American Bar Association

Rule of Law Initiative

SUBGRANT

APPLICATION

Revised November 2012

Instructions: All organizations receiving subgrant funding from the ABA must complete this form. Subgrant applications are accepted in electronic format only. Please type directly into the gray form-fields. Fields will expand automatically to accommodate additional text. To mark the appropriate checkboxes (), simply click on them. Any supporting documents provided with this application should be titled and noted as Attachment A, Attachment B, etc. Applications that are not completed entirely may result in ineligibility for funding.

  1. SUBGRANT PROPOSAL INFORMATION

This application is in response to ABA RFA number:

Proposed Project Amount: USD $

Proposed Project Start Date (mm/dd/yyyy):

Proposed Project End Date (mm/dd/yyyy):

  1. ORGANIZATIONAL INFORMATION
  1. Official Operating Name, DBA (doing business as):

Address:

Address Line 2:

City (Region): Country: Postal/Zip Code:

Phone: Fax: E-mail:

  1. Names and addresses of the three (3) principle officers (leaders) of the Organization:

1)Mr. Ms.

Last Name: First Name:

Title:

2)Mr. Ms.

Last Name: First Name:

Title:

3)Mr. Ms.

Last Name: First Name:

Title:

  1. If your organization receives, or if you anticipate receiving, more than USD $25M (million) in US federal awards in the previous or current organizational fiscal year and that amount exceeds 80% of your organizations gross revenue you must include the names and compensation of your five (5) most highly compensated officers.

Select one (1) of the following:

We do not receive or anticipate receiving $25M is federal funding.

We receive $25M or more in federal funding but the federal funding is less than 80% of our gross revenue.

We receive or anticipate receiving more than $25M in federal funds and the federal funding is 80% or more of our gross revenue.For this option you must provide the names and compensation for your five most highly compensated officers below:

1)Mr. Ms.

Last Name: First Name:

Title:

Amount of compensation (annual salary in USD): $

2)Mr. Ms.

Last Name: First Name:

Title:

Amount of compensation (annual salary in USD): $

3)Mr. Ms.

Last Name: First Name:

Title:

Amount of compensation (annual salary in USD): $

4)Mr. Ms.

Last Name: First Name:

Title:

Amount of compensation (annual salary in USD): $

5)Mr. Ms.

Last Name: First Name:

Title:

Amount of compensation (annual salary in USD): $

  1. All Organizations receiving subgrant funding from the American Bar Association are required to obtain a DUNS number. This number must be obtained before the submission of the Subgrant Application.

As part of FFATA (Federal Funding Accountability and Transparency Act), ABA and its subgrantees are required to obtain a Data Universal Numbering System (DUNS) number. Simply, this is a unique, 9-digit number issued and maintained in a database by Dun & Bradstreet (D&B), a U.S.-based corporation with a database of over 130 million companies in over 190 countries. Basically, to have such a number is no more than any basic corporation or legal entity – profit or non-profit has. You only need to provide your organization name, your address, and contact phone number.To search or retrieve information from the database, corporations must be a paid member of D&B. Paid members generally use the database to seek credit information on specific companies that they do or wish to do business with. No information about the organization’s activities, amount of funding, or sources of funds is required by D&B.

A DUNS number may be obtained from D&B by telephone (866-705-5711) or the Internet The process shouldn’t take more than 20 minutes. The number could be issued immediately or within 1 – 3 business days.

DUNS number:

  1. Organizational registration information. Please indicate if your organization is registered as a legal entity within the country you operate.

1)Yes, our organization is registered. Provide a copy of the registration certificate, if available, as an attachment.

Registration number:

Date of registration:

Place of registration:

Registration certificate is attached, as Attachment

Please provide any other important information about registration:

2) No, our organization is not registered

If not registered, please provide an explanation:

  1. What is the primary goal/mission of the Organization? If your organization has a Mission Statement and/or an Organizational Charter please include those documents as attachments to this application.

