USAID STAWI Project

Funding Opportunity Title: Sustainable, Transformational and Accessible Water

Interventions

Announcement Type: Annual Program Statement

Funding Opportunity Number: APS-STAWI-23-001

Issuance Date: December 1, 2023

Workstream 1: Water for Productive Grant Type: In-Kind Grants

Use and Natural Resource
Management Budget Ceiling: USD $250,000 (~KES
37,500,000)

Workstream 2: Learning and Grant Type: FAA, Standard Grant

Adaptation
Budget Ceiling: USD $25,000 (~KES
3,750,000)

Workstream 3: Water Access, Grant Type: In-Kind, FAA, Standard

Governance and Data Management Grants

Budget Ceiling: USD $100,000 (~KES

15,000,000)

Interested Applicant Conference: December 6, 2023; 9-11 am EAT – Virtual, join us here!

December 7, 2023; 9 am-4 pm EAT – In-Person register

here!

Deadline for Questions: December 11, 2023; 5 pm EAT

Application Submission Date: January 3, 2024, 5 pm EAT

Final Closing Date: September 30, 2024, 5 pm EAT

Submit Applications to: [email protected]

APS-STAWI-23-01 Page 1
To Interested Applicants:

The purpose of this Annual Program Statement (APS) is to solicit applications for funding. The
USAID Sustainable, Transformational and Accessible Water Interventions (STAWI) Project
implemented by DAI through funding from the United States Agency for International Development
(USAID), is seeking applications from groups who work in the water sector in order to improve the
governance of water resources and services, increase the sustainability of water service delivery,
and improve management, efficiency, and equitable access to water for productive purposes.

Competition for this APS will be open until September 30, 2024, however the first round of
applications should be received by January 3, 2024. Applications received outside of this window
will be considered and evaluated on a rolling basis. STAWI may choose to fully fund or
incrementally fund the selected application(s). The number of awards and amount of available
funding is subject to change and STAWI reserves the right to make no awards as a result of this
APS.

Applicants must be registered under the laws of Kenya. Applicants must propose activities within
any of STAWI’s nine target counties: Turkana, Marsabit, Samburu, Isiolo, Wajir, Garissa, Kitui,
Makueni, and Taita Taveta.

In order to continue to receive addendums and communication regarding this solicitation, please
email [email protected] with your expression of interest. Any prospective applicant who fails
to contact [email protected] assumes complete responsibility in the event that they do not
receive communications prior to the closing date.

APS-STAWI-23-01 Page 2
 TABLE OF CONTENTS

SECTION I – AWARD INFORMATION

SECTION II – FUNDING OPPORTUNITY DESCRIPTION

SECTION III – ELIGIBILITY INFORMATION

SECTION IV – APPLICATION AND SUBMISSION INFORMATION

SECTION V – APPLICATION REVIEW INFORMATION

SECTION VI – AWARD AND ADMINISTRATION INFORMATION

SECTION VII – PROJECT CONTACTS

SECTION VIII – OTHER INFORMATION

ATTACHMENT A – Financial Capability Questionnaire

ATTACHMENT B – Application Checklist

ATTACHMENT C – Terms and Conditions

APS-STAWI-23-01 Page 3
SECTION I- AWARD INFORMATION

STAWI implemented by DAI on behalf of USAID anticipates awarding several awards per the
guidance on the cover page:

• In-Kind – Direct Provision of goods/services to partners to fill performance/operational gaps

(no direct transfer of cash to the recipient)
• Fixed Amount Awards (FAA) – Payment for completion of specific, well-defined milestones
harmonized with the grantee’s program description and STAWI program objectives.
• Standard – Provide financial support to an organization (with adequate financial and
managerial capacity) via cost reimbursement to support grantees in carrying out their
organizational objectives aligned with STAWI objectives

Grant Awards will prioritize the following grant mechanisms:

• Revolving – Viability gap funding to improve enterprises’ commercial viability, build

creditworthiness, & increase ability to repay grants from improved cost recovery & increase
ability to repay grants from improved cost recovery & secure financing.
• Cost-Share/Matching – Grantees or beneficiaries provide financial or in-kind contributions
as part of the grant agreement that is separate from, and in addition to, STAWI funding.

