accounting & MEL
Project Startup
Proposal Development
Funding Opportunity
Award Receipt
Award Managment
Grant Close-out
3.9 Assessment The aim of the grant’s assessment is to ensure the applicant individuals, institutions and organizations meet the eligibility and criteria of CAAI and to establish and summarize the overall need for their services. It is the responsibility of the CAAI MEL Specialist to ensure the guidelines are up to date and available to all Grants Committee members. Each application will be recorded onto a tracker to provide history of any previous applications made by the organization. If the application is successful, it enables CAAI to determine/record any monitoring reports that are needed. Every application will be assessed following CAAI policy grant guidelines regarding funder’s eligibility and application completeness. If an application is incomplete, contact will be made to the applicant to request the missing information. Delays in supplying the requested information may result in the application being deferred or withdrawn. Applicants may be contacted by CAAI finance office to discuss their application further and to gain a wider understanding for the need for the project. Where significant matters cannot be clarified through the application form or telephone communication, site visits may be carried out as considered appropriate. The assessment summary will include - an outline of the organization, its purpose, the need for the proposed project, cost effectiveness, an outline of the project’s cost, how the community / service users are involved and the lasting benefit to the community. This summary will be shared with the Grants Committee members. 3.10 Scoring Guidelines A scoring system can complement the assessment process and enable the prioritization of applications within each grant round. When a scoring system is applied, CAAI and university proposal review committee will ensure all applications have been scored using the following guidelines. There are six (6) evaluation criteria and five (5) criteria of relevance to the proposal (refer to the Grants Concept Paper Form document)
1. Relevance to CAAI program objectives: 7-14-21-28-35 2. Problem analysis and evidence: 3-6-9-12-15 3. Stakeholder involvement and networking: 4-8-12-16-20
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4. Relevance to and addressing farmers, herders, private sector, and value chain issues as well as innovation and good practice: 4-8-12-16-20
5. Methodology: 5-10-15-20-25 6. Sustainability: 5-10-15-20-25
1. Very Poor = no or very insufficient information. 2. Poor = insufficient information, which is not supported with data. 3. Satisfactory = sufficient information, which is not supported with data. 4. Good = sufficient information, with accurate data but no reliable sources of
information are quoted. 5. Very Good = sufficient information, with accurate data and quoted reliable
sources of information. 3.11 References and Vetting At least two references must be provided in support of an application. References will be requested, preferably by email, for every new applicant organization or any organization that has not received funding. CAAI will request references for every application if required by the donor. Based on the donor’s policy and regulations when and if the grant amount is $25K or higher, a full vetting process of the individuals and institution will be conducted. 3.12 Grant Decision Making Each of our partner research universities in Kabul, Kandahar, Herat, Balkh and Nangarhar has research committees in their agriculture faculties which reviews proposals submitted by faculties for relevance, priorities, and applicability. In the case of CAAI supported applied research, the scientific research committee of each institution will review and approve research proposal and then submit them to CAAI for review and consideration to be funded. CAAI will then submit the proposals to our home office research faculty for review, it will come back to COP or DCOP for approval. CAAI will share the proposals with AOR for review and comments as there may be some restrictions placed on funds distribution. It is the responsibility of the CAAI COP/DCOP, in coordination with universities proposal review committee to consider relevant restrictions when recommending awards for approval. 3.13 Approval Process After full review of research scientific committee, VT’s home office review, USAID’s AOR review and CAAI COP and DCOP reviews, CAAI’s COP/DCOP will meet with the Grants Committee of each institution and informed them of approved and funded applications. Minutes of the meeting must be taken. 3.14 Successful Applications All successful applicants will be notified per the guidelines below:
1. A letter confirming success of the grant application and setting out the amount and the purpose for which the grant is awarded
2. Enclosing copies of any required End of Grant or Monitoring and Evaluation forms
3.15 Rejected Applications A letter will be sent to the unsuccessful applicants encouraging them to contact CAAI to obtain feedback and guidance on future bids.
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3.16 Terms and Conditions All funding is awarded subject to clear Terms and Conditions, which must be agreed by individuals and or the organization before payment is released. Any changes to the original Terms and Conditions must be reported to CAAI immediately and authorised by CAAI COP/DCOP in the field office or CAAI home office in Virginia Tech and as required by the Donor. Failure to do so may result in the grant being withdrawn and all funding being returned. Funding for one project cannot be transferred to another project (no commingling of funds is allowed). Below are examples of changes to the Terms and Conditions:
• Delay in starting project - a delay of longer than 3 months in starting a project and the grant money not being spent.
• Funding from elsewhere - a successful application to another funder for the same project
• Significant changes in the financial stability of the organization - if an organization is threatened by closure due to lack of funding
• Changes to the project as it develops - if the project does not adhere to the grant purpose as outlined in the Terms and Conditions, nor follows the plan as outlined in the application or cannot engage with targeted client institutions and groups, or if a key person leaves the organisation, the organization must notify CAAI immediately.
