Hamro Samman Project Request for Applications (RFA) No ... · Request for Applications (RFA) No. 6817-RFQ-19-1 Providing Skills Training and Job Placement to Human Trafficking Survivors

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Hamro Samman Project Request for Applications (RFA) No. 6817-RFQ-19-1

Providing Skills Training and Job Placement to Human Trafficking Survivors and Those At Risk Under USAID Cooperative Agreement No. AID-367-A-17-00001

1 Introduction

Trafficking in persons (TIP) is a complex problem that requires multi-stakeholder, multi-disciplinary solutions. Nepal is a source, transit and destination country for labor, sex and organ trafficking. Some studies have estimated that a quarter of a million Nepalis are in forced labor or other forms of trafficking at any given time, with millions more vulnerable due to poverty, lack of employment and other livelihood opportunities and lack of information about trafficking and services for victims and survivors.

Hamro Samman Project is a five-year Counter Trafficking in Persons (CTIP) project generously supported by the American people through the United States Agency for International Development (USAID) and implemented by Winrock International. Its goal is to reduce the prevalence of trafficking in persons in 10 strategically selected districts of Nepal. Using the ‘4Ps’ framework- Prevention, Protection, Prosecution and Partnership, Hamro Samman Project will bring together various stakeholders and implementing partners to reduce the prevalence of trafficking in persons through three objectives:

• Objective 1: Strengthening national and local Government of Nepal (GON) efforts to combat TIP;

• Objective 2: Improving civil society organization (CSO) advocacy and engagement to address TIP; and

• Objective 3: Increasing private sector partnerships (PSPs) to service TIP survivors and at-risk populations.

Hamro Samman Project continues Winrock International’s and USAID’s long history of diverse programming in Nepal and builds upon other programs to support and leverage Government of Nepal, civil society, and private sector efforts to counter trafficking in persons in Nepal.

Using evidence-based and market-driven approaches, Hamro Samman Project will convene and facilitate engagement between the Government, civil society, and the private sector to improve coordination, capitalize on existing progress, and forge systems for mutual accountability in TIP data/knowledge management, policy, prevention, protection, and prosecution.

Under prevention efforts to counter prevalence of TIP, one of our program priorities is to reduce vulnerability to TIP by expanding livelihood options to TIP survivors and at-risk populations, by providing them with skill-building and employment opportunities.


2 Grant Overview

Hamro Samman Project aims to establish partnership with one company/ organization or a group of companies/organizations which can provide market-aligned skills training and job placements to male and female trafficking survivors as well as people at risk of being trafficked.

Winrock will evaluate complete proposals to determine which proposal represents the best value to Winrock. This is an unsealed solicitation request. Winrock reserves the right to negotiate with the bidders with or without discussion.

This award is aimed at providing skills training and job placement support to trafficking survivors in order to contribute to the following objective:

• Objective 3: Increasing private sector partnerships (PSPs) to service TIP survivors and at-risk populations.

A Fixed Amount Award type of grant agreement will be awarded to 1 or more (maximum of 5) companies/organizations who are able to contribute to the objective above. The total grant pool (specified in section 6 below) will be divided among the selected applicants.

3 Project Indicators

This award is intended to contribute to the following project indicators:

• 3.1.2 Number of victims of TIP receiving services provided with USG support • 3.4.2 Number of people trained in entrepreneurial skills through USG supported programs • 3.4.3 Percentage of female participants in USG-assisted programs designed to increase access to

productive economic resources (assets, credit, income or employment)

4 Description of the Grant

Hamro Samman Project will award a grant to a company/organization or group of companies/organizations to provide market-aligned skills training and job placements to our target group. The target group are male and female trafficking survivors as well as people at risk of being trafficked. In addition to vocational skills training, the applicant can also consider extending entrepreneurship training to the target group if they can facilitate set-up of small and micro businesses (including seed money).

The proposal from the applicant must address the mandatory activities below. Additional activities may be included as well by the applicant to ensure the success and sustainability of the intervention and to address the special needs of the target group. Applicants are encouraged to exercise creativity and resourcefulness while proposing activity ideas and plans, including identifying other potential private sector and CSO partners for training and job placement, entrepreneurial training and seed capital — based on but not limited to the information


presented below. Proposals that are deemed to have merit may be invited for a collaborative co-creation process to refine the activity plan prior to finalization of the grant.

