FY21 RFA72ASHA21RFA00001 (11.13.2020) CLEARED.pdf

Post Date for Comments: 11/13/2020 Deadline for comments: 12/11/2020 by 4 pm US EST Issue Date: TBD by 4 pm US EST Deadline for Questions: TBD by 4 pm US EST Deadline for Phase 1: TBD by 4 pm US EST

Subject: The American Schools and Hospitals Abroad (ASHA) Program

Worldwide Request for Application No. 72ASHA20RFA00001 for Fiscal Year 2021

Program Title: American Schools and Hospitals Abroad Program

Catalog of Federal Domestic Assistance (CFDA) Number: 98.006

Ladies/Gentlemen:

The United States Agency for International Development (USAID) is seeking applications for cooperative agreements and grants from qualified entities to implement the American Schools and Hospitals Abroad program.

USAID intends to make multiple awards as a result of this Fiscal Year 2021 (FY 2021) Request for Applications (RFA). Individual awards will be made to those Applicants who best meet the objectives of this funding opportunity based on the merit review criteria described in this RFA subject to a risk assessment. Eligible parties interested in submitting an application are encouraged to read this RFA thoroughly to understand the type of program sought, application submission requirements and selection process. Small businesses and minority service institutions, including HBCUs are encouraged to apply.

To be eligible for award, the applicant must provide all information as required in this RFA and meet the eligibility standards in Section C.1 of this RFA. This funding opportunity is posted on www.grants.gov, and may be amended. It is the responsibility of the applicant to regularly check the website to ensure they have the latest information pertaining to this notice of funding opportunity and to ensure that the RFA has been received from the internet in its entirety. USAID bears no responsibility for data errors resulting from transmission or conversion processes. If you have difficulty registering on www.grants.gov or accessing the RFA, please contact the Grants.gov Helpdesk at 1-800-518-4726 or via email at support@grants.gov for technical assistance.

USAID may not award to an applicant unless the applicant has complied with all applicable unique entity identifier and System for Award Management (SAM) requirements detailed in Section D.6.g. The registration process may take many weeks to complete. Therefore, Applicants are encouraged to begin registration early in the process.

http://www.grants.gov/ mailto:support@grants.gov

Please send any questions to the point of contact identified in Section D.1. The deadline for questions is shown above. Responses to questions received prior to the deadline will be furnished to all potential Applicants through an amendment to this notice posted to www.grants.gov.

Issuance of this notice of funding opportunity does not constitute an award commitment on the part of the Government nor does it commit the Government to pay for any costs incurred in preparation or submission of comments/suggestions or an application. Applications are submitted at the risk of the applicant. All preparation and submission costs are at the applicant’s expense.

Thank you for your interest in USAID programs.

Sincerely, Anne M. Dix Agreement Officer

Contents

SECTION A: PROGRAM DESCRIPTION 5

Funding Priorities and Programmatic Focus 5 Authorizing Legislation 7 Program History 7

SECTION B: FEDERAL AWARD INFORMATION 7

Estimate of Funds Available and Number of Awards Contemplated 7 Start Date and Period of Performance for Federal Awards 8 Substantial Involvement 8 Authorized Geographic Code 9 Nature of the Relationship between USAID and the Recipient 10

SECTION C: ELIGIBILITY INFORMATION 10

Eligible Applications: Instructions 10 Cost Sharing/Matching or Leverage 13 Other 13

SECTION D: APPLICATION AND SUBMISSION INFORMATION 14

Agency Point of Contact 14 Questions and Answers 14 General Content and Form of Application 14 Application Submission Procedures 15 Technical Application Format 17 Business (Cost) Application Format 19

SECTION E: APPLICATION REVIEW INFORMATION 26

Review and Selection Process 26 Merit Review Criteria 30 Management Approach Criterion (20% weight) 31 Commodity and Construction/Renovation Approach Criterion (30% weight) 32 Business (Cost) Review 34 History of Performance and Risk Assessment 35

SECTION F: FEDERAL AWARD ADMINISTRATION INFORMATION 35

Federal Award Notices 35 Administrative & National Policy Requirements 36 Reporting Requirements 37 Program Income 39 Environmental Compliance 39

SECTION G: AGENCY POINT OF CONTACT 39

SECTION H: ADDITIONAL INFORMATION REQUIRED SUBSEQUENT TO

APPLICATION 39

Branding Strategy and Marking Plan (BSMP) 40 Recipient Plan 40 Project Implementation Plan 40 Initial Environmental Examination (IEE) 40 Climate Risk Management (CRM) Screening 41 Applications with Proprietary Data 42

ANNEXES

ANNEX 1 PHASE 1 TECHNICAL APPLICATION (Editable PDF) ANNEX 2a PHASE 2 TECHNICAL APPLICATION COVER PAGE (Editable PDF) ANNEX 2b PHASE 2 TECHNICAL APPLICATION TEMPLATE ANNEX 3 ENVIRONMENTAL CAPABILITY STATEMENT (Editable PDF) ANNEX 4a BUSINESS (COST) APPLICATION COVER PAGE (Editable PDF) ANNEX 4b BUSINESS (COST) APPLICATION TEMPLATE (Editable Excel)

ANNEX 5 REQUIRED PHASE 2 APPLICATION DOCUMENTS LAYOUT

ANNEX 6 MANDATORY ATTACHMENTS AND MANDATORY AS

APPLICABLE ATTACHMENTS (Editable PDF)

ANNEX 7 STANDARD PROVISIONS

ANNEX 8 ABBREVIATIONS AND ACRONYMS

SECTION A: PROGRAM DESCRIPTION

This funding opportunity is authorized under the Foreign Assistance Act (FAA) of 1961, as amended. The resulting award will be subject to 2 CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, and USAID’s supplement, 2 CFR 700, as well as the additional requirements found in Section F.