3.17 Breach of Terms and Conditions In the event CAAI considers an organization has breached Terms and Conditions, CAAI reserves the right to request the return of the total grant awarded. No future applications for funding will be accepted from individual and or organizations in breach for a minimum of 2 years and then only if the individuals or organization is able to provide evidence of action taken to strengthen management capacity, including support sought from relevant umbrella organization. 3.18 Issue of Grant Funds The successful applicant’s bank details are to be forwarded to the CAAI grant team to instigate a payment by direct deposit within 30 days of approval. The payments under the grant agreement will be deliverables-based, and payable on the basis of a payment schedule, relating to the Implementation Plan. 3.19 Complaints Complaints about grant award decisions or the operation of the scheme will be dealt with in the first instance by CAAI. If CAAI is unable to resolve a complaint, it will be passed on to CAAI’s Senior Management at Home Office at VT to decide what, if any, further action is required. The Funder/Donor will be involved wherever necessary, in line with the guidance set out in the agreement. Copies of all correspondence and minutes may also be forwarded to the fund provider/donor, as required. 3.20 Appeals Appeal cannot be made if refusal to fund or reduction in amount offered is due to the available budget. Appeals will only be allowed on the following grounds:
1. Where the organization claims that the CAAI representative showed prejudice in considering the request, or
2. The details provided to the Grants Committee were factually incorrect in some material aspect.
If the CAAI Field Office (COP/DCOP) is unable to resolve the matter, it will be referred to CAAI’s Senior Management at the Home Office in VT.
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3.21 Monitoring and Evaluation Where multi-year funding is agreed, an appropriate monitoring framework will be implemented. CAAI will also have the right to undertake a monitoring visit to any of the funded applicants. Monitoring visits will take place to cover a wide spectrum of activity and will aim to cover larger grants and a selection of organisations making repeat requests for funding, including funding for a single capital item, the purchase of which needs to be verified through documentation and end of year accounts. The completion and return of a monitoring form are a requirement set forth by the CAAI program and the Donor (USAID). This will be outlined to applicants in the Terms and Conditions. Monitoring and Evaluation Forms and guidelines are issued with the offer of the grant, in order to allow the individual and organization time to develop reporting procedures appropriate to the returns they must make. Forms and evidence of expenditure (e.g. copies of receipts and invoices) must be received by CAAI within one month of the funding year being completed or sooner if applicable. In the event that monitoring is not received, the grant team will contact the individual and organization in the following way:
1. A letter will be sent to the main contact requesting return of the monitoring and evaluation forms within two weeks
2. If, after two weeks, forms have not been returned the group will be contacted by phone to request return within one week
3. If, after one week, forms have still not been returned, the grant will be suspended and a final letter will be written notifying the individual and organization that they are in breach of their terms & conditions and confirming that the individual and organization is no longer eligible for any further funding.
Failure to submit satisfactory monitoring is considered a breach of the CAAI’s Terms and Conditions as detailed in section 3.17. Listed below are examples of activities that CAAI should investigate:
1. Activity or service did not take place, as per agreed terms of the funding 2. Issues raised about quantity, quality and governance 3. Individual and or Institution’s focus changes 4. Individual or institution failed to disclose information that is significant to the funding 5. Institution ceasing to operate 6. Suspected misappropriation of funds, whether deliberate or otherwise 7. Activity cost less than expected
3.22 Impact CAAI wants to identify beneficial outcomes and measures. Currently CAAI:
1. Collects monitoring and evaluation reports from grant recipients 2. Arranges donor/fund-holder visits to organisations 3. Publishes stories and news on website 4. Produces press coverage on grants awarded and new funds available 5. Produces press coverage by grant recipients 6. Publishes case studies on website and in Annual Review 7. Arranges donor meetings, bringing donors and grant recipients together 8. Organizes award ceremonies celebrating organisations and their work 9. Collects feedback from stakeholders and networks
The CAAI MEL specialist, together with CAAI Senior Management, will ensure that a sufficient communication program is in place to continually demonstrate CAAI’s impact as a grant maker.
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3.23 Recipient Engagement Visits to grant recipients by CAAI’s Senior Management in the Field Office (PMU), the donor (USAID), and members of the Grants Committee are encouraged. They bring to light the issues affecting agriculture education and raise awareness of local educational institutions. A member of the grant team or senior management from the CAAI field office should organize and accompany visitors to a funded institution. 3.24 Future Review This policy is a working document and as such is used to guide and clarify the grant making activity within the CAAI program. This policy will be reviewed by the CAAI Grants team and senior management at the home office annually. Adopted on: ………………………………………………………………………………………………………………………. Signed by Executive Director, CAAI……………………………………………………………………………………… For further information, please contact: The CAAI Grants Office AET Global LLC TVET-A Deh Bori Road Kabul, Afghanistan [email protected]
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Appendices Appendix A
CAAI’s Current Funding The indicative grant fund amounts available for RECG and SSP grants under this Grant Scheme is $120K over three years. Depending on the number and quality of grant applications and the available grant money, up to three requests for proposals will be announced during each annual work plan. The grant amount per project is up to $5,000 and the maximum grant amount may not exceed over $10,000 for large multi-institution and multi-year grants. A smaller or slightly larger grants will be considered by the Grants Committee Members. In the Year 4 work plan, one large multi-institution grant project with industry partner and educational institutions combined will be considered with higher educational institution as a prime. Funding Timeframe Funding Amount CAAI Ag Competitive Research and Education Grants (RECG) and Student Small Projects Grants
2020 – 2021 $50,000
2021 – 2022 $50,000 2022 - 2023 $20,000
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Appendix B AET Global LLC
CAAI Grant Committee Member Agreement
By signing this document, you are formally recognized as an independent Grants Committee Member for the CAAI program. As a Committee Member, you have an important and valuable role in the delivery of our funding programmes. This role is accompanied by a number of responsibilities which are listed below. Please read them carefully and, having fully understood this agreement, sign and date the agreement, keeping one copy for your records and returning one copy to us. As a Committee member you are expected to: - Attend Grants Committee meetings, the dates of which will be provided to you at the
beginning of each financial year. Undertake training required to become an informed and efficient committee member
and any refresher training as deemed necessary. Observe strict confidentiality about the applications assessed and the decisions made
before and after the committee meeting has taken place. Declare any conflict of interest, positive or negative, which may prejudice your decision
about an application. While your honesty and integrity are not in question, you must declare any involvement you may have at the beginning of the meeting.
submitted to the committee you are attending if this will help the decision-making process.
