Attachment 2 NPI APS.pdf

Program Statement Number: 7200AA19APS00012 – Amendment No. 01 USAID New Partnerships Initiative: Conflict Prevention & Recovery Program

Procurement Sensitive

U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT

New Partnerships Initiative (NPI): Conflict-Prevention and

Recovery Program (CPRP)

ANNUAL PROGRAM STATEMENT NO. 7200AA19APS00012

Amendment No. 01

CONTENTS

SECTION I: PROGRAM DESCRIPTION 3

A. BACKGROUND 3

B. PURPOSE 5

C. PROGRAMMATIC AND GEOGRAPHIC FOCUS 7

D. WHAT IS THE PROCESS? 8

SECTION II: INFORMATION ON FEDERAL AWARDS 10

A. ESTIMATE OF FUNDS AVAILABLE AND NUMBER OF AWARDS CONTEMPLATED 11

B. START DATE AND PERIOD OF PERFORMANCE FOR FEDERAL AWARDS 11

SECTION III: ELIGIBILITY INFORMATION 12

A. ELIGIBLE APPLICANTS 12

SECTION IV: INFORMATION ON APPLICATION AND SUBMISSION 15

A. AGENCY POINT OF CONTACT 15

B. APPLICATION PROCESS 15

C. CONCEPT PAPER APPLICATION CONTENT 17

D. CONTENT OF CONCEPT PAPERS 17

SECTION V: INFORMATION ON THE REVIEW OF APPLICATIONS 21

A. MERIT REVIEW CRITERIA 21

A. FEDERAL AWARD NOTICES 22

B. TYPE OF AWARD 22

SECTION VIII: OTHER INFORMATION 26

A. FREQUENTLY ASKED QUESTIONS 26

APPENDIX A – ABBREVIATIONS AND ACRONYMS AND DEFINITIONS 27

SECTION I: PROGRAM DESCRIPTION

A. BACKGROUND

The U.S. Agency for International Development’s Bureau for Democracy, Conflict and Humanitarian Assistance (DCHA)1 is issuing this APS pursuant to the Foreign Assistance Act (FAA) of 1961, as amended. The Agency will administer any resulting awards in accordance with Part 200 of Title 2 of the Code of Federal regulations (CFR), Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards; Part 700 of Title 2 of the CFR; Standard Provisions for U.S./Non-U.S. Organizations; as well as the additional requirements in Section VI of this APS, Information on the Administration of Federal Awards.

New Partnerships Initiative (NPI)

To end the need for foreign assistance, USAID must focus on building self-reliance — defined as the ability of a country, including the government, civil society, and the private sector, to plan, finance, and implement solutions to solve its own development challenges. This approach must be the cornerstone for how we orient USAID’s awards and country partnerships.

USAID’s Effective Partnering and Procurement Reform (EPPR) process, launched as part of the Agency’s Transformation, has sought to identify concrete opportunities for working with, and investing in, a broader cross-section of development actors, being more responsive to partners’ ideas, and leveraging better the large amount of private development assistance into which the Agency has in the past had little visibility.

As part of the USAID Acquisition and Assistance Strategy, and enabling policies supported by EPPR, USAID is diversifying and changing how it partners. One of USAID’s priorities is to make it easier for the Agency to invest in new and underutilized development actors, based on the belief that engaging a larger and more diverse partner base will expand the available ideas, capabilities, and networks to address shared development challenges. USAID is changing how it partners by empowering in-country partners to lead in their own development through the adoption of fit-for-purpose awards and instruments of partnerships, increased collaboration and use of co-creative approaches, and strengthened local capacity development.

USAID’s New Partnerships Initiative (NPI) will increase our programmatic impact, based on more collaborative and adaptive partnerships, and improve measurable outcomes at the country level through the following: 1) Leveraging private development assistance to respond to United States and partner country priorities and strengthen long-term partners for the Journey to Self-Reliance; 2) Equipping and empowering long-term partners, especially development partners that are new to, or underutilized by USAID, in order to maximize the impact of American tax dollars; 3) Supporting solutions to near- and long-term U.S. and partner country priorities that will advance the President’s National Security Strategy; 4)

1 This award will be managed by the future Bureau for Conflict Prevention and Stabilization (CPS).

Identifying development solutions that will be country- and partner-driven for maximum long-term impact; and 5) Creating incentives and managing risk for expanding and diversifying USAID’s partner base so that we help to equip and fund more local and locally established partners to support country-level progress.