Our organizational goal/mission is:

Mission Statement is attached, as Attachment

Organizational Charter is attached, as Attachment

  1. FUNDING INFORMATION
  1. Funding History

1)Is your organization currently receiving funding from the ABA, either by subgrant or any other method of funding?

No, our organization is not currently receiving funding from the ABA.

Yes, our organization is currently receiving funding from the ABA. Provide information about the current funding you are receiving from the ABA below.

Current Project Title:

Subgrant Contract Other Funding Method

Current Project Amount: USD $

Current Project Start Date (mm/dd/yyyy):

Current Project End Date (mm/dd/yyyy):

2)Has your organization received funding from the ABA in the past?

No, our organization has never received funding from the ABA.

Yes, our organization has received funding from the ABA in the past. Provide information about the last three (3) most recently funded ABA projects below.

  1. Project Title:

Subgrant Contract Other Funding Method

Project Amount: USD $

Project Start Date (mm/dd/yyyy):

Project End Date (mm/dd/yyyy):

  1. Project Title:

Subgrant Contract Other Funding Method

Project Amount: USD $

Project Start Date (mm/dd/yyyy):

Project End Date (mm/dd/yyyy):

  1. Project Title:

Subgrant Contract Other Funding Method

Project Amount: USD $

Project Start Date (mm/dd/yyyy):

Project End Date (mm/dd/yyyy):

3)Is your organization currently receiving funding from sources other than the ABA, either by subgrant or any other method of funding?

No, our organization is not receiving outside funding.

Yes, our organization is receiving outside funding from sources other than the ABA. Provide information about the three (3) sources for which you receive the most funding (if applicable). The ABA retains the right to contact the other funding sources listed below.

  1. Organization/Company Name:

Subgrant Contract Other Funding Method

Address:

Telephone:

E-Mail:

  1. Organization/Company Name:

Subgrant Contract Other Funding Method

Address:

Telephone:

E-Mail:

  1. Organization/Company Name:

Subgrant Contract Other Funding Method

Address:

Telephone:

E-Mail:

IV.FINANCIAL INFORMATION

  1. Financial Questionnaire

Instructions: Respond to each statement by marking the appropriate “Yes” or “No” box. You may provide “Additional Information” for any “No” responses that you give. DO NOT write or type in the gray Assessment column.

STATEMENT: /

YES

/

NO

/ ASSESSMENT
(ABA USE ONLY)
1. Your organization has received a grant/award from an international organization before (grants/awardsreceived from the ABA may be included). / 0 3 5
1. Additional Information:
2. Do you agree with the following statement: Our organization hasnever been denied funding, formally sanctioned or listed as “high risk” for financial reasons by another donor. / 0 8 15
2. Additional Information:
3. Your organization has the capacity to submit detailed financial reports in English. / 0 5 10
3. Additional Information:
4. Your organization has the capacity to submit financial reports, using the ABA required forms, in Microsoft Excel. / 0 3 5
4. Additional Information:
5. Your organization has a written cash-handling policy for funds in the office or otherwise maintained outside of a bank account. / 0 8 15
5. Additional Information:
6. Your organization has a dedicated accountant/finance manager who tracks organizational funds. / 0 3 5
6. Additional Information:
7. Your organization has the capacity to account solely for funds from this grant without commingling funds from other sources. / 0 5 10
7. Additional Information:
8. Your organization has the capacity to retain, in searchable form, financial reports for three (3) years after the close of the subgrant. / 0 8 15
8. Additional Information:
9. Your organization has formal finance policies in writing. / 0 5 10
9. Additional Information:
10. Your organization has the capacity to pay all applicable taxes under relevant national law. / 0 5 10
10. Additional Information:
11. (Optional) Please include any information in this space which you feel would help us better understand your financial procedures and capacity, but which is not addressed above.You may considering providing the following documents as attachments; Tax Certificate or equivalent document, most recent annual balance sheet or audit report, organizational financial manual.