STAWI may choose to fully fund or incrementally fund the chosen Applications. The number of
awards and amount of available funding is subject to change. The funds will all be committed by
September 30, 2024, but the period of performance of each grant agreement will vary.

SECTION I - FUNDING OPPORTUNITY DESCRIPTION

(1) Description of the Proposed Program

Background

The USAID STAWI Project(STAWI) is a five-year project funded by the United States Agency for
International Development (USAID) and implemented by DAI Global LLC (DAI). STAWI will work
alongside county governments across nine counties in northern and southeastern Kenya to
advance water security for social, economic, and environmental needs.

The purpose of STAWI is to strengthen resilience and expand economic opportunities in the
targeted northern and southeastern ASAL counties through management of water resources,
expansion of sustainable water services, and improved use of water within agriculture and livestock
market systems. At the end of five years, targeted county governments, water service providers
(WSPs), and water users will have the information, incentives, and partnerships to identify and

APS-STAWI-23-01 Page 4
address barriers to a water-secure future among the most water-stressed and vulnerable
communities in Kenya.

STAWI has four primary objectives:

• Objective 1: Improve Governance of Water Resources and Services

o Under this objective, STAWI will use grants to eligible applicants to build their
capacity to effectively and efficiently protect, manage and allocate water resources.
STAWI will support the ability of sector actors to anticipate, prepare for, and
respond to shocks and stressors including climate change.

• Objective 2: Increase Sustainability of Water Service Delivery

o Under this objective, STAWI will use grants to strengthen the ability of the service
providers, in particular, to become more efficient and creditworthy and the ability of
the county governments to monitor and assess provider performance.

• Objective 3: Improved Management, Efficiency, and Equitable Access to Water Used for
Productive Purposes
o Under this objective, STAWI will grants to enable organizations to expand the
availability of water for productive purposes and to better meet inclusivity and last-
mile objectives.

• Objective 4: Improved Collaboration and Learning Across Stakeholders and Strengthened

Capacity of County Governments for Learning and Adaptation
o Under this objective, STAWI will use grants to support organizations to generate,
collect, analyze, disseminate and learn from data and information across STAWI
objectives.

Illustrative activities for each workstream are as follows:

Workstream 1: Water for Productive Use and Natural Resource Management (6 page limit) – In-
Kind Grants

• Energy-efficient irrigation approaches

• Lining and de-silting
• Drip irrigation systems
• Rainwater harvesting systems (farm ponds, water pans, sand dams, earth dams, rock
catchments)
• Extension and rehabilitation of irrigation schemes
• Solarization of pumping system
• Water storage facilities
• Farm/Garden inputs (STAWI cannot fund the purchase of seeds, seedlings, fertilizers,
pesticides, livestock or other agricultural commodities)

APS-STAWI-23-01 Page 5
 • Construction of water troughs
• Soil and water conservation to diminish runoff, erosion and risks of landslides and
improvement in groundwater recharge and storage
• Training and Exposure Visits
• Rangeland management and rehabilitation activities
• Fodder farming
• Implementation of catchment conservation and restoration projects
• Supply of in-situ water resource monitoring equipment and/or tools
• Implementation of Sub-Catchment Management Plan (SCMP)/ Forest Management
Plan (FMP)

Workstream 2: Learning and Adaptation (6 page limit) – Fixed Amount Awards & Standard Grants

• Support collaboration across interventions, counties and stakeholders

• Support learning to inform adaptive management
• Build the capacity of counties to learn and apply adaptive management practices

Workstream 3: Water Access, Governance and Data Management (6 page limit) – In-Kind, Fixed
Amount Awards, Standard Grants

• Equipment and innovative tools (water metering equipment, billing and accounting software,
water ATMs)
• Implementation of infrastructure solutions (solar pumping, storage tanks, leak reduction for
service provisions)
• Rehabilitation and extension of water pipelines
• Water treatment
• Construction/rehabilitation of water kiosks
• Provision of data collection tools and services for county management information system
• Construction of Green Infrastructure
• Implementation of Sub-Catchment Management Plan (SCMP)/Forest Management Plan
(FMP)
• Citizen engagement and accountability mechanisms
• Data Management
• Governance (Policy/Legislation, Institutional Strengthening, Water Resource Management,
etc)
• Building in shock mitigation and response mechanisms for continued water delivery
• Technical assistance for the establishment and training of Water Resource User
Associations and development of Sub Catchment Management Plans
• Training, monitoring and coaching to women and youth-led enterprises
• Training and mentoring services on adaptive management and data-driven decision making

APS-STAWI-23-01 Page 6
 • Data collection, analysis and dissemination in support of STAWI learning agenda
• Capacity building for county water sector coordination platforms
• Water data visualization and use
• Organization Capacity Development

Note 1: Applicants must only submit one application for one workstream. Each successful applicant
will only receive one award.

