South Asia Regional Initiative For Energy (SARI/Energy) Small Grants Program
South Asia Regional Initiative For Energy (SARI/Energy) Small Grants Program
South Asia Regional Initiative For Energy (SARI/Energy) Small Grants Program
The United States Agency for International Development (USAID) is seeking applications from
competent organizations and institutions in South Asia that seek to address critical regional and
local energy concerns, with a marked focus on community-based clean energy implementation
initiatives. Projects will be funded through the South Asia Regional Initiative for Energy
(SARI/Energy) Small Grants Program under grant from the USAID (Grant no. 386-C-00033-00).
1. Project Activities
The SARI/Energy Small Grants Program will award grants on a competitive basis to
local/regional not-for-profit, non-governmental organizations (NGOs), universities /
academic institutions / training institutions, and/or autonomous bodies on their initiative
and capabilities to address the following indicative areas:
Improved access to clean energy alternatives and quality of services for men and
women
Energy Efficiency and Conservation among urban and/or rural beneficiary bases
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Introduction of renewable / clean energy applications through active community
mobilization
Enhancement of income-generation and livelihood opportunities by ensuring
productive enterprise development for rural and underserved sections of society
New and innovative approaches in enhancing energy access to under-served
communities and women
These suggested activities are not exhaustive and organizations are encouraged to
suggest other innovative approaches that address SARI/Energy research and outreach
objectives.
2. Eligible Countries
Afghanistan, Bangladesh, Bhutan, India, the Maldives, Nepal, Pakistan and Sri Lanka.
Other countries may be involved in proposed projects, but will not receive funding under
this program.
3. Eligibility Criteria
Applicants must meet the minimum eligibility criteria. Each applicant organization must:
Be responsible and accountable for all monies distributed under this activity
If a religious or church organization, the activity for which funds are requested must
be a community-based activity that serves all people in the community without
regard for membership in that religious organization (e.g., a day-care center that is
open to all children of the community)
While one application per lead institution per round will be accepted, there is no limit
on the number of applications the applicant could be included in as a partner.
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Provide at least 50% cost sharing in cash or kind for the activity.
Activities that create profit for the organization or constitute income generating
activities for its personnel
Equipment that is not explicitly required to complete the work outlined in the RFA
(equipment may be purchased only to support the sub-grant activities, and the sub-
grantee must follow U.S. Government procurement regulations)
Personnel or administrative expenses that are not related to the project; or
Activities that are financed by other U.S. Government sources or that duplicate other
USAID funding
The SARI/Energy Small Grants Program will fund a variety of projects that vary in
monetary size, with an upper limit of US $30,000. In exceptional cases, however, (for
example, projects with significant geographic reach or multiple partners within the region),
the Evaluation Committee reserves the right to consider projects with budgets above the
said amount.
The Program requires cost-share from the recipient of at least 50% of the total proposed
program cost.
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Organizations applying have the discretion to design and propose the duration of time and
commensurate levels of funding needed to carry out the project and achieve the most
impact and results.
All applications should follow the Technical Application outline specified in Section 1 of the
Application form provided below. These applications will be judged on the basis of the
following weighted criteria:
Clear explanation of how the implementation plan will contribute to meeting project
goals and component objectives (Maximum 20 points)
Feasibility of Implementation Plan (Maximum 20 points)
The Small Grants Program has a minimum threshold of 70 points for projects to be
considered for further deliberation. Applications that fall short of the threshold post
evaluation will be returned. The evaluation committee also reserves to award higher points
for a) the use of “twinning” – cross border collaboration among organizations for the
activity applied for under the grant, and b) contributory funding by the grantee that
exceeds the minimum of 50% required by all applicants).