1. Funding Priorities and Programmatic Focus

ASHA contributes to United States foreign policy interests by funding institutions that foster a positive image of the United States around the world. ASHA’s mandate, which is distinct from other development programs within USAID, is to focus on public diplomacy and fostering American values, ideas and practices. ASHA’s program is a critical component of the U.S.

Government’s public diplomacy efforts, which aim to further U.S. foreign policy goals and objectives, advance national interests, and enhance national security by informing and influencing foreign publics and by expanding and strengthening the relationship between the people and Government of the United States and citizens of the rest of the world. 1

ASHA provides assistance to overseas schools, libraries, hospital centers , and centers of 2 excellence to highlight American ideas and practices, to provide concrete illustrations of the 3 generosity of the American people, to further U.S. Government public diplomacy, and to catalyze collaboration between U.S. citizens and citizens of other countries.

ASHA funds grants and cooperative agreements to existing partnerships between organizations founded or sponsored by United States citizens (“U.S. Organizations,” or “USOs”) and civil society institutions overseas (“Overseas Institutions,” or “OSIs”). These partnerships enable OSIs to benefit from the expertise and experience of USOs while ensuring projects are locally owned and sustained. These partnerships also help mitigate investment and construction risk, and allow for all parties to leverage investments to maximize the potential benefits of a project.

For additional information on which partnerships are eligible to apply for ASHA funding, see Section C on Eligibility Information.

This is a worldwide program. ASHA may make awards for projects in any country other than the United States, provided that USAID activities in that country are not otherwise restricted by statute, regulation, or Agency policy. However, no less than 30 % of the Total Estimated https://www.state.gov/bureaus-offices/under-secretary-for-public-diplomacy-and-public-affairs/bureau-of-global-public-affairs/ 2 Hospital centers are institutions where medical education and research occur in addition to medical treatment, Sec. 214(b) of the FAA.

3 A Center of Excellence is an institution that can demonstrate that it builds new knowledge, fosters collaboration, advances learning and understanding on issues of importance to the U.S., and models American best practices and values. A Center of Excellence’s main objective is the dissemination of information and knowledge as opposed to conferring a degree or providing medical services. See Section C: Eligibility Information for an expanded definition.

Amount allocated to this RFA will be set-aside for Applicants whose work is primarily focused on the Middle East. For purposes of this RFA, the Middle East includes the following countries and territories: Algeria, Egypt, Iraq, Israel, Jordan, Lebanon, Libya, Morocco, Syria, Tunisia, West Bank & Gaza, and Yemen. The 30% set-aside establishes a floor and not a cap for grants to be awarded in the Middle East.

ASHA’s Strategic Vision FY 2019-FY 2023 addresses the following goals:

(1) Aligns with two components of the vision outlined in the U.S. State Department–USAID Joint Strategic Plan (2018-2022):

a. (Goal 3.3): Increase partnerships with the private sector and civil society organizations to mobilize support and resources and shape foreign public opinion

b. (Goal 2.2): Promote healthy, educated and productive populations in partner countries to drive inclusive and sustainable development, open new markets and support U.S. prosperity and security objectives

(2) Emphasizes public diplomacy and mutual understanding using a more targeted approach of awareness, attitude shift, and/or action.

(3) Aligns with cross-cutting Agency priorities of Gender Equity and Inclusion; Science, Technology, Innovation and Partnerships; The Journey to Self-Reliance; and Private Sector Engagement.

As is illustrated in the FY 2019-2023 results framework below, ASHA’s most ambitious and mandated goal is to foster mutual understanding between the people of the United States and the people of foreign countries.

https://drive.google.com/file/d/1SFcl3kn5MIGqipMnmmdgsa7ph5XtnU48/view?usp=sharing https://www.usaid.gov/selfreliance https://www.usaid.gov/work-usaid/private-sector-engagement/policy https://www.usaid.gov/work-usaid/private-sector-engagement/policy

2. Authorizing Legislation

The ASHA program provides assistance to overseas schools, libraries, and hospitals founded or sponsored by U.S. citizens as authorized in Section 214 of the Foreign Assistance Act (FAA) of 1961, as amended. ASHA builds positive relationships abroad and supports progress in the fields of health and education worldwide. ASHA builds bridges of cooperation between the people of foreign nations and the people of the United States by providing funds to schools, hospitals, and libraries overseas that demonstrate the ideas, innovations, and best practices of the United States in health and education. The ASHA program directly contributes to U.S.

foreign policy and public diplomacy objectives by fostering partnerships and promoting the best practices in health and education.