Participate in a committee review at the end of each financial year and re-commit to Committee Membership Agreements.
Make unbiased and fair judgements on applications against the eligibility criteria. Listen to the views of other committee members and attempt to reach a consensus
decision on each application. Understand that you are an equal member of the committee and that you do not have a
veto right on any decisions of the committee. In cases of disagreement, majority rules. Report any breach of this agreement to the Community Foundation. Thank you for volunteering to bring your local knowledge and experience to bear on high impact grant making decisions. Committee Member…………………………………………………………………………….. Signature………………………………………………………………………………….. Date………………………………………………………………………………………..
Appendix C
Declaration of Interests Form I _______________________________, as a Trustee and/or Grant Committee Member of CAAI program, have set out below my relevant interests in accordance with the organization’s conflicts of interest policy. Category
Please give details of the relevant interest and whether it applies to yourself , a member of your immediate family, or some other close personal connection
Current employment and any previous employment in which you continue to have a financial interest.
Appointments (voluntary or otherwise) e.g. trusteeships, directorships, local authority, membership, tribunals etc.
Membership of any special interest groups or mutual support organizations.
Investments in unlisted companies, partnerships and other forms of business, major shareholdings (i.e. above 3% of issued share capital) and beneficial interests.
Freehold or Leasehold ownership (full or partial) of property.
Do you use, or care for a user of services funded by CAAI program?
Any contractual relationship with CAAI program.
Any other conflicts that are not covered by the above.
To the best of my knowledge, the above information is complete and correct. I undertake to update as necessary the information provided, and to review the accuracy of the information on an annual basis. I give my consent for it to be used for the purposes described in the conflicts of interest policy and for no other purpose. Signed: ______________________________ Position: _____________________________ Date: ________________________________
Appendix D
CAAI Confidentiality Policy Introduction Catalyzing Afghan Agricultural Innovation (CAAI) holds a great deal of information about applicants, donors and staff that is private and sensitive. CAAI also holds information about its own activities and plans which are not intended to be disclosed to others. This policy provides guidelines for the grants team, volunteers, committee members and Board members to ensure that all such information remains confidential and is not disclosed to third parties. Our Commitment CAAI is a highly professional organization which respects the confidentiality of information given in the course of its business and will not disclose information to third parties or talk about clients or client organizations in any way that would compromise them or the organization. Confidential information It is necessary to distinguish between general, open information and specific private information, especially where these involve applicants, donors or staff. Some examples of confidential information are:
(1) Details of donors, especially their names, levels of contribution, contact details and other personal information. We work with donors, including many who support CAAI. We are sometimes privy to information about their personal lives and lifestyle. It is crucial that we have a strict rule about not talking about them to colleagues, friends or third parties, even when there may seem no obvious harm in doing so.
(2) The names of donors who have asked to remain anonymous. (3) Details of grant applications – especially financial information. (4) Details of grant decisions. If a grant application is rejected, the reasons are clearly noted in the
minutes and conveyed to the applicant. Any requests to discuss an unsuccessful grant application should be referred to the grant’s manager responsible, in line with the written appeals procedure. Other members of the grants team or committee members should not discuss individual cases with the applicant.
(5) Information about staff, including home addresses and remuneration levels. Confidential documents Some of CAAI’s documents contain confidential and sensitive information. These documents include donor statements, grant applications, financial statements, committee reports and personal correspondence. Trustees, the grants team and committee members are expected to take greatest care to keep these papers confidential and to make sure that they are destroyed in an appropriate way. Data protection CAAI is exempt from registering under the Data Protection Act, on the basis that information held is used in pursuance of the community foundation’s objectives. In recording information about individuals or organizations in our database, the grants team should bear in mind that the data subject may ask to see information held about them and use appropriate wording. Data should be:
• fairly and lawfully processed • processed for limited purposes • adequate, relevant and not excessive • accurate and up to date • not kept longer than necessary • secure • processed in accordance with individuals’ rights • not transferred to countries outside the EU.
As a general rule, personal information, for example about donors or prospective donors, should not be printed from the database, as paper copies are more likely to go astray. Press When writing press releases, we may include contact information for groups that are mentioned and sometimes contact details of our grantees, for the press to contact for further details. Before including contact details, groups and individuals should be asked whether they agree for their contact details to be released to the press. Otherwise, all inquiries should be made through the CAAI Communication Specialist who will liaise between the group or individual and the press
Appendix E
Catalyzing Afghan Agricultural Innovation (CAAI) Fixed Amount Awards Guidelines
I. Fixed Amount Award Agreements Monitoring Responsibilities
The initiation, establishment, and monitoring of fixed amount awards requires special attention. The CAAI Home Office (HO) at Virginia Tech is responsible for overall management of these contractual relations. However, to create a smooth process, coordination between four partners (or groups of partners) is required: The Chief of Party (COP)/Deputy Chief of Party (DCOP); The Subaward institution (including their principal researchers/collaborators, Office of Sponsored
Research, contract specialist, and accountants); The Home office at Virginia Tech; and Virginia Tech’s Office of Sponsored Programs
The COP/DCOP are crucial to the efficient establishment, implementation and monitoring of subawards. As the person in closest regular contact with all partners, the COP/DCOP is an active partner in establishing good working relationships between the Home Office and all subrecipients. Clarity in all communications is essential so that all partners attain the same level of understanding and are provided the most current and correct information. The COP is the approver and has responsibility for all program expenditures and holds the final approval rights for all technical components of the subaward. II. Initiating Fixed Amount Award Agreements
Once a research proposal has been accepted the following information must be provided for each subrecipient in order to establish a subcontract:
1. The Foreign Entity Data Sheet/Sub recipient Data Sheet (completed and signed) 2. Certification and Assurances (signed) 3. Points of Contact information (name, title, mailing address, physical address, email, telephone and
fax numbers) for each of the following persons at the institution: a. Primary researcher b. Signatory authority (authority who is legally authorized to sign and obligate the institution) c. Financial Contact d. Sponsored Programs or Grants representative responsible for managing the account
4. The agreed upon Statements of Work/Scopes of Work according to fiscal period clearly specifying research tasks and expected deliverables.