Tax Certificate or equivalent is attached, as Attachment

Annual Audit Report/Balance Sheet is attached, as Attachment

Organizational Financial Manual is attached, as Attachment

B.Banking Information

1)Does your organization have a bank account in which it can receive funds wired from the US?

Select one (1) of the following:

No, our organization does not have a bank account.

  1. Provide an explanation why your organization does not maintain a bank account:

No, our organization does not have a bank account that can receive funds wired from the US.

  1. Provide an explanation why your organization cannot receive funds wired from the US:
  2. We propose the following method as an alternative to a bank wire:

Yes, we maintain a bank account which can receive funds wired from the US.

If you answered Yes you must provide the complete information below. Failure to provide information for items a. through g. may result in a delay of funding.

  1. Beneficiary Bank:

This is the name of the bank that holds the account of the beneficiary.

  1. Bank Address:

Give the specific location and address of the beneficiary bank.

  1. Bank SWIFT Code:

This is the unique international identifier for the beneficiary bank.

  1. Beneficiary:

This is the individual or organization whose name is on the Beneficiary Bank Account.

  1. Beneficiary Account Number:

This is the specific identifying number for the Beneficiary Bank Account. Provide the IBAN (International Bank Account Number).

  1. Corresponding US Bank Name:

For international beneficiary banks include the U.S. based bank or branch which acts as an intermediary bank.

  1. Corresponding US Bank ABA # or Routing #:

This is the specific U.S. bank code identifier for the corresponding bank. This is NOT the same as a SWIFT code or account number.

  1. Text to be included with wire (if applicable):

This would be any text that the bank requires to be accompanied with any funds wired from the U.S.

  1. APPLICATION NARRATIVE/PROJECT DESCRIPTION

Instructions:The Narrative/Project Description may be included as a separate attachment in either Microsoft Word or Adobe PDF format. Alternately, the Narrative/Project Description information can be provided in the text boxes below. Check here is the Narrative/Project Description will be included as a separate attachment: as Attachment

Organizational Background (700 words maximum)

Briefly summarize the history of the organization, including the reason why it was established, a summary of achievements to date, current activities, and its historical main sources of funding.

Situational Statement (700 words maximum)

Provide background information on the current situation in the country and define the problem that the Applicant seeks to address within this context. The problem should be defined using verifiable facts and not assumptions or undocumented assertions. Applicants should take care to distinguish between the core problem and the symptoms.

Project Goals and Objectives (350 words maximum)

State the goals and objectives of the project, clearly defining what the project is designed to achieve. Goals are the anticipated broad, long-term benefits or results of the project. Objectives are measurable, time-specific results or immediate outcomes that the Applicant expects to accomplish as part of the Subgrant project. Goals and objectives must be clearly tied to the Situational Statement.

Beneficiaries (350 words maximum)

Identify the primary beneficiaries of the project as precisely as possible, including numbers, gender, occupation, ethnic group, location, etc. Also identify groups who may indirectly benefit from the project.

Strategy and Implementation Plan (1400 words maximum)

Describe the process your organization used, including involvement of its members, clients and other specific stakeholders, to decide on the best approaches and strategies for addressing the problem defined in the Situational Statement. Explain why the approach or method proposed has been chosen to address the issues described in the Situational Statement, showing why the proposed strategy is the best option. Draft an Implementation Plan to track grant activities. The Implementation Plan must describe the following:

  • Key personnel who will undertake the project,
  • Chronological sequence of activities that will be undertaken to achieve your project objectives,
  • How beneficiaries will be selected (where relevant),
  • How your organization will coordinate and/or collaborate with other organizations (e.g. the local authorities, partner NGOs, the media, etc.), and
  • A summary table of activities indicating anticipated timing is strongly recommended.

Please fill in Annex III, General Information on Partner Organizations.