Mandatory Activities A. Deliver a life-skills workshop to trafficking survivors/people at risk of being trafficked each

month in each of Hamro Samman Project’s 10 target districts. The workshop will be held at Hamro Samman Project’s partner CSO’s or shelters. The life-skills workshop will focus on topics such as how to look for a job, preparing a CV, identifying existing skills, learning soft skills for employment (timeliness, reliability, work ethic, etc.). The workshops will also preliminarily screen whether the survivors at the shelter are close to work-ready and suitable vocational/entrepreneurship trainee candidates.

B. Select and train 1,200 people (minimum 60% women) through short-term vocational skills

training or entrepreneurial training. Hamro Samman anticipates that, to reach this target, the applicant would need to train approximately 200 individuals by the end of September 2019, and after that approximately 400 annually. The training will be provided to trafficking survivors or people at risk of being trafficked and will take place in Hamro Samman’s 10 target districts. The training should be market demand driven—and also respond to the trainee’s preference—and can include a combination of employer-led training (on-the-job, apprenticeship, mentoring etc.) and trainer-led training (classroom and practical off-site training etc.). Where possible, the applicant should also enable national or international certification for the skills acquired by the target group.

C. Provide regular psychosocial and life skills support to trainees throughout their training to ensure their readiness for the labor market.

D. Onboard progressive employers in the target sectors and districts through letters of agreement/memorandum of understanding. Facilitate job placement for the target group, and establish system for follow-up and monitoring of job satisfaction and performance of the target group for at least three months to ensure retention and success at the job.

E. Sensitize target employers on work environment factors that enable job productivity and retention of target groups. Some of the recognized good practices to create a safe and empowering experience for target group includes: Inclusive recruitment practices; anonymous hotline to register complaints/incidences of harassment; adherence to the minimum standards set out in the Labor Act, 2074 and periodic coaching and follow-ups to check-in on the level of satisfaction and well-being.

F. Facilitate job placements and/or access to seed capital for trainees in partnership with other private sector actors as well as ongoing follow-up support e.g. skills coaching, mentoring, counselling, and monitoring of performance for a minimum of 6 months following completion


of the training to increase successful employment prospects. The applicant will be responsible for helping graduates find work. Payments to the applicant will be made in installments with half being withheld until 80% of graduates have successfully found decent jobs and raised their income.

G. Leverage ICT or other innovative market-driven tools and partnerships to sustainably link target group to sources of training and jobs.

Target Group

The target group/beneficiaries for the activities under this grant will include human trafficking and labor exploitation survivors and people at-risk of being trafficked. This may include:

• Trafficking or labor exploitation survivor; or a combination of the following: • Aspiring foreign labor migration worker, study abroad student, marriage abroad

applicant or family of any of these • Returnee migrant worker without immediate job prospects or without defined skill

set • Unskilled, semi-skilled or works in adult entertainment or informal sector • Education level below grade 10 • Belongs to marginalized / excluded groups including LGBTI community. • Orphan, female headed or single parent household • Annual income from family household is below the poverty line

Target Industries

Hamro Samman Project has identified target industries/sectors that show employment growth potential in Nepal, as mentioned below. The applicants are encouraged to focus on these sectors. They are welcome to propose activities in other promising areas too, but are expected to clearly specify rationale for doing so. The target industries/sectors and job roles for skill-building training may include but are not limited to:

Sector Job Roles Hospitality Housekeeping, cooking, reception, waiter, and barista Construction Welding, plumbing, electrical wiring, and masonry Manufacturing Assembly line work, packaging, machinery operation,

labelling, jewelry making, craftsmanship, carpentry Retail Sales and servicing Service Tailoring, electronic repair, driving, trekking and tour

guides Agro-processing Assembly line work, packaging, labelling


Health Elderly care jobs, psych-social support Entrepreneurship Fundamentals of entrepreneurship, including financial

literacy and incubation services ICT ICT-enabled jobs e.g. in logistics and transportation

5 Geographical Focus

The training and placement opportunities must be provided in Hamro Samman Project’s 10 target districts, namely:

Province 3 – Makwanpur, Sindhupalchowk, Nuwakot and Kathmandu Province 5 – Rupandehi, Kapilvastu, Banke, Bardiya Province 7 – Kailali, Kanchanpur

Applicants are encouraged to propose activities in more than one district. Hamro Samman Project’s intention is to make quality training and placement opportunities available in all 10 of Hamro Samman’s target districts. Applications covering many or all of the target districts are preferred.