ASHA awards are subject to requirements of 2 CFR 200 and 2 CFR 700 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, as well as other requirements set forth in Section B: Federal Award and Administration Information.

3. Program History

ASHA’s roots are in foreign public engagement led by private U.S. citizens throughout American history. These roots are reflected in ASHA’s focus today on strengthening private institutions overseas that are founded or sponsored by U.S. citizens. Foreign public engagement by the non-profit U.S. private sector is a central component of America’s diplomacy—that is, communicating ideas, sharing our diverse and historic national experiences, and engaging foreign communities through collaboration and exchange.

Since its inception, ASHA has achieved a visible legacy by providing assistance to approximately 300 institutions globally and aiding in the development of innovative and state-of-the-art schools, hospitals, and libraries in more than 80 countries. ASHA’s record of contributing to and building bridges with vibrant networks of civil society institutions extends through 25 U.S. Congresses and 18 presidential administrations. ASHA currently manages a worldwide portfolio of approximately 110 awards and is an invaluable complement to USAID’s wide-ranging development work.

SECTION B: FEDERAL AWARD INFORMATION

1. Estimate of Funds Available and Number of Awards Contemplated

Subject to funding availability and at the discretion of the Agency, USAID/E3/ASHA intends to provide approximately $27,000,000 in total USAID funding as a result of this FY 2021 RFA. Of that amount, no less than 30 % of the Total Estimated Amount allocated to this RFA will be set-aside for Applicants whose work is primarily focused on the Middle East. For purposes of this RFA, the Middle East includes the following countries and territories: Algeria, Egypt, Iraq, Israel, Jordan, Lebanon, Libya, Morocco, Syria, Tunisia, West Bank & Gaza, and Yemen. The maximum amount for an individual award is $2,000,000, and there is no https://www.usaid.gov/sites/default/files/documents/1868/faa.pdf https://www.usaid.gov/sites/default/files/documents/1868/faa.pdf minimum award amount. Individual funding levels will depend on the substance and quality of applications, the number of applications received, and availability of ASHA funding.

Applications requesting more than $2,000,000 will be excluded from consideration for FY 2021 funding. ASHA generally awards between 30 to 40 cooperative agreements and/or grants each year.

2. Start Date and Period of Performance for Federal Awards

ASHA expects to fund selected applications and make awards in calendar year 2022 (as soon as funds become available). Awards for applications that include only durable commodities have a period of performance of two years from the start date of the award. Awards for applications that include construction or renovation, as defined in Automated Directives System (ADS) 303maw have a period of performance of four years from the start date of the 4 award. If the project has a combination of commodities and construction/renovations, then the period of performance is four years from the start date of the award.

3. Substantial Involvement

ASHA awards both grants and cooperative agreements. A cooperative agreement allows ASHA to have substantial involvement in project implementation. “Substantial involvement” is further defined in Automated Directives System (ADS) 303.3.11.

ASHA will generally issue grants for projects that include only commodity procurement activities, and cooperative agreements for projects that include any construction and/or renovation activities or a combination of commodity and construction and/or renovation activities . Funding may be leveraged from other sources to fund either commodities and/or 5 construction/renovations; however, ASHA will issue the applicable grant or cooperative agreement based on the types of activities ASHA funds. The nature of ASHA’s substantial involvement varies based on the nature of the project and is spelled out for each award. In general, ASHA’s substantial involvement includes:

4 “Construction” for purposes of this policy means: construction, alteration, or repair (including dredging and excavation) of buildings, structures, or other real property and includes, without limitation, improvements, renovation, alteration and refurbishment. The term includes, without limitation, roads, power plants, buildings, bridges, water treatment facilities, and vertical structures.

“Improvements, renovation, alteration and refurbishment” for purposes of this policy includes any betterment or change to an existing property to allow its continued or more efficient use within its designed purpose (renovation), or for the use of a different purpose or function (alteration). Improvements also include improvements to or upgrading of primary mechanical, electrical, or other building systems. “Improvements, renovation, alteration and refurbishment” does NOT include non-structural, cosmetic work, including painting, floor covering, wall coverings, window replacement that does not include changing the size of the window opening, replacement of plumbing or conduits that does not affect structural elements, and non-load bearing walls or fixtures (e.g., shelves, signs, lighting, etc.).

5 Please note that an application for commodity items that require installation (e.g., being structurally connected to an existing building) or may require evaluation of the existing construction and its ability to support new total loads (such as solar panels, dead loads, snow loads, winds, seismic stressors) is considered a construction project, not a commodities project. If such an application is submitted as a ‘commodities only’ project, it will not be considered for evaluation.

1. Review and approval of the Recipient’s Implementation Plan — Implementation plan 6 will cover the following areas:

● Summary of competitive procurement process for Architectural & Engineering (A&E) and Construction firms

● Timeline and plan for all mandatory ASHA approvals milestones for monitoring & evaluation, construction/renovation requirements including environmental and final construction documents.

● Description of planned capital investment warranties, such as bid bonds, performance bonds, retainage, etc.