Note 2: All infrastructure, construction or rehabilitation projects can only be issued as in-kind
grants.

Note 3: If you want to be a recipient of trainings or capacity development you will be issued an in-
kind grant. If you want to provide trainings or capacity development, you will be issued a FAA or
Standard grant.

SECTION III- ELIGIBILITY INFORMATION

(1) Types of Entities that May Apply

This APS is issued as a public notice to ensure that all interested and qualified organizations have a
fair opportunity to submit applications for funding. Eligible organizations include: county
governments, government agencies, water service providers (WSP), Water User Associations
(WUAs), water resource user associations (WRUAs), irrigation water users associations (IWUAs),
farmer co-operatives, non-governmental organizations (NGOs), faith-based organizations (FBOs),
community-based organizations (CBOs), private companies, learning institutions, professional
associations, youth, women and persons with disability groups/networks etc. Applicants must
propose activities within any of STAWI’s nine target counties: Turkana, Marsabit, Samburu, Isiolo,
Wajir, Garissa, Kitui, Makueni and Taita Taveta. For-profit organizations must be willing to forego
profit. Government entities can only receive in-kind grants.

Ineligible applicants:

• Any organization not legally organized under the laws of Kenya;

• Any entity listed in the U.S. government Excluded Parties List;
• Any entity unable to obtain a Unique Entity Identification Number (UEI);**
• Any entity excluded in the US Government System for Award Management;
• Any Public International Organization (PIO);
• Any entity affiliated with DAI or STAWI directors, officers, or employees;
• Any projects involving involuntary resettlement, child labor, significant environmental
impacts;

APS-STAWI-23-01 Page 7
 • Any military organization;
• Any political party organization;
• Any entity focused solely on religious activities;
• Any labor unions; and,
• Any individuals.

Prior experience with USAID or other US Government entities is not required. STAWI
encourages applications from potential new partners.

** Applicants can register for a UEI by accessing this website.

(2) Cost Share

A preferred selection criteria is that proposed activities leverage financial or in-kind contributions.
Applicants are encouraged to contribute resources from their own private or local sources for the
implementation of this program where feasible. Projects that leverage funds from the private sector
or other donors are highly desirable.

SECTION IV- APPLICATION AND SUBMISSION INFORMATION

(1) Application Process

Applicants are encouraged to apply by January 3, 2024, to receive immediate assistance. Late
applications will be reviewed on a rolling basis up to September 30, 2024. Applications must meet
the identified needs of this solicitation. Selection for award will be made in accordance with the
evaluation criteria in Section V. The chart below lists each element required for submission of a
complete application.

What to Submit Required Content Required Format

1. Technical Application Technical Application Templates Word
• Standard Grants
• Fixed Amount Awards
• In-Kind Grants
2. Cost Application Budget Templates Excel
• Standard Grants
• Fixed Amount Awards
• In-Kind Grants
3. Financial Capability Questionnaire Attachment A Word
4. Proof of Registration in Kenya PDF
5. Unique Entity ID (UEI) Register through this website

APS-STAWI-23-01 Page 8
All materials must be in English. Applications must be submitted electronically via e-mail to
[email protected]. All correspondence must include APS-STAWI-23-001 in the subject.
Applications must be prepared in accordance with the templates. Applicants should retain for their
records one copy of all parts of the application and all enclosures that accompany their application.

SECTION V – APPLICATION REVIEW INFORMATION

(1) Evaluation Criteria for Full Application

An award will be made to the responsible Applicant whose application offers the best value to the
U.S. Government, considering both technical and cost factors. Applicants should note that these
criteria: (1) serve as the standard against which all applications will be evaluated, and (2) serve to
identify the significant matters that Recipients should address in their applications.