6 Grant Duration and Size

The anticipated start date of this grant is July 1, 2019. The duration of the grant is up to 33 months, dependent upon performance, results and the availability of funds. The grant will be awarded in NPR in tranches and the total value of the grant pool will not exceed NPR 31 million. Preference will be given to quality applications that plans activities covering all or most project districts and with strong private sector linkages to enable successful job placements or business set-up services (e.g. access to seed capital via financial institutions). Hamro Samman Project reserves the right to award no grants based on the quality of applications and availability of funding.

7 Application Evaluation

Hamro Samman Project follows an internationally accepted open and transparent grant competition process. This includes public announcement of the Expression of Interest (EOI) along with pre-determined eligibility and selection criteria, short-listing of eligible proposals, final scoring of the best and final proposals by a Grants Selection Committee and donor approval. The announcement will be made in a public website (for instance, a popular online jobs portal) and social media (e.g. USAID/Nepal’s Facebook page); circulated through Association of International Organization (AIN) Network; and through targeted outreach to an existing database of potential applicants with a submission window period of approximately 5 weeks.


Proposals will be evaluated against the following set of Eligibility Criteria and required documentations:

Step 1: Eligibility Criteria and required documentations

Eligibility Criteria Yes/No Application received on time Application contains cover letter on organization’s letter head Application form is complete Application covers at least one target district Application contains a copy of organization or company’s registration and renewal, PAN/VAT

Nepal registered organization or compan2

Further mandatory eligibility requirements are mentioned in Annex 6.

If the applicant meets all the eligibility criteria, then the Grants Selection Committee will evaluate the application according to the following selection criteria:

Step 2: Selection Criteria

Substantive Criteria Weight Merit of the technical proposal 30 How well proposed activities address the objectives of the grant 20 Proposed activities demonstrate integration of gender, equality and social inclusion considerations

10

Past performance and personnel capacity 10 Cost effectiveness of the proposed budget 30

The evaluation criteria are described more fully below:

Merit of the technical proposal

Applicants must provide a proposal which meets the needs required to achieve project success. The Committee will assess all proposals for reasonableness of the interventions and whether they are targeting the groups and sectors noted above. Hamro Samman strongly encourages applicants to seek innovative tools and partnerships with other private sector actors (e.g. financial institutions, job placement firms, employers, and association of businesses) and/or CSOs to facilitate sustainable linkages between target group and sources of training, jobs, and entrepreneurial support services. If there is any deviation in the proposals from what is outlined in the grant description, applicants must adequately explain the rationale behind it and why it would better lead to project success.

How well proposed activities address the objectives of Hamro Samman Project

Applicants must clearly demonstrate how well their proposed activities will achieve the project’s objective of increasing private sector partnerships to service TIP survivors and at-risk populations.


The Selection Committee will assess all proposals on their potential to:

• Ensure increased skills and employability of survivors of trafficking or those at risk. • Reach maximum numbers of individuals, with special attention to TIP survivors and those

most vulnerable (including female participants). • Promise better access to productive economic resources. • Promise increased incomes for the trainees from the target group. • Promote better working conditions that are conducive to long-term retention of the

employees. • Create sustainable linkage between target groups and sources of market-led training and

jobs.

Proposed activities demonstrate integration of gender, equality and social inclusion considerations

Gender, Equality and Social Inclusion (GESI) responsive programming is an integral component of the Hamro Samman Project. Winrock International acknowledges the impact of gender and social norms in shaping the fabric of any society and therefore is dedicated to using a GESI lens to ensure the impact of our programming for all genders and social groups. Applicants must satisfactorily demonstrate how every proposed activity will ensure the successful participation of all genders and people from the most vulnerable social groups in Nepal. The proposal must outline how the applicant will ensure that at least 60% of trainees will be female and how activities will ultimately lead to increased incomes for those participants. Hamro Samman also encourages special attention to people with disabilities and the LGBTI community.

Past performance and personnel capacity

Applicants must be able to demonstrate their capacity to competently perform the activities as outlined in the grant description. The applicants should include examples of past successful completion of similar activities as well as a breakdown of the relevant capabilities of their technical staff.

Cost effectiveness of the proposed budget

Applicants must provide a thorough budget proposal, including a detailed budget and budget narrative in the prescribed format. The budget narrative should briefly describe the major line items and explain how the included costs are relevant, reasonable, and cost effective. See Annex 7: Unallowable Costs for information on costs that will not be accepted by Winrock International as reasonable.

The Grants Selection Committee will rank applications based on the weight prescribed above. Incomplete applications and/or applications not submitted by the deadline will not be considered.