● Construction Schedule (Gantt chart)

● Organizational Chart or Staffing Plan

● Timeline and plan for Operations & Maintenance (O&M) plan

2. Approval of Key Personnel — the USO Project Manager and the OSI Project Manager

3. Agency and Recipient Collaboration or Joint Participation — USAID concurrence with proposed architectural and engineering (A&E) firm.

4. Agency Authority to Immediately Halt a Construction Activity — The Agreement Officer (AO) may immediately halt the construction activity if specifications, as identified in the design documents, are not met. The AO may also immediately halt construction if there are serious concerns about health, safety, environment, or work quality, as recommended by the AOR or the USAID Engineer in consultation with the AOR.

4. Authorized Geographic Code

For awards resulting from this RFA of greater than $250,000, the geographic code for the procurement of commodities and services under this program is 937. This code authorizes procurement of goods with source and nationality in the United States, the recipient country, and developing countries other than advanced developing countries, but excluding any country that is a prohibited source. (Links for a list of prohibited sources and of advanced developing countries are available in ADS 310.)

For awards resulting from this RFA of less than or equal to $250,000, the geographic code for the procurement of commodities and services under this program is 935. This code authorizes procurement of goods with source and nationality in any area or country including the recipient

6 USAID approval of the Implementation Plan merely constitutes an acknowledgment of the completion of the deliverable, not a technical validation/endorsement of the Recipient’s design/construction decisions. USAID does not take responsibility for the quality of design/construction. In the event of any issues with the design or construction, USAID will hold the Recipient liable.

country, but excluding any country that is a prohibited source.

5. Nature of the Relationship between USAID and the Recipient

The principal purpose of the relationship with the Recipient and under the subject program is to transfer funds to accomplish a public purpose of support or stimulation of the ASHA program which is authorized by Federal statute. The successful Recipient will be responsible for ensuring the achievement of the program objectives and the efficient and effective administration of the award through the application of sound management practices. The Recipient will assume responsibility for administering Federal funds in a manner consistent with underlying agreements, program objectives, and the terms and conditions of the Federal award.

SECTION C: ELIGIBILITY INFORMATION

1. Eligible Applications: Instructions

Applicants must meet the following eligibility criteria (the editable form is provided in Annex 1):

● Eligibility for this RFA is restricted to any U.S. not-for-profit non-governmental entity (e.g. “NGOs,” foundations, and similar). ASHA will not accept applications from individuals or foreign entities.

● Each application must identify whether it is an applicant whose work is primarily focused on the Middle East. For purposes of this RFA, the Middle East includes the following countries and territories: Algeria, Egypt, Iraq, Israel, Jordan, Lebanon, Libya, Morocco, Syria, Tunisia, West Bank & Gaza, and Yemen. Applicants that do not identify their work as focused in the Middle East will not receive consideration for set-aside funding under this RFA. To be eligible for the Middle East set-aside, Applicants must have ten or more years of experience in the Middle East region, and have partnered with the OSI for at least the past ten years.

● Each application must clearly identify only one USO (the applicant) and only one OSI partner (the applicant’s sub-awardee). An application cannot include more than one USO, or more than one OSI. An application identifying multiple USOs, or multiple OSIs will be deemed ineligible. Please also note:

o One USO applicant may submit an application that requests funds to benefit multiple organizational units within a single OSI.

o One USO may submit separate applications for multiple OSIs.

o In cases where the OSI and the USO share the same name, the applicant must indicate in the Eligibility Checklist form whether they are the “same entity.” If the applicant answers “Yes” to “same entity,” the applicant must provide proof with the Phase 2 Technical Application (not Phase 1) that it is registered as a legal entity in the U.S. and that it is authorized to operate in the foreign country. The following types of documentation would be acceptable proof: 1) Letter of accreditation, 2) written statement from the Government on Government letterhead acknowledging the entity, or 3) the entity’s documentation showing a government stamp. For OSIs operating in contexts where submission of proof is not possible, please provide a separate explanation in the form provided.

● Each OSI may be included in only one proposal under this RFA. In other words, multiple USOs cannot submit separate applications for the same OSI, and one USO cannot submit multiple applications for the same OSI.

● OSIs must be founded or sponsored by U.S. citizens. Further, USOs must have a continuing and successful supportive formal relationship with OSIs that has lasted at least two years prior to the date of application. Sponsored means a continuing relationship that MUST include significant financial support from the USO; and may also include technical support, joint ventures, exchange programs, volunteer placement programs, faculty exchanges, fundraising or other arrangements and may include in-kind contributions. Partnerships and mutual collaborations alone are insufficient.

● USOs must be actively registered and have no active exclusions or delinquent federal debt in the U.S. Government’s System for Award Management (SAM). USOs must continue to maintain an active SAM registration with current information at all times while an application is under consideration. (Note: USO must provide verification of status in SAM in the Cover Page.) Applicants must also provide a valid DUNS number in the application as stated in Section D.6. “Business (Cost) Application Format,” subsection g “Dun and Bradstreet and SAM Requirements.”

● USOs and OSIs must submit independently audited financial statements performed by an accredited independent audit firm for a recent operating year from 2019 or later.

(See Annex 6, M1/M2 for the complete requirements concerning audits.)