This Annual Program Statement (APS) for the New Partnerships Initiative: Conflict- Prevention and Recovery Program (CPRP) is a result of these efforts and hopes to serve as a springboard for specific needs USAID can help address to achieve locally-sustained results --helping countries mobilize public and private resources, strengthening local capacities, and supporting partner countries in tackling their own development challenges

Conflict-Prevention and Recovery Program (CPRP)

The need to attract and better deploy new and underutilized partners can be particularly important in countries that are at risk of, or recovering from, violence and conflict, which make up the majority of countries where USAID operates. Environments vulnerable to violence and conflict often face unique constraints, such as weak or undermined institutions, increasingly frayed social fabric, and/or the presence of spoilers who seek to exacerbate grievances or pre-existing cleavages in society. In these contexts, organizations with trust and credibility in local communities are often best-positioned to lead efforts aimed at preventing violence, resolving conflict, building peace, or addressing grievances. Similarly, in places that are emerging from conflict or crisis, formal institutions are often overwhelmed and incapable of responding, and external organizations that have not conducted an adequate conflict -analysis exercise can struggle to understand complex local dynamics (and even risk doing harm when attempting to help). Given those challenges, USAID recognizes that investing in partnerships with new and underutilized organizations with deep connections to the target communities should be at the forefront of our response in these situations.

This is not a new realization or phenomenon. As USAID realized that many assistance programs were insufficiently flexible to respond to unforeseen shocks, the Agency developed some highly effective rapid-response and stabilization capabilities. These instruments alone, however, are insufficient to meet the scale of needs around the globe. Additionally, existing responsive and stabilization capabilities have some inherent structural limitations that prevent them from providing robust financial support to local actors. That has resulted in a gap between long-term, Mission-led development portfolios and the short-term prevention and stabilization tools. This gap is often referred to as the “missing middle.” To address this problem, USAID needs more avenues through which outside organizations can propose local-and partner-driven solutions, in any sector, and faster, less-rigid processes through which all parties can collaborate on designing effective interventions.

USAID also recognizes that private funding is increasingly important in catalyzing effective responses, even in environments that are at risk of, or recovering from violence and conflict.

In terms of sheer volume, private contributions to U.S. non-governmental organizations (NGOs) total $15.4 billion annually, as compared to $33.1 billion in official U.S. development assistance during the same period. While USAID has made progress in expanding public-private partnerships, much of that effort has focused on working with traditional for-profit enterprises, without sufficient attention to attracting medium-sized U.S. NGOs (especially faith-based organizations) that have deep ties to communities overseas and function as both implementers and fundraisers. In many cases, these groups bring significant resources to bear on conflict-vulnerable environments - financial, technical, and reputational - and represent important opportunities for effective partnerships.

B. PURPOSE

New Partnerships Initiative (NPI)

The overarching goal of the NPI/CPRP APS is to empower new and underutilized partners, many of which are local entities or locally established organizations, to solve problems in any sector not adequately addressed by other USAID investments and that directly respond to the needs of conflict- affected or at risk pre-conflict communities.

NPI/CPRP Approach

● What is a “New” or “Underutilized” Partnership?

A “new” or “underutilized” partner is an organization that has received less than $25 million cumulatively in direct or indirect awards from USAID over the past five (5) years.

NPI envisions four specific forms for USAID engagement with new and underutilized partners, with each type of partnership offering a different entry point for working directly or indirectly with the partner. Indirect engagement is achieved through established partners already familiar to USAID, as defined and outlined below. Organizations only need to qualify under one of the four forms of partnership listed under this NPI/CPRP APS:

➢ Partnering Approach 1: Direct Awards to New and Underutilized Local Entities.

New and underutilized partners may apply for direct funding via specific Addenda issued under the NPI CPRP APS. Applicants are eligible if they have received less than $25 million cumulatively in direct or indirect awards from USAID over the past five (5) years.

➢ Partnering Approach 2: Direct Awards to New and Underutilized Locally- Established Partners (LEP). U.S.-based or international partners are eligible if they have (1) received less than $25 million cumulatively in USAID funding over the previous five (5) years; and (2) currently have additional, non-U.S. Government funding streams that exceed total funding received worldwide from USAID. (e.g., if an applicant has implemented $5 million in USAID funding over the previous five

(5) years, it must demonstrate having received at least $5 million in funds worldwide from sources other than the U.S. Government during the same time period).

➢ Partnering Approach 3: Mentoring Awards to organizations that provide sub-grants.

NPI recognizes the important role and capacity that “established partners” (defined as those that already have a financial relationship with USAID above the NPI thresholds established in the APS) bring to local organizations around the world.

NPI acknowledges that many local partners lack the capacity, or desire, to comply with the stringent requirements associated with direct awards from the U.S.

Government. Mentor Partnerships allow established partners to build the capacity of local entities and LEPs through sub-awards that provide them the support they need to implement programs on behalf of USAID. Through the process, local entities and LEPs are empowered to potentially meet the requirements associated with eventually becoming a USAID direct awardee. Established partners play a support role to build the capacity of new and underutilized partners (e.g., through technical oversight, compliance support, and mentoring) and will not directly assist project beneficiaries. NPI envisions two options under this approach:

○ Mentor Partnership Type 1: Local Entity Sub-Awardees That Move to Direct Awards: Established partners receiving prime awards must pass a minimum of 50 percent of the total funding of their awards to local entity sub-awardees, with a goal of moving them to qualify for direct awards. In appropriate cases, USAID might pursue prime / mentor awards with a provision for transition awards to some local entities during the life of the award.