8 Application Preparation and Submission

8.1 Application Format

The application form for the technical proposal with detailed instructions on how to complete it, is attached as Annex 1. Applicants must strictly adhere to the provided application format. The format for the budget is attached as Annex 2. The format for the budget narrative is attached as Annex 3.

The overall length of the technical proposal should not exceed 8 pages (not including attachments, the budget or the budget narrative) and should be single spaced. The technical proposal should be accompanied by the detailed budget and supporting documentation. The technical proposal, budget and budget narrative must be completed in English.

8.2 Application Submission Guidelines

Electronic application only to be submitted. Hamro Samman will not accept hard copies. Electronic copies of the technical proposal and its associated attachments as mentioned in the eligibility criteria above, budget and budget narrative must also be sent by email to [email protected]. Questions related to the submission of this RFA must be submitted by email to [email protected] on or before April 13, 2019.

The deadline for submission of the application is May 12, 2019 5:00 PM Nepal Standard Time. Late applications will not be accepted. Winrock International reserves the right to accept or reject any or all applications without assigning any reason.

Interested applicants will be invited to a pre-bid information meeting on April 18, 2019. Organizations are requested to notify Hamro Samman Project of their interest and register for the pre-bid information meeting on or before April 13, 2019 via [email protected].

The grants will be awarded and implemented in accordance with USAID rules and regulations and Winrock International’s internal grant management policies.

The Hamro Samman Project Staff and Winrock International employees may not ask for, and applicants are prohibited from offering, any money, fee, commission, credit, gift, gratuity, thing of value, or compensation to obtain or reward improper favorable treatment regarding this solicitation. Any improper request from a Winrock or project employee should be reported to authorized Winrock International representatives, or to www.winrock.ethicspoint.com.

Following selection to receive a grant, the successful applicant will receive written notification from the Project office informing the organization of the award and the remaining awarding procedures to be completed.


9 Conflict of Interest

Hamro Samman Project will ensure that members of the Grants Selection Committee do not have conflicts of interest with the organizations whose applications are being reviewed. Winrock holds the right to determine if “blind” reviews or tiered reviews by the Grants Selection Committee are needed.

10 List of Annexes

Annex 1 Application Form

Annex 2 Detailed Budget Format

Annex 3 Detailed Budget Narrative Format

Annex 4 Mandatory Eligibility Requirements

Annex 5 Additional Instructions for Budget Section

Annex 6 Unallowable Costs

Annex 7 Required Certifications and Assurances

Disclaimer: The issuance of this RFA and any assistance provided during the application development do not constitute an award or commitment on the part of Hamro Samman Project, nor does it commit Hamro Samman Project to pay for costs incurred during the preparation and submission of the application. Hamro Samman Project reserves the right to accept or reject any or all applications received and reserves the right to ask further clarifications from the applicants.


Annex 1 – Technical Application Form Hamro Samman Project

Request for Applications (RFA) No. 6817-RFQ-19-1 Providing Skills Training and Job Placement to Human Trafficking Survivors and Those At Risk

Under USAID Cooperative Agreement No. AID-367-A-17-00001

Part 1 – General Information

1. Submission Date:

2. Title of Project:

3. Geographical Coverage:

4. Project Focal Point

a. Name:

b. Position:

c. Email:

d. Phone Number:

e. Copy of CV to be attached

5. Total Funding Requested from Winrock International:

6. Person Responsible for Proposal/Project

a. Name:

b. Position:

c. Address:

d. Phone Number:

e. Email Address:

____________________________________________

f. Signature of responsible person


Part 2 – Technical Proposal (8 pages, single spaced, maximum, excluding attachments)

This section is the narrative component of the full proposal and should describe in detail the activities proposed and how they will help achieve the objectives of the Request for Applications. Please use a separate sheet of paper and number the items to correspond to the questions.

ANSWER EACH PART OF EACH QUESTION.

1. Organizational network history and technical capabilities (approx. ½ page) Why are you the best grantee for the implementation of this program?

a) Organization’s mission relevance

b) Relevant experience (implemented project title, duration, amount, brief project description, donor organization (name, phone number, email, representative), partner organizations (if applicable) (name, phone number, email, representative).

2. Project goals, objectives and expected outcomes (approx. ½ to 1 page) Provide a description of the proposed project goals and specific measurable objectives/outcomes, particularly the way the project will meet the goal(s). Program goals, objectives and outcomes should be achievable and measurable.