The technical applications will be evaluated in accordance with the technical evaluation criteria set
forth below.

Criteria Score
1- Technical Approach 45
• The application demonstrates a strong understanding of the context and
describes relevant challenges/problems and appropriate opportunities
to address such challenges taking into consideration cross-cutting
themes of gender, youth and climate change.
• The application provides innovative, creative and feasible solutions.
2 – Sustainability and Impact 30
• The application ensures the sustainability of the proposed
activity/project and does not pose high environmental risks.
• The application is in-line with STAWI’s objectives stated in the
background section and describes how it will produce visible results and
impact.
3 - Past Performance 25
• Successful institutional track record in implementing projects/activities
of similar scope, complexity and size.

Total 100

Costs will be reviewed based on cost effectiveness, reasonableness, allocability, and allowability.
Costs that do not meet the criteria below will be deemed non-responsive.

APS-STAWI-23-01 Page 9
 • Are costs effective? Will proposed costs provide a good value in achieving desired
outcomes at a relatively low cost or becoming more cost-effective over time?
• Are costs reasonable? Are proposed costs generally recognized as ordinary and necessary
and would they be incurred by a prudent person in the conduct of normal business?
• Are costs allocable? Do proposed costs have a legitimate justification for the funding
amount requested and is the cost clearly captured in the budget and application?
• Are costs allowable? Are proposed costs strictly for the achievement of the partnership and
are they free of any restrictions or limitations, such as vehicles, alcohol, luxury goods,
agricultural commodities, etc.?
• Applicant cost-share: Applicant includes the leverage of financial or in-kind contributions for
greater impact.

SECTION VI – AWARD AND ADMINISTRATION INFORMATION

(1) Post- Selection Information

Following selection of an awardee, STAWI will inform the successful applicant concerning the award
and request any additional back-up documentation or technical edits needed. A notice of award
signed by STAWI’s Chief of Party is the official authorization document, which STAWI will provide
either electronically or in hard copy to the successful applicant’s main point of contact.

STAWI will also notify unsuccessful applicants concerning their status after selection has been
made.

(2) General Information on Reporting Requirements

Program implementation reporting will be determined based on the outcome of the collaborative
finalization of the planned program and the delineation of roles and responsibilities.

SECTION VII- PROJECT CONTACTS

Applicants who have questions should email [email protected] by the deadlines listed on the
cover page to allow a reply to reach all prospective applicants before the submission of their
applications. Oral explanations or instructions given before award of a grant will not be binding. Any
information given to a prospective applicant concerning this APS will be furnished promptly to all
other prospective applicants as an amendment of this APS, if that information is necessary in
submitting applications or if the lack of it would be prejudicial to any other prospective applicants.

APS-STAWI-23-01 Page 10
SECTION VIII - OTHER INFORMATION

Issuance of this APS does not constitute an award or commitment on the part of STAWI Project or
DAI, nor does it commit STAWI Project or DAI to pay for costs incurred in the preparation and
submission of an application.

STAWI/DAI reserves the right to fund any or none of the applications submitted. Further,
STAWI/DAI reserves the right to make no awards as a result of this APS.

APS-STAWI-23-01 Page 11
ATTACHMENT A – Financial Capability Questionnaire

Accounting System and Financial Capability Questionnaire

For DAI Grant Recipients

The main purpose of this questionnaire is to understand the systems adopted by your institution for financial
oversight and accounting of grant funds, especially those provided through the U.S. Federal Government. The
questionnaire will assist DAI program and accounting staff to identify the extent to which your institution's financial
systems match the requirements of the U.S. Federal Government. This information will help the program staff work
with you and your institution to review any problem areas that may be identified; thereby avoiding any problems or
oversights which would be reportable should an audit of the program or institution be required.

The questionnaire should be completed by the financial officer of your institution in collaboration with DAI program
staff. This questionnaire is informational only, and will not have any bearing on the agreement to support your
institution based on the technical merit of the proposal. Therefore, please answer all questions to the best of your
knowledge.

While 2 CFR 200 does not cover awards to non-U.S. recipients, DAI shall rely on the standards established in
that regulation in determining whether potential non-U.S. recipients are responsible to manage Federal funds.
A determination shall be made on the potential recipient's ability, or potential ability, to comply with the
following USAID and federal-wide policies:

1) 2 CFR 200 Subpart D (Financial and Program Management);

2) 2 CFR 200 Subpart D (Property Standards);

3) 2 CFR 200 Subpart D (Procurement Standards); and

4) 2 CFR 200 Subpart D (Performance and Financial Monitoring and Reporting).