○ Mentor Partnership Type 2: Local Entity and Locally Established Partner (LEPs) Sub-Awardees: Established partners receiving prime awards must pass between 50 and 75 percent of the total funding of their awards to local entity or locally established partner sub-awardees. The percentage should be set based on the degree of difficulty in supporting the proposed local partners which may include a mix of local entities and LEPs. An award could also have a structure in which the prime partner receives a declining percentage of the value of the award year-on-year (e.g., from 25 percent in Year 1 to 20 percent in Year 5).

➢ Partnering Approach 4: Leverage Awards to organizations that co-fund: NPI also seeks to support partnerships with new, underutilized, and established partner organizations that can develop local partner capacity through sub-awards and bring their own private (or non-U.S. Government) funding, in recognition of the important dual-role that many partners have as both implementers and fundraisers.

Organizations of all types (non-profit, private-sector, host governments, etc.) can apply. Awardees must propose additional funds worth a minimum of 50 percent of the total value of the award they seek from USAID; this cannot include in-kind contributions but can include non-Federal grants and external awards.

USAID may structure awards under this program in different ways, as discussed in Section III of this APS.

Partnerships developed under NPI-CPRP are expected to advance a country’s Journey to Self- Reliance and contribute to objectives connected to preventing and recovering from conflict, as defined in specific Addenda. USAID Missions or Bureaus (“Operating Units”) that issue Addenda have broad latitude under this program to define “prevention” and “recovery” objectives related to their specific contexts, and should not be constrained by language or illustrative approaches described in this document. Operating Units may solicit, and Applicants may propose, under this APS, work in sectors such as health, education, or livelihoods that are addressing prevention or conflict.

However, for the purposes of establishing a common understanding, Operating Units and Applicants should view “prevention” as an umbrella term that includes the prevention of violence and conflict and approaches to mitigate them, defined by an inter-agency U.S.

Government working group, as follows: efforts designed to disrupt likely pathways to escalating violence, including by enhancing or creating the capacity and will among local actors to constructively manage conflict. “Primary prevention” occurs before significant violence emerges (above normal levels). “Secondary prevention” involves preventing the escalation or spread of significant emergent violence before it becomes large-scale or widespread. Similarly, conflict mitigation encompasses efforts designed to halt the escalation and spread of existing large-scale violence, including by enhancing or creating capacity and will among local actors to protect civilians and create and engage in peacebuilding processes.

“Recovery” can also take many forms, but generally encompasses those efforts designed to respond to shocks including new or challenging disease burdens, rebuild livelihoods, reestablish citizen security, restore trust in institutions, seek accountability for perpetrators of violence, and help societies move past periods of violence or instability. Current responses to COVID-19 would qualify for this program.

● What are the basic requirements of an NPI partnership?

In addition to aligning with the specific development objectives and requirements in an Addendum, NPI partnership proposals must do the following:

1. Reflect one (1) of the following four (4) forms:

a. Direct awards to new and underutilized organizations that are local entities in the host country or countries for which the Applicant is applying;

b. Direct awards to new and underutilized organizations that are LEPs in the host country or countries for which the Applicant is applying;

c. Sub-awards to new or underutilized partners via prime awards to established partners that serve in a limited mentorship role; OR

d. Direct awards to partners that propose co-funded programs, bringing their own private / non-U.S. Government funding.

NPI partnership proposals also must reflect all three (3) of the following requirements:

1. Define a measurable impact, including measurement of the strengthening of capacity of local organizations (LEs and LEPs at any level of an award), using the Agency indicator, Capacity Building for Local Development (or CBLD-9);

2. Have an implementation plan that will achieve the proposed programmatic objectives within a 60-month period; and

3. Include a commitment to the principles of Collaborating, Learning, and Adapting:

https://usaidlearninglab.org/qrg/understanding-cla-0

C. PROGRAMMATIC AND GEOGRAPHIC FOCUS

This NPI/CPRP APS provides the broad framework for USAID’s interest in supporting partner-driven solutions, diversifying the partner base, and leveraging private development resources as described in Section I.B of this APS. This umbrella solicitation establishes the overall purpose, criteria, process, and rationale under which the Agency’s Operating Units will issue specific and to-be-determined requests (referred to as Addenda).

This NPI/CPRP APS describes the process through which organizations can work with USAID to achieve sustainable development outcomes, results, and impact. This APS itself is *not* a request for concepts. USAID is under no obligation to review general concepts submitted under this overall program statement, or to provide feedback for such submissions.

USAID will *only* accept applications for awards under the NPI/CPRP based on specific guidance provided through separate Addenda, issued by USAID Mission, Bureau, or Independent Office (B/IO) under this overall NPI-CPRF frame.

USAID will express specific programmatic and geographic priorities through individual Addenda, issued on an as-needed basis, which reflect the particular programmatic or geographic focus of a USAID Mission, or B/IO. This approach will ensure that specific Addenda reflect the objectives and nuances of each unique environment, and that USAID Missions or B/IOs are in a position to review and issue awards for those applications (with assistance from USAID Washington when necessary).