5. The budget, organized according by line item and fiscal period 6. The budget narrative by fiscal period, describing the types of purchases, services, personnel, or
travel, and justifying how budget amounts were derived 7. The milestones and payment schedule 8. The cost share budget (if applicable), organized according to fiscal period 9. System for Award Management (SAM) and Data Universal Numbering System (DUNS) registration
if the award is equal to or greater than $25,000. 10. The latest Negotiated Indirect Cost Rate Agreement and fringe rate agreement (NICRA), or similar
document (or the web address where it can be found), where applicable. All US universities should
have one and many other international institutions do as well. This document would provide the basis and authority for an institution to charge indirect and/or fringe benefits
11. Form W-8BEN-E - Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities)
12. Bank Account and Wire Transfer Information 13. Fixed Amount Award Agreement between Virginia Tech and sub recipient – please see Appendix 4
for a sample
III. Statement of work, Budget and Budget narrative
Statement of work The prime and the subrecipient negotiate the Statement of Work (“SOW”) for the subaward and it is included as part of the proposal submitted to the prime agency. The Statement of Work should be a concise narrative abstract of the work to be undertaken by the subrecipient. It is imperative that SOWs are clear. The majority of disputes involving a subrecipient are the direct result of an unclear SOW. In the case of a fixed price subaward, the Statement of Work should also contain performance standards and deliverable/milestone schedules. Again, it’s very important that the schedule is clear: they must list how much will be paid when for what. If you list deliverables in the SOW, those same deliverables should be included in your schedule. Guidelines for the development of Statements of Work and deliverable schedules are attached as Appendix 1. Budget The recipient must provide a budget, budget narrative, adequate cost, and historical or unit pricing data to establish a reasonable cost and the assurance that the recipient will realize no increment above actual cost. Even though it is fixed amount award, a separate detailed budget should be attached within the proposal, providing a detailed breakdown of budget categories, such as salaries, wages, fringe benefits, materials, supplies, equipment, travel and other direct costs that are required in order to accomplish the specific aspects of the research that the subrecipient has been requested to perform. CAAI will review the subrecipient budget for overall reasonableness in light of the proposed activity. Guidelines for the development of budget is attached as Appendix 2 and budget template in separate excel file. Budget Narrative A detailed budget narrative using the discussed budget categories (personnel, fringe benefits, travel and transportation & per diem, equipment, material and supplies, contractual services, sub-wards, other direct costs, and administrative) must be included. The narrative justifies each cost as appropriate and necessary for the successful completion of the program. The narrative must provide a clear explanation of the basis such as market surveys, price quotations, current salaries and reasonableness of each cost. The format for this narrative is in a separate Word document. Sample of budget narrative is presented as Appendix 2. IV. Setting milestones and structuring payments
The award amount is set and is allocated among the milestones, the milestone payments become the fixed amount for each milestone. Therefore, what the recipient actually spends to complete the milestone is irrelevant. As such, it is critical that the award total is thoroughly reviewed and determined reasonable before allocating the specific amounts to the milestones. Milestones must be objectively verifiable regarding completion and quantity and within the recipient’s span of management control to successfully complete as designed. Generally, milestones should be set
quarterly or more frequently. More frequent milestones allow for better management of performance throughout the project period and allows for more control over the flow of funds. The milestones will generally have four parts: (1) a description of the research conducted, product, task, deliverable, or goal to be accomplished; (2) a description of how the recipient will document the completion of the product, task, deliverable, or goal; the award document should contain additional detail on what is expected for each milestone, as well as the contents of the documentation. (3) dates indicating when the milestone is expected or required to be completed; and (4) the amount that VT will pay the recipient for the deliverable. Milestones Required
Deliverable Completion Date Amount
Execution of Agreement
Reports or any documentation
Date $
Milestone 1 Reports or any documentation
Date $
Milestone 2 Reports or any documentation
Date $
Milestone 3 Reports or any documentation
Date $
Final Report Reports or any documentation
Date $
Total $ V. Invoice and payment processing
All requests for payment must correspond to a milestone specified in the fixed amount award. When approving invoice payments to subrecipients on fixed price subawards, it is essential that the COP confirms that the subrecipient has completed satisfactorily all work required for a particular payment, and all deliverables and reports were submitted by the subrecipient and accepted by Virginia Tech. Invoices should not be approved if subrecipient work was not performed, was performed unsatisfactorily or substandard, or was not accepted. CAAI requires that the attached invoice template be used. Further descriptions of some of standard data elements are listed below:
• Project Name: Name of project/activity • Subgrantee Name: Name of institution submitting invoice • Subgrantee Address: Address of institution submitting invoice • Invoice Date: Date invoice was prepared • Invoice Number: Number of invoice. Invoices can use any numbering system, but should proceed
consecutively from one to the next. • Invoice Period: The From Date, on the first invoice, should reflect the subaward beginning date;
on consecutive invoices it should always be the next day subsequent to the last date of the invoice period on the preceding invoice. For example, let’s say that invoice #1 begins October 1, 2015 and runs through November 15, 2015. Invoice #2 would begin November 16, 2015. There should be no gaps between invoice periods and no overlaps from one invoice to the next.