6. Reporting Requirement
Rreporting of results is a central part of the SARI/Energy project vision. The SARI/Energy
Small Grants Program will require grantees to conduct data collection, processing, and
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analysis as a means to document experiences and lessons learned. Awardees will be
required to track direct and indirect linkages to SARI/Energy objectives, identify their own
project’s primary objective(s), identify indicators that relate directly to performance and
success of the proposed project, and report on these briefly on a monthly basis. The
application requires that each project budget include the resources to be used to collect
the necessary data for progress reporting. Recipients will also be required to submit
monthly technical reports and quarterly financial reports, and a final report following
project completion. Reporting guidelines will be provided to grant recipients upon award.
7. Submission of Applications
An application form and specific instructions for its completion is included in Sections I and
II below. Applications will be accepted in English only. Completed applications must be
received by 5:00 p.m. September 25, 2009, by email (preferable) to
shankar@winrockindia.org. If the submission is not being made electronically, the
applicant is required to submit two identical hard copies and a CD/DVD of the application
by regular mail, express mail, or by courier to the Small Grants Administrator’s office
(address below) before the deadline at the following address:
Applications not submitted in their entirety by the deadline may not be considered. Any
questions concerning this RFA should be submitted to Shankar Haldar via email at
shankar@winrockindia,org or facsimile at +91-(124)-430-3862.
8. Notification
Applicants will be notified whether or not their application has been short-listed. Short-
listed applicants may be asked to submit further information at that time to help the
Selection Committee make a final decision on whether or not the application will be
selected.
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Applications due 25 September 2009
Revised applications submitted (if A fortnight from request for revised applications
required)
Applications short listed October 2009
Awardees selected End of October, 2009
The applications along with Annexures and additional information should not exceed a total of 20
pages.
Only one application will be considered per institution per round. The Lead Applicant, in the case
of a consortium of applicants for the same grant, will receive the Grant and it will be up to the
team members to manage the funds within themselves. The Grant recipient may not sub-grant
the work to any other organization(s), unless identified as partners in the project application.
Required Certifications
The US Government requires the following standard documents for all such grants /
engagements. Drafts of these documents are available as Annexures (1 to 4) with the Request for
Application.
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Application Evaluation Criteria:
Clear explanation of how the implementation plan will contribute to meeting project
goals and component objectives (Maximum 20 points)
Feasibility of Implementation Plan (Maximum 20 points)
Applications that meet the criteria and are prepared in the proper format should be sent
electronically by email to shankar@winrockindia.org. If the submission is not being made
electronically, the applicant is required to submit two identical hard copies and a CD/DVD of the
application by regular mail, express mail, or by courier before the deadline at the following
address:
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Draft Cover Letter
Date:
FROM: TO:
<Name of contact person> Ekta Bhardwaj, SARI/Energy Small Grants Manager
<Name of Organization> Posted to: Mr. Shankar Haldar, SARI/Energy Small
Grants Administrator
788, Udyog Vihar, Phase 5
<Street Address> Gurgaon
<City> Haryana
<State> 122 001
<Postal code> India
<Country> +91-(124)-4303868 / +91-(124)-4303862
<Phone/Fax>
<Email> shankar@winrockindia.org
We, the undersigned, offer to apply to undertake the Application titled “<title of Application>” in
accordance with your Request for Application (Round –II) dated August 20, 2009. We are hereby
submitting our Application.
The amount of funds requested from SARI/Energy Small Grants Program is <in local currency>
and the cost share is <in local currency>
Yours sincerely,
(Signature)
Authorized Signatory
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SARI/Energy Small Grants Program
SECTION I:
Technical Application
(Must be completed in English)
This technical component is designed to determine the ability of the institution to clearly articulate
the programmatic and budget activities of the proposed project. Applicants must follow the outline
below in order to be considered. Organizations must demonstrate their ability to manage and
implement the proposed program that contributes directly to the SARI/Energy Small Grants
Program objectives.
The Application along with annexures and additional information should not exceed a total of 20
pages.
Part II. Information on organization and key members working on the project (max: 4 pages)
Information on applicant organization / initiative group that they have demonstrated
either by past experience relevant to the activity being proposed or through their stated
mission or strategic plan; (2 pages)
Brief profiles of the key personnel involved in the delivery of the project (2 pages)
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overall project amount and the amount, per line item, allocated for each partner
institution.