D. WHAT IS THE PROCESS?

USAID has outlined the process through which potential applicants may apply under potential Addenda in Section IV of this APS. The diagram in Figure 1 below is a summary:

Extensive Partnership: Co-Creation and Shared Responsibility

To foster sustainable and transformational development impact in unstable or post-recovery countries, NPI/CPRP awards shall entail extensive partnering and collaboration between USAID Missions or B/IOs and the Applicant from design to implementation. Ideally, the applicable USAID Mission or B/IO will identify and define jointly with the Applicant the development problems to tackle in the program, and then collaborate to determine whether and how to solve those problems and achieve the greatest degree of measurable, sustainable impact. USAID Missions or B/IOs share risks and responsibilities with the Applicant, and both work together to mobilize, leverage, and apply more effectively each other’s respective assets, expertise, and resources.2 Awards should be co-created, co-developed, and co-implemented. This means that, rather than telling Applicants how USAID wants to solve a problem, the Agency presents a challenge and solicits the best ideas for how to address it, and works from concept to issuance and then management of awards in an iterative, participatory, and collaborative process.

Do No Harm (DNH)

Throughout a Concept Paper (and subsequent application), an Applicant should reflect thoughtful consideration of any risks that could result by bringing together conflicting parties, and should provide sufficient explanation of how it will establish and monitor appropriate safeguards to avoid intensifying the conflict or creating harmful situations for participants.

DNH should not be an isolated discussion in a Concept Paper or subsequent application; Applicants should address it holistically, especially if they successfully complete co-creation and are invited to submit a full application.

Any activity implemented under this APS will become part of a local conflict or post-conflict context. Thus, Applicants should analyze the impact of planned activities with regard to how they will affect the local conflict or post-conflict environment, and how the environment will affect activities. It is not satisfactory to simply indicate the program will “Do No Harm.”

Thoughtful analysis and specific examples of how an Applicant will integrate DNH measures into all activities is necessary. Applicants should explain how the proposed program will not exacerbate tensions in a way that will spark further violence or, at the very least, explain how the applicant will mitigate against any risks3, and ensure the program will not place individuals or communities at greater risk.

Applicants should also describe how they plan to monitor (perhaps through indicators) and adapt their DNH strategies and approaches to ensure DNH throughout all stages of design, implementation, and monitoring and evaluation.

SECTION II: INFORMATION ON FEDERAL AWARDS

This program is authorized in accordance with the Foreign Assistance Act (FAA) of 1961, as amended. Issuance of this Program Statement and/or related Addenda do not constitute an award commitment on the part of the U.S. Government, nor do those commit the U.S.

Government to pay for any costs incurred in the preparation or submission of questions, comments, suggestions, or an application. Applicants submit Concept Paper applications at their own risk, and all preparation and submission costs are at their expense, unless otherwise noted in specific addenda.

2 Refer to Parts 200.205, 200.207 of Title 2 of the CFR and ADS Chapter 303.3.9 for additional information.

3 https://www.usaid.gov/policy/risk-appetite-statement

This APS is not a request for Concept Papers. Applicants must provide Concept Papers in response to, and in accordance with the instructions provided in, a specific Addendum.

Specific information and instructions for awards under this APS will appear in individual Addenda.

USAID intends that this APS will provide for full-and-open competition for responsible, qualified Applicants.

A. ESTIMATE OF FUNDS AVAILABLE AND NUMBER OF AWARDS CONTEMPLATED

The NPI/CPRP APS is not supported by specific funds. Any funding for proposed programs under this APS will come through the specific Addenda issued by USAID Missions or B/IOs.

Proposed Concept Papers, as submitted to the appropriate Addendum, should meet minimum and maximum application funding amounts as described in each Addendum.

B. START DATE AND PERIOD OF PERFORMANCE FOR FEDERAL AWARDS

Concept Papers must offer a period of performance in accordance with the guidance provided in an Addendum. The initial period of performance must be 60 months or less. USAID anticipates making the first awards within six (6) months after the effective date of the first Addendum.

C. TYPE OF INSTRUMENT

Awards that result from this APS may take the form of a grant (including but not limited to a fixed-amount award) or cooperative agreement (including, but not limited to, framework agreements or Leader with Associates awards). Each Addendum will define the types of award instruments available for potential partners.

[END OF SECTION II]

SECTION III: ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

NPI defines “Implementing Partners” as any organization, either U.S. and international non-governmental organizations, that can design and implement assistance activities outside the United States. All potential Applicants are eligible to submit a Concept Note, provided they follow all requirements and instructions provided in the individual Addendum to which they are applying. Each Addendum may further restrict eligibility if the Mission or B/IO determines it is in its best interest.

To be eligible, all Implementing Partners must be legally registered entities under applicable law. Individuals, unregistered, or informal organizations are not eligible to be Implementing Partners.

New and underutilized organizations that are local entities in a host country:

The central purpose of NPI is to diversify USAID’s partner base to incorporate more creative and innovative approaches to support governments, civil society, and the private sector to help partner countries on their Journey to Self-Reliance capable of planning, financing, and implementing solutions to their own development challenges.