• Description: describe of work performed and/or deliverables completed and/or milestone achieved during the invoice period of performance
• Previous Amount Invoiced: the previous invoiced amount
• Current Amount requested: the current invoiced amount • Cumulative Amount Invoiced should reflect the sum of the current invoiced amount PLUS the
cumulative amount invoiced from the previous invoice. On the first invoice both columns will be equal. From invoice 2 forward, the cumulative amount from the prior invoice is added to the current invoice.
• Submitted By should contain the name of the person who prepared the invoice and the date. • The Authorizing Signature should reflect the signature of the person authorized to sign invoices on
behalf of the institution and the date. The person’s title should be entered underneath the signature.
Sample of the invoice is presented as Appendix 3 and template is attached in separate excel file.
Appendix 1 - How to Write a Statement of Work When including a subrecipient on a proposal, it is important that the subrecipient statement of work (“SOW”) is clear, concise, and complete. VT will normally use the subrecipient SOW, as written, in drafting the sub-agreement. The SOW must accurately clearly describe the work to be performed and be void of inconsistencies or ambiguities. If the subrecipient SOW does not reflect these requirements, the preparation and execution of the sub-agreement will be delayed. The subrecipient SOW shall be separate and distinct from the VT statement of work. Do not include any proprietary information in the SOW. Below is the recommended format for the subrecipient SOW. 1. Background and Need – Describes the requirements in general, non‐technical terms. This section should explain why the subrecipient was selected to work on the project. 2. Project Objective – A succinct statement of the purpose of the sub agreement. It should outline results that VT expects and/or identify the benefits to the program that is contemplated. 3. Scope of Work – An overall, non‐technical description of the work to be performed. It expands on the projected objectives but does not attempt to detail all of the work required. It must be consistent with the detailed Technical Requirements. 4. Technical Requirements – Spells out precisely what is expected of the subrecipient in the performance of the work.
• Describes the specific tasks and phases of the work • Deliverables to be generated from the described tasks must be clearly defined • Specifies the total effort each task or phase is to receive • Considerations that may guide the subrecipient in its analysis, design, or experimentation on the
designated problems • Identifies the requirements and indicates the scope of each
5. Reporting Schedule – Describes any reporting requirements including content, format and due date/frequency. 6. Special Considerations – Information that does not fit neatly or logically into one of the other sections. For example, if the subrecipient will be employing the use of any lower‐tier subrecipients, that relationship should be described here. Also include any equipment or data VT will be providing to the subrecipient so that they may complete their work. 7. Deliverables – Defines and describes, in table form, the deliverables, the quantity required, and the schedule/due date. Include payment amount if sub‐agreement is fixed price and payments are to be linked with acceptance of a deliverable. The table should be attached to the SOW. See samples below. NOTE: Deliverables included in Deliverables table must correspond to the tasks outlined under “Technical Requirements”.
Sample Deliverables Schedule
Milestone # Due Date Deliverables* Amount (AFN)/USD
1 March 10, 2020 1. Technical report detailing progress on data collection, management issues and data output. 2. Cleaned data on monthly reporting 3. Report on costing
25% - 22,443
2 July 15, 2020 1. Cleaned data based on records of pregnancies, births and deaths 2. Updated technical report including supervision visits and issues discussed 3. Updated report on costing
20% - 17,956
3 Aug 15, 2020 1. Cleaned data based on records of pregnancies, births and deaths 2. Updated technical report including supervision visits and issues discussed 3. Updated report on costing 4. financial report
15% - 13,466
4 Sept 15, 2020 1. Cleaned data based on records of pregnancies, births and deaths 2. Updated technical report including report of review meeting to be held in August 3. Updated report on costing
10% - 8,977
6 Nov 15, 2020 1. Cleaned data based on records of pregnancies, births and deaths 2. Updated technical report including supervision visits and issues discussed 3. Updated report on costing
10% - 8,978
7 Dec 15, 2020 1. Cleaned data based on records of pregnancies, births and deaths 2. Updated technical report including supervision visits and issues discussed 3. Updated report on RMM costing 4. financial report
10% - 8,978
Appendix 2 - Budget and budget narrative instruction
I. Budget
A detailed budget must be submitted in US dollars for major subrecipients for the duration of the project by years. It must be in Excel format with unlocked formulas. Please kindly see the attached file for a sample of budget. You only need to complete or modify the yellow, white or brown cells. The green and blue cells contain formulas, which should not be overwritten or tampered with. The section totals and line item totals are also driven by formulas and shouldn’t be altered. The escalation factor (column C on the spreadsheet, or the second printed column entitled Esc Factor) is incorporated in the formulas for the dollar amounts for each year. The rate budgeted must be reasonable and not exceed established institutional policy. The budget must contain the following categories (in this order): Salary and Wages: Direct salaries and wages should be proposed in accordance with the subrecipient’s personnel policies and meet the regulatory requirements. Costs of long-term and short-term personnel should be broken down by person years, months, days or hours. Fringe Benefits: Allowances and services provided by the subrecipient to its employees as compensation in addition to regular wages and salaries are allowable. A detailed cost breakdown by benefit types should be provided. Travel, Transportation, and Per Diem: Cost principles in the FAR and Code of Federal Regulations provide for costs for transportation, lodging, meals and incidental expenses. Costs should be broken down