APS-STAWI-23-01 Page 12
SECTION A: General Information

Please complete this section which provides general information on your institution.

Name of Institution:

Name and Title of Financial Contact Person:

Name of Person Filling out Questionnaire:

Mailing Address:

Street Address (if different)

Telephone, Fax, Email (if applicable)

Enter the beginning and ending dates of your institution's fiscal year:

From: (Month, Day) To: (Month, Day)

SECTION B: Internal Controls

Internal controls are procedures which ensure that: 1) financial transactions are approved by an authorized
individual and are consistent with U.S. laws, regulations and your institution's policies; 2) assets are maintained
safely and controlled; and 3) accounting records are complete, accurate and maintained on a consistent basis.
Please complete the following questions concerning your institution's internal controls.

1. Does your institution maintain a record of how much time employees spend on different projects or activities?

Yes: No:

2. If yes, how?

3. Are timesheets kept for each paid employee?

APS-STAWI-23-01 Page 13
 Yes: No:

4. Do you maintain an employment letter or contract which includes the employee’s salary?

Yes: No:

4. Do you maintain inventory records for your institution's equipment?

Yes: No: (if no, explain)

5. How often do you check actual inventory against inventory records?

6. Are all financial transactions approved by an appropriate official?

Yes: No:

7. The person responsible for approving financial transactions is: ________________ Title: ______________

8. Is the person(s) responsible for approving transactions familiar with U.S. Federal Cost principles as described in
2 CFR 200 Subpart E?

Yes: No:

9. Does your institution use a payment voucher system or some other procedure for the documentation of approval
by an appropriate official?

Yes: No:

10. Does your institution require supporting documentation (such as original receipts) prior to payment for
expenditures?

Yes: No:

11. Does your institution require that such documentation be maintained over a period of time?

APS-STAWI-23-01 Page 14
 Yes: No:

If yes, how long are such records kept?

12. Are different individuals within your institution responsible for approving, disbursing, and accounting of
transactions?

Yes: No:

13. Are the functions of checking the accuracy of your accounts and the daily recording of accounting data
performed by different individuals?

Yes: No:

14. Who would be responsible for financial reports? ________________________________________

SECTION C: Fund Control and Accounting Systems

Fund Control essentially means that access to bank accounts and/or other cash assets is limited to authorized
individuals. Bank balances should be reconciled periodically to the accounting records. If cash cannot be
maintained in a bank, it is very important to have strict controls over its maintenance and disbursement.

An Accounting System accurately records all financial transactions, and ensures that these transactions are
supported by documentation. Some institutions may have computerized accounting systems while others use a
manual system to record each transaction in a ledger. In all cases, the expenditure of funds provided by the USAID-
funded program must be properly authorized, used for the intended purpose, and recorded in an organized and
consistent manner.

1. Does your institution maintain separate accounting of funds for different projects by:

Separate bank accounts:

A fund accounting system:

2. Will any cash from the grant funds be maintained outside a bank (in petty cash funds, etc.)?

Yes: No:

If yes, please explain the amount of funds to be maintained, the purpose and person responsible for safeguarding
these funds.

APS-STAWI-23-01 Page 15
4. If your institution doesn't have a bank account, how do you ensure that cash is maintained safely?

5. Does your institution have written accounting policies and procedures?

Yes: No:

6. How do you allocate costs that are “shared” by different funding sources, such as rent, utilities, etc.?

7. Are your financial reports prepared on a:

Cash basis: Accrual basis:

8. Is your institution's accounting system capable of recording transactions, including date, amount, and
description?

Yes: No:

9. Is your institution's accounting system capable of separating the receipts and payments of the grant from the
receipts and payments of your institution’s other activities?

Yes: No:

10. Is your institution's accounting system capable of accumulating individual grant transactions according to
budget categories in the approved budget?

APS-STAWI-23-01 Page 16
 Yes: No:

10. Is your institution's accounting system designed to detect errors in a timely manner?

Yes: No:

11. How will your institution make sure that budget categories and/or overall budget limits for the grant will not be
exceeded?