Therefore, USAID strongly encourages applications from “new partners,” defined as organizations that have not previously received financial assistance from USAID. NPI also highly encourages “Underutilized Partners” to submit applications. These partners are defined under NPI as organizations that have received less than $25 million in funding cumulatively from USAID over the past five (5) years (either through direct awards or indirect awards) and, in the case of locally-established partners, have additional, non-U.S. Government funding streams that exceed total funding received worldwide from USAID over the past five (5) years.

Applicants must comply with applicable local laws, including on taxation. USAID advises prospective Applicants to consult local counsel on these issues in the Concept Paper phase.

Direct awards to new and underutilized organizations that are locally-established partners (LEPs) in the host country:

NPI also recognizes that many U.S.-based or international partners have invested heavily in establishing local chapters of their organizations in a number of countries that are fully registered, and operate independently. Importantly, these organizations have not relied on USAID funding for their continued operations, and will continue to operate after the completion of the award under this NPI/CPRP APS and its Addenda.

NPI defines “underutilized partners” as organizations that have received less than $25 million from USAID over the past five (5) years (either through direct awards or indirect awards such as sub-grants from other entities that are receiving USAID assistance). Additionally, to qualify under this form of engagement, underutilized entities must demonstrate non-Federal funding that exceeds the total USAID funding they receive worldwide (e.g., if an applicant has received $5 million in USAID funding over the last five (5) years, it must demonstrate at least $5 million in non-U.S. Government funds worldwide over the last five (5) years).4 Such funding can include private or non-U.S. Government official donor sources.

NPI is also premised on the notion that not all circumstances warrant direct awards to new or underutilized partners. NPI holds that established partners can provide important learning and mentorship to new and underutilized partners. Therefore, this APS allows for two (2) circumstances under which all other partners who are not new or underutilized (called “established partners”) are eligible to submit applications.

Sub-awards to new or underutilized partners via prime awardees that are serving in a limited mentorship role:

First, in cases in which established partners have identified specific new or underutilized local entities or locally established partners that cannot, or prefer not, to pursue direct USAID funding by choice or circumstance, the established partner can submit a Concept Note to propose a program in which it serves in a mentorship or support role. In the support role, an established partner will advise and build the capacity of new and underutilized partners (e.g., through technical oversight, compliance support, and mentoring). The role of the prime is not intended to be providing direct assistance to project beneficiaries. NPI intends for mentor primes to establish sub-awards that will focus on empowering local organizations to achieve clear and visible outcomes and impact in their communities through two types of sub-awards:

1. Local Entity Sub-Awardees That Moves to a Direct Award: Prime awardees must pass a minimum of 50 percent of the total funding of their awards to local sub-awardees, with a goal of moving them to qualify for direct awards. In appropriate cases, USAID might pursue prime / mentor awards with a provision for transition awards to some local entities during the life of the award.

2. Local Entity and Locally Established Partner Sub-Awardees: Prime awardees must pass between 50 and 75 percent of the total funding of their awards to sub-awardee local entities or LEPs. The percentage should be set based on the degree of difficulty in supporting the proposed local partners which may include a mix of local entities and LEPs. An award could also have a structure in which the prime partner receives a declining percentage of the value of the award year-on-year (e.g., from 25 percent in Year 1 to 20 percent in Year 5).

These two types of sub-awards are not mutually exclusive. Prime partners can use both approaches in their proposals to meet the different needs of sub-award partners.

Direct awards to partners to leverage private/non-U.S. Government funding:

NPI also seeks to fund awards with new or established partners that can develop local partner capacity through sub-awards and leverage their own private (or non-U.S. Government) funding, in recognition of the important dual-role that many partners have as both implementers and fundraisers. Organizations of all types (non-profit, private-sector, host

4 Funding requested through this NPI APS does not count towards the thresholds for U.S. Government assistance described in this APS. Total assistance from the U.S. Government only includes funds currently or previously awarded.

governments, etc.) can apply. Awardees must propose additional leveraged funds worth a minimum of 50 percent of the total value of the award they seek from USAID; this cannot include in-kind contributions, but can include non-Federal grants and external awards.

Second, new or established partners are also encouraged to submit Concept Papers, with or without specific new or underutilized partners, in which they can demonstrate a significant amount of leveraged funding. Organizations of all types (non-profit, private-sector, host governments, etc.) can apply. Awardees must propose additional leveraged funds worth a minimum of 50 percent of the total value of the award they seek from USAID; this cannot include in-kind contributions, but can include non-Federal grants and external awards.

Leveraged funding will not be added or included in any USAID award (as is the case with “matching” requirements), nor will it be subject to USAID audit or oversight. Any specific cost-sharing or matching requirements for entities will appear separately in individual Addenda.

Concept Papers submitted to Addenda issued under this NPI/CPRP APS must follow all instructions in this Program Statement, and should address the Merit Review criteria in Section V. Since USAID is soliciting Concept Papers that conform to specific structures for “partnerships,” the following graphic depicts several types of submissions that USAID is accepting under this APS. Each Addendum will provide limits, if any, on the number of proposals a single organization or individual may submit.