Monitoring and Evaluation Plan (350 words maximum)

Monitoring and evaluation must show tangible contributions to the success of the objectives. The Subgrantee should select indicators, which are specific criteria on which it can report that reasonably measure the progress and success of the project in achieving its objectives. To the maximum extent possible, indicators must be defined in quantitative and qualitative terms that can be verified by someone other than the Subgrantee. These indicators should indicate not that a Subgrantee’s activity was implemented, but rather the effect that activity had on the target audience. Indicators should be described in clear terms. This enables the Subgrantee to know what it must strive to achieve. The monitoring and evaluation plan should have assessment activities interspersed throughout the life of the project.Please fill in Annex IV, for measuring the progress of the project.

Continuationand Sustainability (350 words maximum)

Explain your further involvement in the issue once the project is completed and describe any follow-up activities. Explain how this project will benefit you in building your constituency and how you plan to utilize the achievements (concrete results you have achieved), resources (partner relations you established), experiences or skills gained through this project in your further activities. Explain how the activities can be sustained beyond the proposed project (in both programmatic and financial aspects).

  1. BUDGET

Instructions:The Budget is to be included as a separate attachment and must be in ABA ROLI format on aSubgrant Budget Template. Check here to confirm that the budget is being submitted as a separate attachment: as Attachment

A budget is an expression in financial terms of the activities the project proposes to undertake. The required categories of expenditure are outlined below.

ABA ROLI requires that all budgets be divided into the following major categories of expenditure:

  1. Personnel-Salaries, Taxes and Fringe

These are costs associated with compensation of the Applicant’s staff such as the direct salaries, social taxes, medical insurance provided by the employer etc.

  1. Travel and Per Diem

These are travel costs associated with the Subgrant project such as airfare, ground transportation, and hotel costs for travel to a location distant from the Applicant’s offices, food (M&IE) and lodging during travel, visa costs if necessary. Please note that this category includes travel not just for the Applicant’s staff members, but also for participants and instructors in training events or other project activities, including coffee breaks.

  1. Equipment

These costs include equipment items necessary for the implementation of a Subgrant project such as computers, furniture, a generator etc. For purposes of a Subgrant, ABA ROLI regards as equipment items having an anticipated purchase cost of $1,000 or more. Item with a purchase cost below $1,000 per item should be budgeted under Supplies.

  1. Supplies

These costs include small-scale items necessary for the implementation of the Subgrant project such as pens, projectors, papers, handouts. It also includes supply costs associated with the conduct of a training event such as non-lodging conference facilities (conference room rental), materials translation, honorariums and interpreter’s fees.

5.Contractual

These costs include all of those undertaken on a contractual basis by an outside party on a for-profit basis. Examples include: contracts with a publisher to print manuals; contracts signed with expert consultants outside the organization to conduct a training, etc. Contractual costs must adhere to the bidding procedures outlined in the Procurement Guidelines of the Subgrant Agreement. Most Initiative Subgrants will not have significant contractual costs.

  1. Other Costs

These costs include all those not falling into one of the above categories. Such costs may include, but are not limited to: General office space rental costs, utility costs (electricity, e-mail, heating and gas), advertising, postage, telephone usage, wire fees. All costs listed in this category must be clearly explained in the detailed budget.

  1. Indirect Costs

These costs include any administrative overhead costs that cannot be attributed to one particular activity or project. ABA ROLI will only allow Indirect Costs when the Applicant provides a copy of their Indirect Cost Rate Agreement.

  1. Cost Share

Cost Share is the Applicant’s contribution to the award in the form of monetary contributions or donations of goods or services. Cost Share should only be included if it is required in the ABA RFA.

VII.ELECTRONIC SIGNATURE

By my electronic signature below I attest that I am authorized to submit this application, that the information provided here is true and complete to the best of my knowledge and if funding is granted the subgrant will be implemented in the manner stated within the Subgrant Agreement.

Name:

Title:

Date:

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