12. Are reconciliations between bank statements and accounting records performed monthly and reviewed by an
appropriate individual?

Yes: No:

13. Briefly describe your institution’s system for filing and keeping supporting documentation.

SECTION D: Audit

The grant provisions require recipients to adhere to USAID regulations, including requirements to maintain records
for a minimum of three years to make accounting records available for review by appropriate representatives of
USAID or DAI, and, in some cases, may require an audit to be performed of your accounting records. Please
provide the following information on prior audits of your institution.

1. Is someone in your institution familiar with U.S. government regulations concerning costs which can be charged
to U.S. grants (2 CFR 200 Subpart E "Cost Principles" )?

Yes: No:

2. Do you anticipate that your institution will have other sources of U.S. government funds during the period of this
grant agreement?

APS-STAWI-23-01 Page 17
 Yes: No:

3. Have external accountants ever performed an audit of your institution's financial statements?

Yes: No:

If yes, please provide a copy of your most recent report.

4. Does your institution have regular audits?

Yes: No:

If yes, who performs the audit and how frequently is it performed?

5. If you do not have a current audit of your financial statements, please provide this office with a copy of the
following financial statements, if available:

a. A "Balance Sheet" for the most current and previous year; and

b. An "Income Statement" for the most current and previous year.

6. Are there any circumstances that would prevent your institution from obtaining an audit?

Yes: No:

If yes, please provide details:

CHECKLIST AND SIGNATURE PAGE

APS-STAWI-23-01 Page 18
DAI requests that your institution submit a number of documents along with this completed questionnaire.
Complete this page to ensure that all requested information has been included.

Complete the checklist:

Copy of your organization's most recent audit is attached.

If no recent audit, a "Balance Sheet" "Income Statement" for the most current and previous fiscal year.

All questions have been fully answered.

An authorized individual has signed and dated this page.

Optional:

Incorporation Papers or Certificate of Registration and Statute is attached.

Information describing your institution is attached.

Organizational chart, if available is attached (if applicable).

The Financial Capability Questionnaire must be signed and dated by an authorized person who has either
completed or reviewed the form.

Approved by:

Print Name:

Signature:

Title:

APS-STAWI-23-01 Page 19
Attachment B – APPLICATION CHECKLIST

Email all proposal documents to [email protected].

☐ Technical Application (6 page limit)

☐ Technical Application Attachments

☐ Cost Application

☐ Completed Financial Capability Questionnaire

☐ Proof of Registration in Kenya

Attachment C – TERMS AND CONDITIONS

(1) Supporting Documentation

1. Applicants may be requested to submit additional evidence of responsibility for STAWI/DAI Staff
to make a determination of responsibility. The information submitted must substantiate that the
Applicant:
a. has adequate financial resources or the ability to obtain such resources as required during
the performance of the award;
b. has the ability to comply with the award conditions, taking into account all existing and
currently prospective commitments of the applicant - nongovernmental and governmental;
c. has a satisfactory record of performance. Past relevant unsatisfactory performance is
ordinarily sufficient to justify a finding of non-responsibility, unless there is clear evidence of
subsequent satisfactory performance;
d. has a satisfactory record of integrity and business ethics;
e. is otherwise qualified and eligible to receive a grant under applicable laws and regulations
(e.g., EEO); and
f. Presents evidence of an Unique Entity ID (SAM)or a Self Certification for Exemption from
Unique Entity ID (SAM)Requirements.

The Applicant is reminded that U.S. Executive Orders and U.S. law prohibits transactions with, and
the provision of resources and support to, individuals and organizations associated with terrorism. It
is the legal responsibility of the Applicant/Recipient to ensure compliance with these Executive
Orders and laws. This provision must be included in all subcontracts/sub-awards issued under this
contract/agreement.