Organizations or individuals that do not meet the stated criteria listed above under “Direct awards to new and underutilized organizations that are local entities in the host country or countries in which the applicant is applying, ” “Direct awards to new and underutilized organizations that are locally established partners (LEPs) in the host country or countries in which the applicant is applying,” “Sub-awards to new or underutilized partners via prime awardees that are serving in a limited mentorship role,” or “Direct awards to partners to leverage private / non-U.S. Government funding,” are not eligible to apply.

There is no requirement for cost-sharing or matching in this APS. Addenda issued by Missions or other USAID Operating Units may require cost-sharing or matching. Instructions on such cost-sharing or matching will appear in each Addendum.

[END OF SECTION III]

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SECTION IV: INFORMATION ON APPLICATION AND SUBMISSION

A. AGENCY POINT OF CONTACT

Questions and Answers: Applicants should submit all questions regarding this APS in writing to the following:

Joy Burriss, Agreement Specialist

U.S. Agency for International Development

Office of Acquisition and Assistance

1300 Pennsylvania Avenue, N.W., UA-11.2.3H

Washington, D.C. 20523

Tel: 202-916-2700

Email: jburriss@usaid.gov

As a reminder, this NPI/CPRP APS is *not* a request for Concept Papers. USAID is under no obligation to review general concepts submitted under this overall APS, or to provide feedback on such submissions (although it is the Agency’s practice to do so). The Agency will *only* accept applications for awards under the NPI/CPRP APS based on specific guidance provided through separate Addenda, issued under this overall NPI APS, which will include all required application and submission information.

The Agency will furnish promptly to all prospective applicants as an amendment to this APS any information concerning this APS given to a particular prospective Applicant, if that information is necessary in submitting applications, or if the lack of it would be prejudicial to any other prospective Applicant.

Applicants must submit Concept Papers to the e-mail address Point of Contact specified in each Addenda.

B. APPLICATION PROCESS

Each Addendum will outline a three-phase process:

PHASE 1: SUBMISSION OF CONCEPT PAPERS

A Concept Paper is a short document, not to exceed five (5) pages, in which the Applicant provides an overview of its idea. USAID has provided a template in Paragraph C below.

Applicants may submit a Concept Paper in response to an active Addendum to the NPI/CPRP APS at any time. USAID will acknowledge the submission of Concept Papers within three (3) business days. USAID will review Concept Papers against the merit-review criteria detailed in the NPI/CPRP APS and the relevant Addendum. Each Addendum to the NPI/CPRP APS will provide a time-table for reviewing Concept Papers against merit review.

USAID will provide individual results to each applicant within 20 workdays following the meeting of the Selection Committee or Technical Evaluation Committee. USAID will notify potential Applicants of significant changes in the review-process timeline through a written amendment to the relevant Addendum. USAID, at its sole discretion, reserves the right to review Concept Papers out of cycle.

USAID anticipates three (3) possible results from the Concept Paper merit-review process:

● Conditional Acceptance - Invited for Co-Creation: The Concept Paper generally meets the objectives of the Addendum, and receives strong ratings against the merit-review criteria in the NPI/CPRP APS and the relevant Addendum. Additional clarity is needed or opportunities for consortia to strengthen the application should be pursued. USAID invites the Applicant to engage in Co-Creation to address the weaknesses or opportunities it may identify. If the applicant concludes the Co-Creation process successfully, USAID will follow with a request for the submission of a full application.

● Evergreening - If USAID identifies opportunities to strengthen or fund an application by connecting with other USAID mechanisms, other potential funders, and/or external partners, USAID may make that application available internally or externally for appropriate consideration.

● Rejection: The Concept Paper does not meet the objectives of the relevant Addendum, and receives inadequate ratings against the merit-review criteria in the NPI/CPRP APS and the relevant Addendum. The USAID Mission or B/IO rejects the Concept Paper.

PHASE 2: CO-CREATION.

Applicants whose Concept Papers USAID invites for Co-Creation will engage with the Agency to work through areas of weakness, respond to questions, and clarify aspects of the concept that are not clear. The Co-Creation process builds on a Concept Paper that has strength and potential; it is not intended to supplant Applicants’ initiative, or build new concepts from the ground up. During this phase, Applicants will work with USAID technical teams to address issues such impact indicators and the evaluation of their application. USAID envisages a product of the Co-Creation process that is a strong draft project description for the full application phase, as well as quantitative and/or qualitative indicators or performance milestones.

If an Applicant does not succeed at the Co-Creation phase, the process ends for that Applicant.

PHASE 3: FULL APPLICATION.

If Applicants successfully complete Co-Creation, USAID will request a full application based on the consensus reached during Phase 2. At this point, USAID will issue a Request for Application (RFA) to the Applicant. The RFA will provide complete instructions for the submission of a full application. The full application will detail, and expand upon, the concept developed through co-creation. The full application also requires the Applicant to complete specific U.S. Government forms, certifications and representations, and to provide some additional information USAID will need to move forward with an appropriate implementing instrument.