● USO and OSI must not discriminate against any beneficiaries in the implementation of the award, including, but not limited to, withholding, adversely impacting, or denying equitable access to the benefits provided through this award on the basis of any factor not expressly stated in the award. This includes, for example, race, color, religion, sex, national origin, disability, age, sexual orientation, gender identity, pregnancy, genetic information, marital status, parental status, political affiliation, and veteran status.

● The OSI—even if it is the “same entity” as the USO—must be located outside the United States.

● OSIs must NOT be under the control or management of a foreign government or any of its agencies including local, regional, or national government. Control or management in this context indicates that a majority of the members of the Board of Directors are government employees or appointees or that the recipient government owns a majority interest in the organization. The receipt of financial or other assistance from a government or government agency or the observance of national educational or medical standards does not indicate the institution is under the control or management of a foreign government.

● OSIs must also meet the following eligibility requirements:

o For applications involving “schools:” The OSI must provide English language instruction or use English as the language of instruction in at least one course, and must provide post-secondary education or secondary education that serves students at the equivalent of a U.S.

sixth grade level or higher ; 7 o For applications involving “hospital centers:” The OSI must 8 provide medical education and/or conduct medical research, and model American best practices and values;”

o For applications involving “libraries:” The OSI must demonstrate promotion of English language and literature;

o For applications involving “Centers of Excellence:” The OSI must demonstrate that it builds new knowledge, fosters collaboration, advances learning and understanding on issues of importance to the U.S., and models American best practices and values. A Center of Excellence’s main objective is the dissemination of knowledge. That is to say, the Center of Excellence will likely not offer educational degrees or provide medical services; however, it will promulgate critical knowledge and learning in the form of research papers, publications, professional development training, interactive platforms or centers (e.g. visitation centers), etc. This list is not exhaustive and serves only to provide a differentiation between a Center of Excellence and other typical ASHA award recipients.

● If the project involves construction or renovation activities, the USO or OSI must submit an official copy of a title, lease or similar official documentation to prove the rights over the land, recognized within the country where implementation will take place. This documentation must be submitted with the Phase 2 Technical Application (not Phase 1). The official documentation must demonstrate a legal right to the land (to build, renovate, retrofit according to current building codes) ideally for a period of at least 20 years from the date of the application, as well as an English translation if the official copy is not in English. While applications involving a legal right to the land of 20 years (or more) will be given a greater preference, USAID is willing to consider applications that include a title, lease or similar official

7 The Proposal must target post-secondary education or higher 8 Hospitals also include Medical Centers documentation covering a shorter period of time, but such applications will be given a lower preference. If an English-language copy of the title or lease is not submitted with the Phase 2 Technical Application, the proposed application will be ineligible for further consideration.

2. Cost Sharing/Matching or Leverage

Cost share or "matching" refers to the resources a recipient contributes to the total cost of an agreement. It becomes a condition of an award when it is part of the approved award budget. It is verifiable from the recipient's records, and it can be audited. Cost share includes all cash and in-kind contributions from the recipient or third parties. Applicants may choose to include cost share in their applications; however, recipient cost share is not required for ASHA grants.

Leverage is new, non-public resources—whether money, technologies, or expertise—brought by the private sector and other non-traditional USAID partners to a partnership. Leverage is not cost share and it cannot be audited. Applicants that choose to include funds from other sources may include those as leveraged funds in their applications; however, leverage is not required for ASHA grants.

If Applicants choose to include either cost share or leveraged funds, they must ensure that those funds are clearly identified in the Summary Budget table in Annex 4b.

3. Other

Applications to support efforts to combat HIV/AIDS, tuberculosis, and malaria in countries where USAID has a Mission or other office will not be considered eligible given the availability of other international, national and U.S. Government resources available to combat these diseases.

Per Agency policy, all ASHA awards are contingent on the concurrence of the USAID Mission for the country where the award will be implemented . Proposals that do not receive Mission 9 concurrence will not be eligible for funding. Missions may withhold concurrence based on security risk (e.g., for projects in high-threat or non-permissive environments) or other factors.

See ADS 201.3.3.6. In recent years, countries including Jordan, Egypt, Iraq and Sudan have withheld concurrence for various reasons. Applicants may wish to confer with these respective Missions before submitting an application.

For construction and other capital assistance projects estimated to cost in excess of $1 million, additional requirements (e.g., a certification by USAID in accordance with section 611(e) of the FAA) may be requested of Recipients.

9 ASHA will request concurrence from Missions for apparently successful Phase 1Applications. Applicants should not request concurrence from USAID Missions. Feel free to contact us at ASHAInfo@usaid.gov if you have questions concerning specific countries.

mailto:ASHAInfo@usaid.gov

ASHA may make awards for projects in any country other than the United States, provided that USAID activities in that country are not otherwise restricted by statute, regulation, or Agency policy.

For additional Funding Restrictions, please see Section D.6.i.