3. Activities/strategies that will be undertaken to achieve the objectives (approx. 4 pages) Describe the range of activities which will be implemented to achieve each objective and indicate and justify the sequences as well as the time frame of these activities. Please also provide a work plan per the template below (up to 33 months):

Activity

Months Notes on target numbers

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18


4. Intended beneficiaries (approx. ¼ page) Present the proposed project’s intended

beneficiaries, those who will benefit in the future, explaining how they will benefit. 5. Program monitoring strategy (approx. ½ page) Describe how the project implementation will

be monitored. Describe the general approach to monitoring, data sources and collection mechanisms and data analysis methods and present qualitative and quantities results’ indicators to measure success for meeting the project objective(s). Indicate who will be responsible for monitoring progress of planned vs. actual results?

6. Staffing and management (approx. ½ page plus attachments) Provide information on full

and part-time staff of the proposed project and explain who will be responsible for what tasks. In particular indicat the title and the capacities of the staff persons responsible for the suggested activities (include personnel short term CVs and job descriptions indicating staff members’ relevant experience and expertise).

Note: Budget should be submitted in Excel file using the format. The line item name change and row addition or deletion can be done by the organization as per their need


Annex 2 – Budget Format

(see separate Excel file)


Annex 3 – Budget Narrative Format Hamro Samman Project



INTRODUCTION

Period of Performance

The proposal is assuming a project start date of [insert date] and an end date of [insert date] (33-month budget).

PERSONNEL

Local/Host Country National Staff (insert amount in npr)

Position Name Monthly Total

* Key Staff

[insert a short description of what each proposed staff member will contribute to the project]

FRINGE BENEFITS

Local Fringe Benefits (insert amount in NPR)

A rate of [insert percentage] has been applied to cover fringe benefits for all local staff salaries, per the below chart.

Benefit Rate Provident Fund Welfare/Dearness Allowance Festival/Dashain Allowance Medical and Accident Insurance Gratuity

The rate is based on the fringe benefits provided to long-term local staff under [insert applicant organization’s name] current programs in Nepal.

TRAVEL, TRANSPORTATION AND PER DIEM


The budgeted costs for travel, transportation, and other cost items are based on the proposed approach to the management of the project. Travel and transportation costs include the following items.

Local/In-Country Travel (NPR insert amount)

[describe in detail per diem rate, cost for in-country travel by bus, road and air and anticipated frequency of trips] Attach a copy of such policy of the organization.

EQUIPMENT

Expendable Property valued at US$5000 or above (insert total amount)

Description Unit Type

Quantity Justification/Purpose

[list above and provide a short written description and justification below for the purchase of equipment (if any) valued at USD 5000 or higher]

SUPPLIES

Expendable Property valued at under US$5000 (Insert total amount)

Description Unit Type

Unit Cost

Quantity

Justification/Purpose

[list above and provide a short written description and justification below for the purchase of expendable property valued at under US$ 5000]

CONTRACTUAL

Local Consultants (insert total cost in NPR)

[provide a short written description and justification below for each proposed consultant, including the cost]


Grants (insert total cost in NPR)

In-kind Grants (insert total cost)

[List below and describe justification for any in-kind sub-grants to be awarded to network members.]

Assistance Sub-Objective Total LOP Value

Other Grants (insert total cost in NPR)

[List below and describe justification for any other sub-grants to be awarded to partners]


Local Firms/Organizations (insert total amount)

[List below and describe justification for any contracts to be awarded to local organizations or companies]


OTHER DIRECT COSTS

Training/Conferences/Meetings

[Describe each training activity, conference and meeting and provide a short justification]

Other Direct Costs (insert total amount in NPR)

[describe and provide short justification for every ODC cost listed in the project budget]


Annex 4 – Mandatory Eligibility Requirements

Hamro Samman Project Request for Applications (RFA) No. 6817-RFQ-19-1

Providing Skills Training and Job Placement to Human Trafficking Survivors and Those At Risk Under USAID Cooperative Agreement No. AID-367-A-17-00001

All applicants must be able to demonstrate that they meet the following mandatory eligibility requirements:

• The grant activity must meet the project objective noted above in Section 2 and will contribute to the achievement of the project indicators noted in Section 3.

• The grantees must be legally registered under the laws of the Government of Nepal. Government entities are not eligible for the Grants.

• The grantees must agree to be subject to a pre-award assessment to examine that it has sound management in the form of financial, administrative, and technical policies and procedures that are in written format and present a system of controls that safeguard assets, protect against fraud, waste, and abuse, and support the achievement of program goals and objectives.