There are reasons why an Applicant could be unsuccessful at the full application phase. For example:

● The detailed program does not satisfy the criteria and definitions provided in the Concept Paper;

● A partner that is bringing additional, non-Federal, funds to the proposal drops out, or does not materialize, and the Applicant no longer meets the partner-eligibility criteria in Section I.B.;

● The Applicant cannot provide evidence that it is a legal entity in the country or countries for which it is submitting a proposal; or

● USAID has other concerns after conducting due diligence or pre-award surveys.

USAID reserves the right to make no award under this APS or any Addendum at any stage of the process.

C. CONCEPT PAPER APPLICATION CONTENT

D. CONTENT OF CONCEPT PAPERS

Applicants should submit only the information and materials requested, and in the format specified below.

- Concept Papers MUST be written in the English language, and submitted electronically via e-mail in Word 2000 or Word 2003 text-accessible, or Adobe PDF.

- Concept Papers shall not exceed five (5) pages, using 1” page margins with 12-point font.

Applicants must follow the format below.

- Clarity and specificity are important, as is ensuring that the narrative in the Concept Paper addresses the points outlined in this APS and any Addendum used to review the Concept Paper. During the merit-review process, USAID may reject for funding those Concept Papers that are vague or merely restate language found in this APS or any Addendum.

- USAID will not accept Concept Papers that are more than five (5) pages in length.

Attachment 1: Concept Note Template

[TITLE] IN [COUNTRY]

CONCEPT NOTE

A. Application Overview (Please complete the following questions below:)

1. Proposed Activity Name/Title: __________________________________________

2. Explanation of Qualification Under Eligibility/Engagement Listed in Global

NPI APS Section I & Section III (Please provide as a separate document the completed Attachment 1, Eligibility Certification):

3. Proposed Period of Performance (i.e., start date and end date):

4. Total Program Amount (in USDs):

5. Total Amount of Funding Requested from USAID and total amount leveraged (if applicable), including from what source(s):

6. Applicant Organization Name: __________________________________________

7. Applicant Contact Person (name, phone, e-mail):

8. Full Address for Applicant Organization: _________________________________

9. Type of Organization (e.g., US, non-US, multilateral, private, for-profit, non-profit) date of incorporation, etc.):

10. (If Applicable) Name(s) of Partner(s) Organization(s) (Applicants that are applying as Mentors will name Subpartners here;: ____________________________

B. Concept Introduction: (approximately ½ page). Identify the problem you will address, linking it to one or more of the Addenda focus areas and briefly describe your intervention for tackling this problem. Describe why there is a strategic need for your concept, how it differs from alternatives, and any relevant partner-specific considerations for the problem or solution. Explain how the program advances the country’s Journey to Self-Reliance.

C. Beneficiaries: (approximately ½ page). Describe the types of benefits the intervention will produce and the types and range of people who will benefit from this intervention. Was the concept designed with end user input? Has it or can it be adapted to reach women and men, indigenous people, and youth? How can the concept be scaled up to reach more people?

D. Geographic Location: (approximately ½ page). In what location(s) (e.g, Province, city) are you proposing to operate under this proposed partnership? Describe key elements of and actors in the geographic location(s) in which you propose to work. What are the biggest challenges and opportunities? Please provide a brief description of previous work experience in this geographic location.

E. Intervention approach: (approximately one [1] page) Building on the introduction, propose a Theory of Change for how this intervention will produce the desired impact in the focus area(s) identified. Briefly describe critical barrier(s) or problem(s), related to your focus area(s) that your concept addresses. Be sure to include information describing why the approach is creative or innovative, how it is potentially scalable, how capacity strengthening is factored into achieving outcomes, evidence to support it as a tested solution or as an intervention likely to have a significant development impact, and how it will be sustained.

Include discussion of resiliency of this idea to conflict, the potential for this idea to create and/or resolve conflicts and how the idea and partners can adapt to these circumstances.

F. Intervention results: (approximately one [1] page) As specifically as possible, describe the anticipated outputs, outcomes, results and/or impact of the proposed intervention. What are the key, quantifiable metrics related to your project’s performance or expected performance? What is the scale needed to achieve results sufficient to address the problem?

What are the baselines that you will measure before the project begins?

G. (If applicable) Partner roles: (approximately ½ page) Describe and define the role of other entities in the partnership. This must include a description of the leveraged funding, if necessary, or sub-partners if submitting a mentorship program proposal. It must describe how this meets the criteria for outline in Section I.B of this Program Statement).

H. Applicant capacity: (approximately ½ page). Describe organizational capacity – technical, managerial, financial, etc. – to carry out the proposed intervention. What is the business model for your innovation? Have you worked in this sector and/or geographic area?

Signature of individual with authority to obligate your organization.

ELIGIBILITY CERTIFICATION FORM

Please check the appropriate box to certify eligibility for the type of partner that applies:

(For Partners Applying as New/Underutilized Local Partner) We certify that, in line with the criteria enumerated in Section III, Sub-Section A, our organization has not received more than $25 million in direct or indirect funding from USG over the last five (5) years.

(For Partners Applying as New/Underutilized Locally Established Partners) We certify that, in line with the criteria enumerated in Section III, Sub-Section A, our organization has not received more than $25 million in direct or indirect funding from USG over the last five (5) years and can demonstrate non-federal funding equal to or greater than the award value of this proposal.