SECTION D: APPLICATION AND SUBMISSION INFORMATION

1. Agency Point of Contact

Ms. Anne Dix, Director U.S. Agency for International Development Ronald Reagan Building, 5.10 1300 Pennsylvania Avenue, NW Washington, D.C. 20523 ASHAApplications@usaid.gov

(202) 712-0510

2. Questions and Answers

Questions regarding this Notice of Funding Opportunity (NOFO) should be submitted via email to ASHAApplications@usaid.gov no later than the date and time indicated on the cover letter, as amended. Any information given to a prospective Applicant concerning this NOFO will be furnished promptly to all other prospective Applicants as an amendment to this NOFO on grants.gov, if that information is necessary in submitting applications or if the lack of it would be prejudicial to any other prospective Applicant. While ASHA is available to respond to administrative questions, ASHA will not respond to technical questions about the RFA outside of this specific Q&A period.

3. General Content and Form of Application

Preparation of Applications:

Each Applicant must furnish the information required by this RFA. Use of the provided Annexes is mandatory; no modified versions of the Annexes will be accepted, except where otherwise indicated. Applications must be submitted in three separate parts: The Technical Application Phase 1, Technical Application Phase 2, and the Business (Cost) Application. This subsection addresses general content requirements applying to all applications. Please see subsections 5 and 6, below, for information on the content specific to the Technical and Business (Cost) applications. The Technical Application must address technical aspects only, while the Business (Cost) Application must present the costs and address risk and other related issues.

mailto:ASHAApplications@usaid.gov

Any erasures or other changes to the application must be initiated by the person signing the application. Applications signed by an agent on behalf of the Applicant must be accompanied by evidence of that agent’s authority, unless that evidence has been previously furnished to the issuing office.

Both the Technical and Business (Cost) Application must include a cover page containing the information detailed in Section D.5.

If Applicants submit a cover letter in addition to the cover pages, it will serve only as a transmittal letter to the Agreement Officer. The cover letter will not be reviewed as part of the merit review criteria.

Applications must comply with the following:

● USAID will not review any pages in excess of the page limits noted in the subsequent sections. Please ensure that applications comply with the page limitations.

● Application documents must be in English or have an English translation

● Use standard 8 ½” x 11”, single sided, single-spaced, 12 point Times New Roman font, 1” margins, left justification and headers and/or footers on each page including consecutive page numbers, date of submission, and Applicant’s name.

● 10 point font can be used for graphs and charts. Tables, however, must comply with the 12 point Times New Roman requirement. Indicator table in Phase 2 Application can use a 9 point font.

● Submitted via Microsoft Word or PDF formats, except budget files, which must be submitted in Microsoft Excel.

● The estimated period of performance identified in Section B of this RFA must be used in the cost application.

● The technical application must be a searchable Word or PDF format as appropriate.

● The Cost Application must include an Excel spreadsheet with all cells unlocked and no hidden formulas or sheets. A PDF version of the Excel spreadsheet may be submitted in addition to the Excel version at the Applicant’s discretion; however, the official cost application submission is the unlocked Excel version.

● Use of the provided Annexes is mandatory; no modified versions of the Annexes will be accepted, except where otherwise indicated.

Applicants must review, understand, and comply with all aspects of this RFA. Applications that fail to do so will not be evaluated further and removed from further consideration.

Applicants should retain a copy of the application and all enclosures for their records.

4. Application Submission Procedures

Applications must be submitted by email to ASHAApplications@usaid.gov. Applications submitted through www.grants.gov WILL NOT be accepted.

Applications in response to this RFA must be received by ASHA no later than the closing date and time indicated on the cover sheet/page of this RFA. ASHA will use a system-generated email timestamp to determine whether or not application materials have been submitted by the deadline. The timestamp generated by USAID’s own email system will be the relevant criterion for this determination. All applications will receive an email confirmation of receipt.

Late or incomplete applications will receive notification that they will not be reviewed or considered.

Application submissions must include the RFA number and applicant’s name in the email subject line heading. In addition, for an application sent in multiple emails, the subject line must also indicate whether the email relates to the technical or cost application, and the desired sequence of the emails and their attachments (e.g. "No. 1 of 4", etc.). For example, if your cost application is being sent in two emails, the first email should have a subject line that states:

"[RFA number], [organization name], Business (Cost) Application, Part 1 of 2".

Technical Applications for Phase 1 should submit one document labeled according to Annex 1.

Technical Applications and Business (Cost) Applications for Phase 2 must submit documents separately and clearly labeled according to the layout in Annex 5.

After submitting an application electronically, Applicants should immediately check their own email to confirm that the attachments were indeed sent. If an applicant discovers an error in transmission, please send the material again (prior to the identified closing date/time) and note in the subject line of the email that it is a "corrected" submission. Do not send the same email more than once unless there has been a change, and if so, please note that it is a "corrected" email that replaces the previous email.

Applicants are reminded that email is NOT instantaneous, and in some cases, delays of several hours occur from transmission to receipt. Therefore, Applicants are requested to send the application in sufficient time ahead of the deadline. For this RFA, the initial point of entry to the government infrastructure is the USAID mail server.

There may be a problem with the receipt of *.zip files due to anti-virus software. Therefore, Applicants are discouraged from sending files in this format as USAID/ASHA cannot guarantee their acceptance by the internet server. File size must not exceed 25 MB in a single email.

The table below outlines the phased approach of the FY 2021 Application Process.

5. Technical Application Format

The Technical Application must be specific, complete, and presented concisely. The Application must demonstrate the Applicant’s capabilities and expertise with respect to achieving the goals of this program. The Application should take into account the requirements of the program and merit review criteria found in Section E in this RFA.