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SARI/Energy Small Grants Program
Please note this is a sample budget and you may add or delete items that do not relate to
the operations of your organization.
Total
Unit Cost-share
Line items Notes Units Amount USAID grant-share
Costs (local) *
(3X4)
1 2 3 4 5 6 7
1. Costs used in the Project
1.1. Raw materials and goods
1.2. Fuel
1.3. Spare parts
1.4. Inventory and household
Equipment
1.5. Other materials
2. Installation and other direct Project
implementation costs
3. Electricity
4. Water supply
5. Facilities operation
6. Field trip expenses
6.1. Travel cost
6.2. Lodging
6.3. Per Diem
7. Communication services
8. Transport expenses
9. Technical Expertise (if any)
10. Other expenses
_________________________
__________________________
Total Costs:
Total Estimated Costs:
Costs in Local Currency
Costs in USD
*Explanation / Justification to be provided
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Notes:
1. Item “Costs used in the Project” includes direct materials & goods costs, spare parts costs,
inventory costs used for grant project implementation.
2. Travel costs to the sites and back, which are incurred as a direct result of project-related
activities, are reimbursed in amount of and vehicle costs (except taxi expenses)
3. Communication costs shall include telephone, fax, express mail, postage, etc.
4. Technical Expertise payments are based on a monthly rate supported by
invoices/contracts for the specific service.
5. Please provide clear Bank Account details as mentioned in Annexure 5.
Since the SARI/Energy Small Grants Program is funded by the U.S. government, it is subject to
its financial rules under the Code of Federal Regulations (CFR). Match is referred to as that
portion of project or program costs not borne by the U.S. Federal Government. There are several
types of match that can be provided including volunteer services furnished by professional and
technical personnel, consultants and other skilled and unskilled labor that may be counted as cost
sharing or matching if the service is an integral and necessary part of an approved project or
program, in kind donations, and other direct funding from the sub-grantee.
Basic requirements, all of which must be met, in order for contributions, including cash and third
party in-kind, to be considered a cost share or match:
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Please see the following website under the section titled, Cost Sharing or Matching, for the full text of all required
conditions. <http://www.access.gpo.gov/nara/cfr/waisidx_00/22cfr226_00.html>.
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SECTION II:
Proof of Not-for-Profit, Non-Governmental Registration
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Annexure 1
1. By signing and submitting this application, the prospective primary participant is providing
the certification set out below.
2. The inability of a person to provide the certification required below will not necessarily
result in denial of participation in this covered transaction. The prospective participant
shall submit an explanation of why it cannot provide the certification set out below. The
certification or explanation will be considered in connection with the department or
agency's determination whether to enter into this transaction. However, failure of the
prospective primary participant to furnish a certification or an explanation shall disqualify
such person from participation in this transaction.
3. The certification in this clause is a material representation of fact upon which reliance was
placed when the department or agency determined to enter into this transaction. If it is
later determined that the prospective primary participant knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal Government, the
department or agency may terminate this transaction for cause or default.
4. The prospective primary participant shall provide immediate written notice to the
department or agency to which this application is submitted if at any time the prospective
primary participant learns that its certification was erroneous when submitted or has
become erroneous by reason of changed circumstances.
5. The terms "covered transaction," "debarred", "suspended", "ineligible", “lower tier covered
transaction," "participant", "person", "primary covered transaction," "principal,"
"application," and "voluntarily excluded," as used in this clause, have the meanings set out
in the Definitions and Coverage sections of the rules implementing Executive Order
12549. You may contact the department or agency to which this application is being
submitted for assistance in obtaining a copy of those regulations.
6. The prospective primary participant agrees by submitting this application that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any lower
tier covered transaction with a person who is debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction, unless authorized by the
department or agency entering into this transaction.