(For Partners Applying for a Limited Mentorship Award) We certify that, in line with the criteria enumerated in Section III, Sub-Section A, our organization will use Mentoring Partnerships Type 1 and/or 2 Awards to provide sub-awards.

(For Partners Applying as Co-Funded) We certify that, in line with the criteria enumerated in Section III, Sub-Section A, our organization can demonstrate 50% of award value of this proposal using non-federal funds.

[END OF SECTION IV]

SECTION V: INFORMATION ON THE REVIEW OF APPLICATIONS

A. MERIT REVIEW CRITERIA

USAID Missions and B/IOs will review for merit all Concept Paper applications that comply with the instructions in this Program Statement.

Each Addendum will specify merit-review criteria appropriate for their context. All Addenda must include the following review criteria:

Merit Review Element Definition

1. Degree to which program provides new or improved access to communities, constituencies, or key stakeholders affected by violence via new or underutilized local and/or locally-established partners.

The extent to which the proposed concept uses one or more new or underutilized partners (local or LEPs) to increase access to target communities, constituencies, or key stakeholders (on a scale of 1

- 3; 1) No additional benefit towards the accomplishment of the program’s objectives; 2) Some additional benefit toward the accomplishment of the program’s objectives; or 3) Significant additional benefit toward the accomplishment of the program’s objectives.)

2. Building Partner Country Capabilities and Commitment toward advancing the journey to self-reliance.

The extent to which the proposed Concept Note’s proposed forms of engagement increase the likelihood that local and locally established partners or the affected communities themselves, will be able to continue the program’s activities and/or maintain its achievements without funding from USAID (on a scale of 1 - 3; 1) No or minimal chance of sustainment; 2) Some chance of sustainment; or 3) Significant chance of sustainment.)

Each Addendum will provide a schedule for notifying Applicants of the conditional acceptance or rejection of their Concept Paper.

[END OF SECTION V]

SECTION VI: INFORMATION ON THE ADMINISTRATION OF FEDERAL

AWARDS

A. FEDERAL AWARD NOTICES

The USAID Agreement Officer (AO) is the only individual who may legally commit the U.S, Government to the expenditure of public funds. Applicants are prohibited from charging or incurring costs to the proposed award prior to receipt of either a fully executed award or a specific, written authorization from the AO. USAID will administer awards in accordance with Parts 700 and 200 of Title 2 of the CFR, and Standard Provisions for U.S./non-U.S.

organizations.

B. TYPE OF AWARD

USAID has a number of assistance award types to choose when providing funds under this Annual Program Statement to successful Applicants. The type of award and terms and conditions included therein depends upon the type of recipient organization , programmatic factors, and other due-diligence matters (including responsibility determinations.) The following is a matrix of commonly used awards, their general prescription for use, and key characteristics.

Award Type: Generally Used When: Characterized by: More information:

Fixed- Amount

Award (FAA)

Milestones can be defined;

Adequate pricing information is available;

Recipient has limited financial and management capacity.

Must be a grant – not a cooperative agreement.

Advantages for both USAID and the recipient (when used appropriately). Milestones with fixed amounts assigned to each. Focus is on outputs and results; limits risk for both parties. USAID pays the grantee is when the Agency concurs the milestone is completed.

Minimizes administrative burden on USAID and the grantee, since payment is not cost-reimbursement.

Assists in building the institutional capacity of new grantees.

https://www.u said.gov/ads/ policy/300/30 3saj

Cooperative Agreement

Recipient has adequate financial and management capacity to operate on a cost-reimbursement basis with the U.S. Government

Recipient is free to pursue its sponsored program, with USAID’s Agreement Officer’s Representative (AOR) involved in defined technical areas (referred to as “substantial involvement”). Such involvement may include approval of annual work plans, approval of key personnel, authority to halt a construction project, and joint collaboration and participation (defined in the award and specific to the project) https://www.u said.gov/ads/

Agreement/

Grant with Continuing Application

Recipient has adequate financial and management capacity to operate on a cost-reimbursement basis with the U.S. Government and USAID will engage in and

The characteristics are the same as above, but the “continuing application” feature of this award means that implementers will “re-apply” for continuation of the program through an oral presentation of the annual report of previous years’ results and work plan for the next year. This type of award allows USAID to extend fund multiple years/an expanded program based on the success of the efforts and program during the initial year of the award.

and expand the program easily, since this feature is built-

in. It also allows USAID to end programs that do not meet the potential or have the impact described during the Concept Paper and original award phase.

Agreement/

Grant with Adaptive Modules

Recipient has adequate financial and management capacity to operate on a cost-reimbursement basis with the U.S. Government, and USAID will engage in and fund multiple years/an expanded program based on the success of the efforts and program during the initial year of the award.

A grant that uses a modular construct that consists of a series of blocks of work or modules. Each module stands alone and produces some result, which could be administrative or technical. They could be deliverables or simply indicators that the proposed intervention(s) is/are on the right track.