The Technical Application process is in two phases; it consists of

1) Phase 1 and

2) Phase 2 (by invitation only).

1) Phase 1 Technical Application format:

Each applicant must submit a Phase 1 Technical Application (Phase 1) using the Template from Annex 1. Use of the provided Annexes is mandatory; no modified versions of the Annexes will be accepted, except where otherwise indicated. Phase 1 submissions will be reviewed by a Selection Committee (SC) according to the criteria outlined in Section E.

Applicant submissions for the set-aside will be reviewed in the set-aside pool independently from the general submissions. The Phase 1 submission format is as follows (See Annex 1 for Phase 1 Technical Application Template):

(a) Use the File Name: ‘[Full name of USO] Phase1-Tech’

(b) Cover Page, see Annex1 for content requirements (2 page)

(c) Eligibility Checklist (4 pages): Applicants must confirm compliance with all eligibility requirements identified in Section C.1: Eligibility Information. Applicants must use the Phase 1 template in Annex 1: Eligibility to complete this section. 10

10 Including SAM screenshot of applicant.

Phases Submission Attachments

Phase 1

Phase 1 Technical Application Requirements

No

Phase 2

Phase 2 Technical Application Requirements

Yes: Attachments See Annex 5

Business (Cost) Application Yes: Attachments See Annex 5

(d) Applicants may wish to include a photo or sketch related to the project.

(e) Response to the Phase 1 Merit Review Criterion (Public Diplomacy, see Section E.2.a) no more than 3 pages.

(f) The following requirement is ONLY for Applicants that are applying for the 30% set-aside: Past Performance Impact Statement (see Section E.2.a), no more than 3 pages.

No other information should be included with the Phase 1 Technical Application. Any additional sections that do not respond to the requirements of Phase 1, as outlined above, will not be considered during the technical review.

Phase 1 Technical Applications must be submitted no later than the date and time specified on the cover page.

2) Phase 2 Technical Application format:

After the Phase 1 review, only Applications that were ranked Satisfactory or above (See Section E “Overall Adjectival Rating Descriptions”) will be invited to submit a Phase 2 Technical Application. Use of the provided Annexes is mandatory; no modified versions of the Annexes will be accepted, except where otherwise indicated. Phase 2 Technical Applications will be due within 60 days of the written notification by the Agreement Officer. Phase 2 submissions will be reviewed by a SC according to the two Phase 2 Merit Criteria (Management Approach and Commodities and/or Construction/Renovation Approach), outlined in Section E. Applicant submissions for the 30% set-aside will be reviewed in the set-aside pool independently from the general submissions. Please note that an invitation to submit a Phase 2 Technical Application does not guarantee issuance of an award. The Phase 2 submission must follow the requirements of “General Content and Form of Application” in Section D3. The format is as follows (see Annex 2a/2b for Phase 2 Technical Application Template):

(a) Use the File Name: “[Full name of USO] Phase2-Tech”

(b) Cover Page (3 pages) 11

(c) Table of Contents (1 page)

(d) Management Approach (up to 6 pages)

11 Including SAM screenshot of applicant.

(e) Commodities and/or Construction/Renovation Information (6 pages for either or 9 pages for both ) 12

● Durable Commodities Information (if applicable), including Procurement Plan (up to 6 pages)

● Construction/Renovation Information (if applicable), including Implementation Plan (up to 6 pages)

(f) Attachments: See Annex 6 for a Full list of Mandatory Attachments and Mandatory as-Applicable Attachments for all Applications.

The Phase 2 Technical Application (excluding attachments) must not exceed 19 pages (for Commodities Only or Construction/Renovation Only - must not exceed 16 pages) as delineated in the above sections. Attachments do not count against the page limits. However, substantive information responding to parts (a) through (e) above should not be included in the Attachments. Attachments must only serve as supporting documentation.

6. Business (Cost) Application Format

Applicants who have been invited to submit Phase 2 Technical Applications will also be required to submit a Business (Cost) Application at the same time as the Phase 2 Technical Application per the FY 2021 Application Process table on page 16. While no page limit exists for the full Business (Cost) Application, Applicants are encouraged to be as concise as possible while still providing the necessary details. The Business (Cost) application must include costs that cover the entire period of performance, using the budget format shown above.

Prior to award, Applicants may be required to submit additional documentation deemed necessary for the Agreement Officer to assess the Applicant’s risk in accordance with 2 CFR

200.205. Applicants should not submit any additional information with their initial application.

The Business (Cost) Application must contain the following sections (which are further elaborated below this listing with the letters for each requirement):

a) Business (Cost) Application Cover Page (see Annex 4a for Cover Page requirements)

b) SF 424 Form(s)

The Applicant must sign and submit the applicable SF-424 documents. Standard Forms can be accessed electronically at www.grants.gov.

12 If submitting for Commodity Only, 6 pages are allowed. If submitting for Construction/Renovation Only, 6 pages are allowed. If submitting for both Commodity and Construction/Renovation then 9 pages total are allowed.