APS-STAWI-23-01 Page 20
 (2) Branding

All USAID-sponsored assistance awards are required to adhere to branding policies and revised
marking requirements for grants and cooperative agreements in accordance with ADS 320. This
includes visibly displaying the USAID Standard Graphic Identity that clearly communicates
assistance is, “From the American people” on all programs, projects, activities, publications, public
communications, and commodities provided or supported through USAID assistance awards. ADS
320 requires that, after the evaluation of the applications, STAWI/DAI Staff will request the
Apparently Successful Applicant to submit a Branding Strategy that describes how the program,
project, or activity is named and positioned, how it is promoted and communicated to beneficiaries
and cooperating country citizens, and identifies all donors and explains how they will be
acknowledged. STAWI/DAI will not competitively evaluate the proposed Branding Strategy. ADS
320 may be found at the following website: www.usaid.gov/policy/ads/300/320.pdf.

(3) Environmental Procedures

1. The Foreign Assistance Act of 1961, as amended, Section 117 requires that the impact of
USAID’s activities on the environment be considered and that USAID include environmental
sustainability as a central consideration in designing and carrying out its development
programs. This mandate is codified in Federal Regulations (22 CFR 216) and in USAID’s
Automated Directives System (ADS) Parts 201.5.10g and 204
(http://www.usaid.gov/policy/ads/200/), which, in part, require that the potential environmental
impacts of USAID-financed activities are identified prior to a final decision to proceed and that
appropriate environmental safeguards are adopted for all activities. i.e.: environmental
compliance obligations under these regulations and procedures are specified in the following
paragraphs of this APS.
2. In addition, the contractor/recipient must comply with host country environmental regulations
unless otherwise directed in writing by USAID. In case of conflict between host country and
USAID regulations, the latter will govern.
3. No activity funded under this grant will be implemented unless an environmental threshold
determination, as defined by 22 CFR 216, has been reached for that activity, as documented in
a Request for Categorical Exclusion (RCE), Initial Environmental Examination (IEE), or
Environmental Assessment (EA) duly signed by the Bureau Environmental Officer (BEO).
(Hereinafter, such documents are described as “approved Regulation 216 environmental
documentation.”)

(4) Unique Entity ID (SAM)

There is a mandatory requirement for the applicant to provide an Unique Entity ID (SAM)to
STAWI/DAI. Without an Unique Entity ID (SAM), STAWI/DAI cannot deem an applicant to be

APS-STAWI-23-01 Page 21
“responsible” to conduct business with and therefore, STAWI/DAI will not enter into an agreement
with any such organization. The award of a grant resulting from this APS is contingent upon the
winner providing an Unique Entity ID (SAM)to STAWI/DAI. Organizations who fail to provide an
Unique Entity ID (SAM)will not receive an agreement and STAWI/DAI will select an alternate
awardee.

All U.S. and foreign organizations which receive a grant with a value of $25,000 and above are
required to obtain an Unique Entity ID (SAM)prior to signing of the agreement. Organizations are
exempt from this requirement if the gross income received from all sources in the previous tax year
was under $300,000. STAWI/DAI requires that grant applicants sign the self-certification statement
if the applicant claims exemption for this reason. Documentation with Instructions for Obtaining an
Unique Entity ID (SAM)or a Self Certification for Exemption from the Unique Entity ID (SAM)can be
obtained from the project issuing this APS.

(5) Certifications, Assurances, Other Statements of the Recipient and Solicitation Standard
Provisions

In accordance with ADS 303.3.8, STAWI/DAI will require successful grant applicants to submit a
signed copy of the following certifications and assurances, as applicable:

1. 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.)

2. Certification Regarding Lobbying (This certification applies to grants greater than $100,000.)

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

4. Certification Regarding Terrorist Financing, Implementing Executive Order 13224

5. Certification of Recipient

In addition, the following two certifications will be included only as required per ADS 206 for Key
Individuals or Covered Participants in covered countries:

Part II – Key Individual Certification Narcotics Offenses and Drug Trafficking

Part III – Participant Certification Narcotics Offenses and Drug Trafficking

(6) Administration of Award

For non-U.S. organizations, USAID Standard Provisions for non-U.S. non-governmental

organizations apply.

APS-STAWI-23-01 Page 22
Applicants may obtain copies of the referenced material at the following websites:

2 CFR 200: http://www.ecfr.gov/cgi-bin/text-

idx?SID=0a5b7fee6378930cce72564449dd8bb7&mc=true&node=sp2.1.200.d&rgn=div6

Standard Provisions for Non-U.S., Nongovernmental Recipients:

https://www.usaid.gov/sites/default/files/documents/1868/303mab.pdf

APS-STAWI-23-01 Page 23