7. The prospective primary participant further agrees by submitting this application that it will
include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transaction," provided by the department or
agency entering into this covered transaction, without modification, in all lower tier covered
transactions and in all solicitations for lower tier covered transactions.
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8. A participant in a covered transaction may rely upon a certification of a prospective
participant in a lower tier covered transaction that it is not debarred, suspended, ineligible,
or voluntarily excluded from the covered transaction, unless it knows that the certification
is erroneous. A participant may decide the method and frequency by which it determines
the eligibility of its principals. Each participant may, but is not required to check the Non-
procurement List.
9. Nothing contained in the foregoing shall be construed to require establishment of a system
of records in order to render in good faith the certification required by this clause. The
knowledge and information of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business dealings.
10. Except for transactions authorized under paragraph 6 of these instructions, if a participant
in a covered transaction knowingly enters into a lower tier covered transaction with a
person who is suspended, debarred, ineligible, or voluntarily excluded from participation in
this transaction, in addition to other remedies available to the Federal Government, the
department or agency may terminate this transaction for cause or default.
(1) The prospective primary participant certifies to the best of its knowledge and belief, that it
and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any Federal department or agency;
(b) Have not within a three-year period preceding this application been convicted of or had
a civil judgment rendered against them for commission of fraud or a criminal offence in
connection with obtaining, attempting to obtain, or performing a public (Federal, State
or local) transaction or contract under a public transaction; violation of Federal or State
antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (Federal, State or local) with commission of any of the offences enumerated in
paragraph (1) (b) of this certification; and
(d) Have not within a three-year period preceding this application/proposal had one or more
public transactions (Federal, State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this application.
By:
Signature of Authorized Signatory
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______________________________
First and Last Name of Authorized Signatory
Title / Position
Organization:
Date:
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Annexure 2
For purposes of this certification, “material support and resources” includes currency or other
financial securities, financial services, lodging, training, safe houses, false documentation or
identification, communications equipment, facilities, weapons, lethal substances, explosives,
personnel, transportation, and other physical assets, except medicine or religious materials.
For purposes of this certification, “entity” means a partnership, association, corporation, or other
organization, group, or subgroup.
This certification is an express term and condition of the agreement and any violation of it shall be
grounds for unilateral termination of the agreement by PA prior to the end of its term.
By:
Signature of Authorized Signatory
___________________________________
First and Last Name of Authorized Signatory
Title/Position:
Organization:
Date:
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Annexure 3
1. I have not been convicted of a violation of, or a conspiracy to violate, any law or regulation
of the United States or any other country concerning narcotic or psychotropic drugs or
other controlled substances.
2. I am not and have not been an illicit trafficker in any such drug or controlled Substance.
3. I am not and have not been a knowing assistor, abettor, conspirator, or colluder with others
in the illicit trafficking in any such drug or substance.
Signature: Date:
Name:
Title/Position:
Organization:
Address:
Date of Birth:
NOTICE:
1. You are required to sign this Certification under the provisions of 22 CFR Part 140,
Prohibition on Assistance to Drug Traffickers. These regulations were issued by the
Department of State and require that certain key individuals of organizations must sign this
Certification.
2. If you make a false Certification you are subject to U.S. criminal prosecution under 18
U.S.C. 1001.
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Annexure 4
This Liability Waiver and Indemnification is a legally binding agreement and will be construed
broadly to provide a release and waiver to the maximum extent permissible under applicable law.
By:
Signature of the Authorized Signatory
__________________________________________
First and Last Name of Authorized Signatory
Title/Position :
____________________
Applicant Organization
Date
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Annexure 5
New Vendor Request
Email Address (for correspondence of the authorized person from the Applicant
Organization): ______________________
Banking Information
Bank Name: ______________________________________
Bank Address: ____________________________________
Bank Acct No#: ____________________________________
Address 1
Address 2
Address 3
City: State:
Province: Country:
Phone Fax
Business Classification:
Large Woman-Owned
Non-Profit HUBZone
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Foreign / Other Veteran-Owned
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