Failure to accurately complete these forms could result in the rejection of the application.

c) Required Certifications and Assurances

The applicant must complete the following documents and submit a signed copy with their application:

(1) “Certifications, Assurances, Representations, and Other Statements of the Recipient” document found at https://www.usaid.gov/sites/default/files/documents/1868/303mav.pdf

(2) Certificate of Compliance: Please submit a copy of your Certificate of Compliance if your organization's systems have been certified by USAID/Washington's Office of Acquisition and Assistance (M/OAA).

https://www.usaid.gov/sites/default/files/documents/1866/self_certification_guidanc e.pdf

The AO may request additional certifications as required.

d) Budget and Budget Narrative

The Budget must be submitted as one unprotected Excel file (MS Office 2000 or later versions) with visible formulas and references, and must be broken out by project year, including itemization of the federal and non-federal (cost share) amount. Files must not contain any hidden or otherwise inaccessible cells. Budgets with hidden cells lengthen the cost analysis time required to make award, and may result in a rejection of the cost application. The Applicant must ensure the budget addresses any additional requirements identified, such as Branding and Marking and federally required audits. The Budget Narrative must contain sufficient detail to allow USAID to understand the proposed items, how they apply to the program, and how the costs were determined. The Budget Narrative must be thorough, including sources for costs to support USAID’s determination that the proposed costs are fair and reasonable.

Required SF-424 Series Documents for Projects involving Commodities Only

Required SF-424 Series Documents for Projects involving Construction Only

Required SF-424 Series Documents for Projects involving Both Construction and Commodities

● SF-424

● SF-424A

● SF-424B

● SF-424

● SF-424C

● SF-424D

● SF-424

● SF-424A

● SF-424B

● SF-424C

● SF-424D

https://www.usaid.gov/sites/default/files/documents/1868/303mav.pdf https://www.usaid.gov/sites/default/files/documents/1866/self_certification_guidance.pdf https://www.usaid.gov/sites/default/files/documents/1866/self_certification_guidance.pdf

Documents Required The Budget must include the following contents, in separate tabs of an Excel spreadsheet (see Annex 4b for the templates):

(i) Summary Budget

Inclusive of all program costs (federal and non-federal), broken out by major budget category and by year and prime/sub-recipients for activities implemented by the Applicant and any potential sub-recipients for the entire period of the program.

(ii) Detailed Budget

Including a breakdown by year, prime/sub-recipient and sources of funding, sufficient to allow the Agency to determine that the costs represent a realistic and efficient use of funding to implement the applicant’s program and are allowable in accordance with the cost principles found in 2 CFR 200 Subpart E.

(iii) Detailed Budget Narrative

Budget narrative must provide a description of all cost elements proposed, basis of estimation and further detail to explain the breakout of units and unit costs. The basis of estimation must be from common sources and methods such as market research, construction estimators, previous similar projects, etc. In all cases, if there is no proof of how the estimate was derived, the budget items can be called into question.

(iv) Detailed Budget of Durable Commodities (if applicable) If the proposed project includes durable commodities, the durable commodities must be clearly broken out in the detailed budget above and included in a separate tab within the Budget Excel Document titled “Durable Commodities.” The Durable Commodities budget must match the Detailed Budget section for Commodities. Applicants seeking funding for the purchase of commodities that fail to include a full detailed list of commodities either in the detailed budget or as a separate tab will be deemed ineligible.

Recipients of awards must comply with ADS 310, Source and Nationality Requirements for Procurement of Commodities and Services Financed by USAID, and ADS 312, Eligibility of Commodities. Only eligible durable commodities may be funded by ASHA.

Budget Description

Applications may request funds to support commodities only, construction/renovation only, or both commodities and construction/renovation. The Detailed Budget and Budget Narrative must contain the budget categories and information found below, at a minimum.

● Construction-only projects require Cost Categories: A, B and/or C and E;

● Commodity-only projects require Cost Categories D and E;

● Construction plus Commodity projects require: Cost Categories A, B and/or C, D and

E.

http://www.usaid.gov/ads/policy/300/310 http://www.usaid.gov/ads/policy/300/310 http://www.usaid.gov/ads/policy/300/312

Categories A. Professional A&E Services – This includes the costs associated with the A&E firm. A&E fees are eligible so long as these fees are reasonable and directly related to the project.

This item could include additional costs for construction oversight (ASHA’s preference is that the applicant uses the same A&E firm that completed the design), Americans with Disabilities Act (ADA) compliance, environment and climate risk management services.

B. Construction – This includes all costs associated with new construction and hiring a construction company.

C. Renovation – This includes all costs associated with renovation and, if this is a renovation project only, hiring a construction company.

D. Durable Commodities – This is the cost of durable commodities and all associated costs of shipping and assembly. This must include information on estimated types of equipment, models, supplies, and the cost per unit and quantity. The Budget Narrative must include the purpose of the equipment or supplies and the basis for the estimates.

E. Program Support – Applicants can charge ASHA for the proportionate Branding Strategy and Marking Plan (BSMP) costs directly related to the award. ASHA funds can be also used to support reasonable costs of USOs and OSIs related to the expenses of federally required audits as identified in 2 CFR 700, ADS 591 and the award. ASHA will require program specific audits for all ASHA funded awards that are not required to perform a Single Audit.