by the number of trips, domestic and international, cost per trip, per diem and other related travel costs. Consultants: Services rendered by persons who are members of a particular profession or possess a special skill and who are not officers or employees of the subrecipient are allowable costs. Costs of consultants should be broken down by person years, months, days or hours. Equipment and Supplies: Costs should be broken down by types and units. Scholarships: The details of any scholarships should be shown here. Other Direct Costs: Various types of direct costs and many cost elements are allowable. Costs should be broken down by types and units. Allowances: Allowances should be broken down by specific type and by person and should be in accordance with subrecipient’s policies and/or the Department of State Standard Regulations (DSSR). Indirect Costs: Subrecipients must provide a copy of the negotiated indirect cost rate agreement (NICRA) with USAID to support calculations of the proposed indirect costs. However, if the subrecipient has never received a negotiated indirect cost rate, the successful subrecipient may choose to charge a de minimus rate of 10% of modified total direct costs (see 2 CFR 200.414(f)). If the prospective subrecipient chooses the de minimus rate, the Agreement Officer may incorporate the 10% indirect cost rate in the award budget and the Recipient must follow the requirements in 2 CFR 200.414(f). II. Budget narrative
A detailed budget narrative using the categories as above must be included. The narrative justifies each cost as appropriate and necessary for the successful completion of the program. The narrative must provide a clear explanation of the basis such as market surveys, price quotations, current salaries and reasonableness of each cost. The format for this narrative is in a separate Word document. Sample of budget narrative is presented as below. INTRODUCTION
Period of Performance: Provide the expected start and end date for the program.
Inflation: Define the inflation rate from year to year.
Indirect Cost Rates: Provide justification for indirect rate cost will be used. DETAILED BUDGET NARRATIVE 1. Personnel:
List all planned personnel, their positions, their planned level of effort, their duties and their rates of pay.
2. Travel:
Give details of all planned travel including type of trip (domestic or international), numbers of trips, cost per trip (airfare, ground transportation), per diem (lodging, meal and incidental expenses) and other related travel costs (insurance, immunization and visa). Per diem rates will be followed by subrecipient’s travel policy.
Example: Virginia Tech is applying a 3 percent escalation factor each year based on institutional budget policy.
Example: The salaries of Virginia Tech personnel are calculated per established Virginia Tech budget policy. The duties of each person are detailed in the program work plan. Cost Title: John Baker; 8% level of effort x $49,191/yr. $3,935 Title: Erin Park; 5% level of effort x $61,325/yr. $3,066 Title: Debbie Smith; 5% level of effort x $46,366/yr. $2,318
Example travel detail: All travel must be approved in advance. Nine trips are budgeted per year with airfares at the average rate of $1,900; however, airfare to some locations may exceed this rate. Representative destinations for Africa trips may include Nigeria, Kenya, Senegal, and Uganda. Representative destinations for Asia trips may include Indonesia, India, Bangladesh, and the Philippines. Per Diem is estimated at $80 per day based on an average of rates from the State Department for the anticipated destinations (Jakarta, Dhaka, Manila, Chennai, New Delhi, Kampala, Entebbe, Nairobi, Dakar, and Lagos). Per Diem is budgeted for 10 days per trip. Only actual per diem for locations visited will be charged to the project. Lodging is paid only with receipt up to the maximum rate approved for the trip. The approved rate must be under the maximum rate approved by the US State Department. Local travel is estimated at $1,800 per year and includes $30 for fuel cost for 20-day trips per year and $30 for fuel cost, $50 for lodging and $20 for meal costs for 12 overnight trips per year.
Example: For the purpose of obtaining uniform quotations from vendors we are assuming a program start-up date of July 1, 2018 and an end date of June 30,
Example: The budgeted indirect cost rate is the current Virginia Tech off-campus rate of 26 percent of Modified Total Direct Costs (MTDC).
3. Consultants: This category is for consultants and/or services contracted by the subrecipient on this project. This includes services provided to the project (such as audit, legal, etc) and any short or long-term consultant cost such.
4. Equipment and supplies:
List all equipment by category in the budget along with the unit cost and the number of units. Describe how the cost was determined.
List all supplies by category in the budget along with the unit cost and the number of units. Describe how the cost was determined.
5. Scholarships: List all scholarships will be given. Scholarships must be detailed by number of scholarships, the amount for each and how it will be distributed.
6. Other direct costs: The narrative must list all other direct costs by category and provide a clear explanation of the basis such as market surveys, price quotations, etc and reasonableness of each other direct cost.
Note: In accordance with 22 CFR 226, ‘equipment’ is defined as “tangible, non-expendable, personal property, including exempt property charged directly to the award having a useful life of more than one year and an acquisition cost of $5,000 or more per unit”. You may adopt a narrower definition and dollar threshold than this, depending on your institution’s policies, but you cannot use a broader definition. All equipment purchased must contain at least 50% US components to comply with federal guidelines. Information should be included in the budget narrative on how pricing was determined for each piece of equipment. There are statutory constraints relating to the purchase of agricultural commodities, motor vehicles, pharmaceuticals, pesticides, rubber compounding chemicals and plasticizers, used equipment and fertilizer with USAID project funds. Applicants may obtain specific information on these regulations on the USAID Web Site at http://www.usaid.gov/pubs/ads. Example: One weather station is budgeted at $10,000 based on three quotes from vendors. This will provide data for all of the research projects.