• The grantees may be required to participate in a pre-solicitation or post-award training to evaluate and strengthen their capacity for financial, administrative, and technical management of Hamro Samman Project grants.

• The applicants must be able to demonstrate past performance history of implementing similar interventions.

• The applicants must be willing and able to complete all required certifications detailed in Annex 7 and must also agree to co-brand all grant activities to include the USAID logo.

• The applicants must be willing to comply with environmental compliance obligations under the Federal Regulations (22 CFR 216) and in USAID’s Automated Directives System (ADS), Chapter 201.3.4.5 and Chapter 204 (http://www.usaid.gov/who-we-are/agency-policy/series-200).

• The applicants and any sub-grantees are not identified in the System for Award Management (SAM) as ineligible to receive U.S. Government funds. For information on the System for Award Management and registration, please visit: https://www.sam.gov/SAM/ .

• The applicants do not appear on the Specially Designated Nationals (SDN) and Blocked Persons List maintained by the U.S. Treasury for the Office of Foreign Assets Control, or “OFAC List.”

• The applicants are not listed in the United Nations Security designation list. • The grantees must provide a Data Universal Numbering System (DUNS) number at the time

of award. If the applicant already has a DUNS number, it should be included in their application. Otherwise, applicants will be expected to get a DUNS number before an award is issued. Please visit http://fedgov.dnb.com/webform/pages/CCRSearch.jsp for details.


Note: this only applies when the prime funder is a US Government entity). • For those selected for grant award, Winrock will conduct a pre-award risk assessment and

technical cost negotiations with the potential grantee. Subsequently, the grants will be submitted to USAID for approval and will be awarded once that approval is received.


Annex 5 – Additional Instructions for Budget Section Hamro Samman Project



• All grant activity costs must be within the normal operating practices of the Applicant and in accordance with its written policies and procedures.

• For applicants without an audited indirect cost rate, the budget may include direct costs that will be incurred by the Applicant to provide identifiable administrative and management costs that can be directly attributed to supporting the grant objective.

• Applicants should propose only those costs that are necessary and reasonable to perform the activities described in the application.

• Items of cost will be reviewed under the standards of the cost principles in U.S. government regulation, 2 CFR 200 Subpart E.

• Applicants are required to submit a budget narrative that explains and justifies the need for the costs proposed in the budget. The narrative should help the reviewer understand why an item of cost is necessary and how it will be used for the activity for which it will be incurred. The budget narrative should demonstrate the relationship between the proposed activities and the budget. Just as the technical application should reflect the Applicant’s understanding of the objectives and the proposed approach to achieve those objectives, the budget and the accompanying narrative should be realistic and show a similar understanding of the financial requirements of the proposed program of activities.


Annex 6 – Unallowable Costs Hamro Samman Project



The following items cannot be purchased with grant funds:

• Prohibited goods under USAID eligibility rules, including: military equipment, surveillance equipment, commodities and services for support of police or other law enforcement activities, abortion equipment and services, luxury goods, gambling equipment, and weather modification equipment

• Restricted goods under USAID eligibility rules, such as agricultural commodities, motor vehicles, including motorcycles, pharmaceuticals, pesticides, used equipment, contraceptive products, U.S. Government-owned excess property or fertilizer

• Goods and services whose source and nationality are other than Geographic Code 937 • Construction or infrastructure activities of any kind • Goods or services from suppliers as may be identified by USAID's consolidated list of

debarred, suspended, or ineligible contractors at http://www.epls.gov • Any purchases or activities deemed unnecessary to accomplish grant purposes as determined

by Hamro Samman Project, including any grantee headquarters expenses that are not directly linked to the implementation of the proposed project

• Private ceremonies, parties, celebrations or "representation" expenses • Previous obligations and/or bad debts • Overtly religious purposes • Expenses intended to influence the outcome of elections or other political processes • Fines and/or penalties • Creation of endowments • Other costs such as alcoholic beverages are unallowable under 2 CFR 200. • Real property (land, including land improvements, structures and appurtenances thereto). • Pre-award costs


Annex 7 – Certifications and Assurances Hamro Samman Project



Note: Applicants must be able to sign and attest that they will comply with the following certifications and assurances. Signature is not required at this stage, but will be required upon execution of the subagreement.