Note: In accordance with 22 CFR 226, ‘supplies’ are defined as “all personal property excluding equipment, intangible property, debt instruments and interventions”. Example: A digital camera and megaphone are budgeted based on local price quotes. These will be used for site visits.
Example: A consultant is budgeted for 10 days for evaluation services. The daily rate of CFA 42750 or approximately $90 is consistent with his salary history for similar tasks as certified on his USAID form 1420.
Training All costs associated with training of project personnel must be detailed with a line item budget on a separate worksheet. Applicants planning to use USAID funds to send project staff or local counterparts for training in the U.S. or a country other than Malawi, will be required to follow the guidance on USAID Participant Training Regulations, which may be found on the USAID website http://www.usaid.gov/policy/ads/200/253.pdf. Other Provide information on any costs attributed to the project that is not detailed in any other category above - for example, repair, maintenance etc. and how the cost was determined.
7. Allowances: This represents any other allowance for persons who will work for the project. List all allowance will be provided by category along with who will receive the allowance and how it will be calculated.
8. Indirect costs: Define the administrative cost and how it was derived, i.e. institutional policy, etc. Describe how the rate was applied to the costs detailed in the budget.
Example: The indirect cost rate is based on the Virginia Tech off-campus rate of 26 percent of modified total direct cost (MTDC) as negotiated with the Office of Naval Research (ONR) and will not change for the life of the project per Virginia Tech budget policy. Virginia Tech does not charge indirect cost to equipment, tuition, or rental of off-site facilities. Indirect cost is only charged to the first $25,000 of subgrants. This information is included in our published Negotiated Indirect Cost Rate Agreement (NICRA).
Example: In addition to the standard VT fringe benefits, it is standard practice for CIRED to offer the COP danger pay allowance up to the US Department of State Allowance schedule.
Appendix 3 – Invoice Template
Project Name:
Subgrantee Name:
Subgrantee Address:
To: CAAI Home Office Invoice Date:[email protected] Invoice Number:Center for International Research, Subgrant Number:Education and Development Invoice PeriodVirginia Tech Beginning Date:
Ending Date:
Exchange Rate (Local Currency per US Dollar)
Description
Current Amount,
US Dollars
Description of milestone achieved
Total in US $
Submitted By:Date (day/month/year)
Accountant Signature Date P.I. Signature
Authorizing Signature Date
Date
PreviousAmount,
US Dollars
Catalyzing Afghan Agricultural Innovation (CAAI)
Cumulative Amount InvoicedTo Date (in US Dollars)
By signing this report, I certify to the best of my knowledge and belief that the report is true, complete and accurate, and the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the terms and conditions of the Federal award. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729-3730 and 3801-3812).
Appendix 4 - Fixed Amount Award Agreement Template
[DATE] [Awardee Name and Address]
Subject: Fixed Amount Award No. [Award Number], under US Agency for International Development (AID-685-LA-17-00002), Feed the Future Senegal Youth in Agriculture
Dear [Awardee Contact]:
Pursuant to the authority contained in United States Agency for International Development (hereinafter referred to VIRGINIA TECH) award AID‐685‐LA‐17‐00002, Virginia Polytechnic Institute and State University (hereinafter referred to as “Virginia Tech”), as prime awardee hereby awards to the [Name of Awardee] (hereinafter referred to as “Recipient”), the fixed sum of U.S. Dollars $[Award Amount] payable in U.S. Dollars according to the Milestone Budget shown in the Schedule, Attachment 1, to support the subject deliverables, as more fully described in the Program Description, Attachment 2.
By signing this Grant Agreement, Recipient agrees that:
1. The recipient will comply with the terms and conditions as set forth in the attachments listed following the signature below, which are incorporated as part of the Grant Agreement. 2. Recipient will maintain records of transactions related to the Grant Agreement for at least three years after payment of the final milestone. After the end of the agreement, VIRGINIA TECH retains the right, at its discretion, to examine all or a sample of the recipient’s records or transactions related to the Grant Agreement where concerns of implementation irregularities arise. 3. VIRGINIA TECH is not liable for reimbursing the recipient for any amount in excess of the obligated amount, or outside of the grant period, as provided in the Schedule. 4. Unless otherwise provided in the Schedule, title to any equipment or personal property purchased to accomplish any milestones under this Agreement vests in the recipient upon acquisition, with the condition that the recipient must use the equipment or property for the grant as long as it is needed for such. 5. Recipient will obtain written approval from VIRGINIA TECH prior to any changes to: 1) the activities being supported by this Grant; 2) the fixed amount of this grant; 3) the milestones; or 4) change in the Grant Agreement completion date.