1. As a condition of receiving this Subagreement, the Subrecipient warrants and certifies that it has signed and provided to Winrock, or if not, that it will at any time upon request so sign (as of the Effective Date) and provide, the following certifications (See attached), as well as any other certifications, representations, or statements that USAID may require for subrecipients, including, but not limited to the following (each in the version that is current on the Effective Date):

A. Assurance of Compliance with Laws and Regulations Governing Non-Discrimination in Federally-Assisted Programs;

B. Certification Regarding Lobbying ;(Note: this certification applies to subawards exceeding $100,000 USD in value)

C. Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206)

D. Certification Regarding Terrorist Financing, Implementing Executive Order 13224

E. Certification of Subrecipient

2. Subrecipient agrees to require similar certifications from lower-tier subrecipients, to the extent required by applicable law, regulation, or policy.

3. Subrecipient further agrees to ensure that the status represented and warranted above as of the Effective Date will continue throughout the Subagreement Term, that it will notify Winrock in writing immediately in the event of any change in such status, and that failure to maintain such status or to notify Winrock in a timely manner of a change in such status may, in appropriate circumstances, be grounds to terminate this Subagreement, in whole or in part, for cause.

Assurance of Compliance with Laws and Regulations Governing Non-Discrimination in Federally Assisted Programs

Note: This certification applies to Non-U.S. organizations if any part of the program will be undertaken in the United States.

The Subrecipient hereby assures that no person in the United States shall, on the bases set forth below, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination


under, any program or activity receiving financial assistance from Winrock, and that with respect to the Subagreement for which application is being made, it will comply with the requirements of:

1. Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352, 42 U.S.C. 2000-d), which prohibits discrimination on the basis of race, color or national origin, in programs and activities receiving Federal financial assistance;

1. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which prohibits discrimination on the basis of handicap in programs and activities receiving Federal financial assistance;

2. The Age Discrimination Act of 1975, as amended (Pub. L. 95-478), which prohibits discrimination based on age in the delivery of services and benefits supported with Federal funds;

3. Title IX of the Education Amendments of 1972 (20 U.S.C. 1681, et seq.), which prohibits discrimination on the basis of sex in education programs and activities receiving Federal financial assistance (whether or not the programs or activities are offered or sponsored by an educational institution); and

4. USAID regulations implementing the above nondiscrimination laws, set forth in Chapter II of Title 22 of the Code of Federal Regulations.

If the Subrecipient is an institution of higher education, the Assurances given herein extend to admission practices and to all other practices relating to the treatment of students or clients of the institution, or relating to the opportunity to participate in the provision of services or other benefits to such individuals, and shall be applicable to the entire institution unless the Subrecipient establishes to the satisfaction of Winrock that the institution's practices in designated parts or programs of the institution will in no way affect its practices in the program of the institution for which financial assistance is sought, or the beneficiaries of, or participants in, such programs.

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

Name of Applicant/Subrecipient ___________________________________

Typed Name and Title __________________________________________


Signature ____________________________________ Date ___________

Certification Regarding Lobbying

(Note: this certification is for subawards valued at $100,000 USD or more)

The undersigned certifies, to the best of his or her knowledge and belief, that:

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

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

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

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, United States Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance

“The undersigned states, to the best of his or her knowledge and belief, that: If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file


the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.”



Signature ____________________________________ Date ___________

Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206)

Winrock reserves the right to terminate this Subagreement, to demand a refund or take other appropriate measures if the Subrecipient is found to have been convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140. The undersigned shall review ADS 206 to determine if any certifications are required for Key Individuals or Covered Participants. http://www.usaid.gov/policy/ads/200/206.pdf If there are COVERED PARTICIPANTS: Winrock reserves the right to terminate assistance to or take other appropriate measures with respect to, any participant approved by Winrock who is found to have been convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140.

Certification Regarding Terrorist Financing, Implementing Executive Order 13224

By signing and submitting this application, the prospective recipient provides the certification set out below:

1. The Subrecipient, to the best of its current knowledge, did not provide, within the previous ten years, and will take all reasonable steps to ensure that it does not and will not knowingly provide, material support or resources to any individual or entity that commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated, or participated in terrorist acts, as that term is defined in paragraph 3. The Certification in the preceding sentence will not be deemed applicable to material support or resources provided by the Recipient pursuant to an authorization contained in one or more applicable licenses issued by the U.S. Treasury’s Office of Foreign Assets Control (OFAC).