6. VIRGINIA TECH will conduct monitoring of the grant program which may include site visits as appropriate. 7. On submission of the invoice for payment for the final milestone, the Recipient must certify that the grant is completed, and the Recipient will make no further claim against Virginia Tech after final payment. 8. If a recipient has failed to materially comply with the terms and conditions of award, CAAI may take one or more enforcement actions which include disallowing costs, withholding of further awards, or wholly or partly suspending the grant, pending corrective action. CAAI will suspend (rather than immediately terminate) a grant and allow the recipient an opportunity to take appropriate corrective action before CAAI makes a termination decision. However, CAAI may decide to terminate the grant if the recipient does not take appropriate corrective action during the period of suspension. This award may be terminated by either party at any time, in whole or in part, 30 calendar days after receipt of written notification by the other party. If VIRGINIA TECH terminates this award, the Recipient may submit a claim within 90 calendar days of such termination for any costs incurred in performance of any unpaid or incomplete milestones. Virginia Tech must determine the amount(s) to be paid to the recipient under such claim in accordance with the legally applicable Cost Principles. 9. Any dispute under this award will be decided by Virginia Tech. Recipients have no relationship with USAID under the terms of this award. All required USAID approvals must be directed through Virginia Tech to USAID. 10. Export and Sanctions Compliance. It is understood that both parties are subject to U.S. export control laws and regulations including but not limited to the International Traffic in Arms Regulations (“ITAR”, 22 CFR 120-130) and the Export Administration Regulations (“EAR”, 15 CFR 300-799). Export-controlled “Items” are hereby defined as defense articles, technical data, or defense services subject to the ITAR or any technology or source code controlled under the EAR. The transfer or release of export-controlled Items may require a license from the cognizant agency of the U.S. government. The parties agree to cooperate in securing any license, which the cognizant agency deems necessary in connection with this Agreement. It is understood that both parties are subject to U.S. sanctions executive orders, laws and regulations controlling transactions of goods and services with sanctioned or embargoed countries, entities, and individuals (“denied parties/persons”), which includes but are not limited to persons or entities designated as U.S. Treasury Department Specially Designated Nationals List, Department of Commerce Entity List, Denied Persons List, Unverified List, and U.S. Department of State Debarred List. Each party will take reasonable steps to ensure that no goods or services are exported or imported to denied parties/persons without proper authorization from the cognizant agency. 11. Standard Provisions for Fixed Amount Awards to Nongovernmental Organizations are binding on the recipient and incorporated into this agreement by this link:
https://cired.vt.edu/programs/feed-the-future-senegal-youth-in-agriculture/resources.html
Please sign and return this letter to acknowledge receipt and confirm acceptance of the Grant Agreement and return to Paige Selvey [email protected].
Sincerely, Trudy Riley, Associate Vice President for Research and Innovation, Sponsored Programs Acknowledged by Recipient’s Duly Authorized Representative Name: Title: Date: Attachments:
1. Schedule 2. Program Description 3. Branding Strategy and Marking Plan
ATTACHMENT 1
SCHEDULE
A. PURPOSE OF GRANT
The purpose of this grant is to provide support for the program described in Attachment 2, Program Description.
B. GRANT PERIOD
The effective date of this grant is [Start Date]. The completion date of the grant is [End Date] or [“upon submission of the final milestone” (see example below in Milestone chart.)].
C. AMOUNT OF AWARD AND PAYMENT
1. VIRGINIA TECH hereby awards the amount of US$[Award Amount] for purposes of this
grant. See complete detailed Budget attached within the Program Description. 2. Payment will be made in U.S. dollars after submission of an invoice to Virginia Tech with a
certification that the Milestone being billed has been completed and providing any other documentation required by VIRGINIA TECH specified with each milestone. Each invoice will be identified by the award number, specify the Milestone that is being billed, and the fixed amount associated with that Milestone. Payment shall be within 30 days after receipt of a proper invoice or the verification by VIRGINIA TECH of milestone completion for which payment is requested, whichever is later. VIRGINIA TECH reserves the right to withhold payment subject to milestone completion verification.
3.The Recipient is encouraged to submit the above referenced payment documentation as e-
mail attachments as directed by Virginia Tech Program Staff. D. GRANT AGREEMENT BUDGET
1. Following is the Schedule of Milestones associated with the program which has been
agreed upon between VIRGINIA TECH and the Recipient for funding under this Grant Agreement.
2. The accomplishment of each Milestone will be based on the successful submittal or completion of the tasks or deliverables delineated for that Milestone.
ATTACHMENT 2
Milestone Description of Milestone
Required Deliverable Completion Date (if
applicable)
Amount
1 [Example: Acceptance of a detailed work plan and monitoring and evaluation plan]
[Example: PMU approved work plan and M&E plan,
$
2 Design Training
Training Documents
$ 3 Prepared Training
Training attendance
$
4 $ 5 [Example:
Acceptance of Final Report]
[Example: PMU approved Final Report, as described
$
TOTAL $
[milestones are in sequential order unless the schedule provides otherwise.] SAMPLE PROGRAM DESCRIPTION FOR: PREFEASIBILITY STUDIES OF AGRICULTURAL INVESTMENT PROJECTS IN COUNTRY A
1. STATEMENT OF PURPOSE
[Insert]
2. BACKGROUND
[Insert]
3. PROGRAM GOALS AND OBJECTIVES
[Insert]
4. ACTIVITIES AND TIMELINES
Milestone/Description Estimated Time to Complete Detailed Activity and Output 1 2 3 4 5
ATTACHMENT 2
5. KEY PERSONNEL (if applicable)
1. 2. 3.
6. EXPECTED OUTCOMES
[Insert]
7. PROJECT OVERSIGHT
[Insert]
8. CLOSEOUT
[Insert]
Branding Strategy and Marking Plan [if applicable] Branding Strategy Insert Agreement Approved Branding Strategy and Marking Pl
ATTACHMENT 2
Reference
1. Catalyzing Afghan Agricultural Innovation (CAAI)Subaward Guidelines
2. Virginia Tech’s Fixed Amount Award Grant Agreement
3. USAID 303saj-122414. Fixed Amount Awards to Non-Governmental Organizations – An Additional Help Document for ADS Chapter 303.
4. Subawards Policies and Procedures Johns Hopkins University Research Administration
http://web.jhu.edu/administration/provost/programs_services/research/JHURA%20Sub%20Policy%20and%20Procedures%20Manual.pdf