2. The following steps may enable the Subrecipient to comply with its obligations under paragraph 1:

A. Before providing any material support or resources to an individual or entity, the Subrecipient will verify that the individual or entity does not (i) appear on the master list of Specially Designated Nationals and Blocked Persons, which list is maintained by the U.S. Treasury’s Office


of Foreign Assets Control (OFAC) and is available online at OFAC’s website: http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf, or (ii) is not included in any supplementary information concerning prohibited individuals or entities that may be provided by Winrock to the Subrecipient.

B. Before providing any material support or resources to an individual or entity, the Subrecipient also will verify that the individual or entity has not been designated by the United Nations Security (UNSC) sanctions committee established under UNSC Resolution 1267 (1999) (the “1267 Committee”) [individuals and entities linked to the Taliban, Usama bin Laden, or the Al Qaida Organization]. To determine whether there has been a published designation of an individual or entity by the 1267 Committee, the Subrecipient should refer to the consolidated list available online at the Committee’s website: http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm.

C. Before providing any material support or resources to an individual or entity, the Subrecipient will consider all information about that individual or entity of which it is aware and all public information that is reasonably available to it or of which it should be aware.

D. The Subrecipient also will implement reasonable monitoring and oversight procedures to safeguard against assistance being diverted to support terrorist activity.

3. For purposes of this Certification-

A. “Material support and resources” means currency or monetary instruments or financial securities, financial services, lodging, training, expert advice or assistance, safehouses, false documentation or identification, communications equipment, facilities, weapons, lethal substances, explosives, personnel, transportation, and other physical assets, except medicine or religious materials.”

(i) “Training" means instruction or teaching designed to impart a specific skill, as opposed to general knowledge.

(ii) “Expert advice or assistance" means advice or assistance derived from scientific, technical, or other specialized knowledge.

B. “Terrorist act” means-

(1) an act prohibited pursuant to one of the 12 United Nations Conventions and Protocols related to terrorism (see UN terrorism conventions Internet site: http://untreaty.un.org/English/Terrorism.asp; or

(2) an act of premeditated, politically motivated violence perpetrated against noncombatant targets by subnational groups or clandestine agents; or

(3) any other act intended to cause death or serious bodily injury to a civilian, or to any other person not taking an active part in hostilities in a situation of armed conflict, when the purpose of such act, by its nature or context, is to intimidate a population, or to compel a government or an international organization to do or to abstain from doing any act.


C. “Entity” means a partnership, association, corporation, or other organization, group or subgroup.

D. References in this Certification to the provision of material support and resources shall not be deemed to include the furnishing of USAID funds or USAID-financed commodities to the ultimate beneficiaries of USAID assistance, such as recipients of food, medical care, micro-enterprise loans, shelter, etc., unless the Recipient has reason to believe that one or more of these beneficiaries commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated or participated in terrorist acts.

E. The Subrecipient’s obligations under paragraph 1 are not applicable to the procurement of goods and/or services by the Subrecipient that are acquired in the ordinary course of business through contract or purchase, e.g., utilities, rents, office supplies, gasoline, etc., unless the Subrecipient has reason to believe that a vendor or supplier of such goods and services commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated or participated in terrorist acts.

This Certification is an express term and condition of any agreement issued as a result of this application, and any violation of it shall be grounds for unilateral termination of the agreement by Winrock prior to the end of its term.



Address: _____________________________________________________

Signature ____________________________________ Date ___________

Certification of Subrecipient By signing below the Subrecipient provides certifications and assurances for (1) the Assurance of Compliance with Laws and Regulations Governing Non-Discrimination in Federally Assisted Programs, (2) the Certification Regarding Lobbying, (3) the Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206), (4) the Certification Regarding Terrorist Financing Implementing Executive Order 13224, and (5) the Certification Regarding Trafficking in Persons above. These certifications and assurances are given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts, property, discounts, or other Federal financial assistance extended after the date hereof to the Subrecipient by Winrock, including installment payments after


such date on account of applications for Federal financial assistance which was approved before such date. The Subrecipient recognizes and agrees that such Federal financial assistance will be extended in reliance on the representations and agreements made in these assurances, and that Winrock will have the right to seek judicial enforcement of these assurances. These assurances are binding on the Subrecipient, its successors, transferees, and assignees, and the person or persons whose signatures appear below are authorized to sign these assurances on behalf of the Subrecipient.



Address: _____________________________________________________

Signature ____________________________________ Date ___________

Documents

Hamro Samman Project Request for Applications (RFA) No ... · Request for Applications (RFA) No. 6817-RFQ-19-1 Providing Skills Training and Job Placement to Human Trafficking Survivors