Solicitation_BAA-MOSO-SBAR-2019_Amendment__1_Tracked_Changes_ver.pdf

USAID BAA-MOSO-SBAR-2019 Amendment 1

Issuance Date: November 30, 2018

Announcement Open Period: November 30, 2018 - November 29, 2019

This announcement may be amended at any time during the Open Period to incorporate changes. Interested U.S. small businesses are responsible for checking FBO.gov for amendments.

Preliminary Concept Papers Due: February 20March 27, 2019 09:00 (CET)

Launch Webinar (registration required): Tentative: Dec 12, 2018 See Section X

Pre-Proposal Conference (registration required):Tentative: TBDJan 23, 2019 See

Section X

Questions Due: February 419, 20109 See Section XI

USAID Small Business Applied Research Pilot

Federal Agency Name: The United States Agency for International Development (USAID)

Opportunity Title: Small Business Applied Research Pilot (SBAR)

Activity Title: USAID Small Business Applied Research Pilot - 2019

Opportunity Number: BAA-MOSO-SBAR-2019

Authority: This Broad Agency Announcement (BAA) is issued under Federal Acquisition Regulation (FAR) 35.016(c). This is not a FAR Part 15 Procurement.

NAICS: North American Industrial Classification System (NAICS) code 541715 – Research and Development in the Physical, Engineering, and Life Sciences (except Nanotechnology and Biotechnology) – is assigned to this BAA. The applicable size standard is 1,000 employees.

USAID reserves the right to change the applicable NAICS code to correspond to the specific technical solution proposed.

Additional Solicitation Requirements: Use links provided or visit https://www.usaid.gov/SBAR.

1. Introduction Webinar Registration (required to participate) Link: https://goo.gl/forms/HGPAqpjrnfPgGWsC3

2. Pre-Proposal Conference Registration (required to attend) Link: https://goo.gl/forms/YFoUyPRPXi4RXRjf2

3. Solicitation Questions - technical and process questions

Link: https://goo.gl/forms/NfPN6SYYmNVVfyy13

4. Preliminary Concept Paper Page 1 - Organization Data (required) Link: https://goo.gl/forms/TaizxDqGleNG0HMp2

5. Organization’s Past Performance Data (required) Link: https://goo.gl/forms/xQEoSXt1YCi9WPkV2

Other USAID Opportunities: For information about other opportunities to work with USAID, visit USAID’s public website https://www.usaid.gov/work-usaid. See also USAID’s open solicitation for Development Innovation Ventures, a grants program: https://www.usaid.gov/div

Other Federal Resources: The U.S. Commercial Service is the trade promotion arm of the U.S. Department of Commerce’s International Trade Administration. U.S. Commercial Service trade professionals in over 100 U.S. cities and in more than 75 countries help U.S. companies get started in exporting or increase sales to new global markets. Visit https://www.trade.gov/cs/

Contents I. Overview 3

II. Eligibility 3

III. Problem Statements with Expected Results 4

IV. The Broad Agency Announcement Award Process 4

V. Specific Rights Reserved for the Government under this BAA 7

VI. Information Protection 7

VII. Required Preliminary Concept Paper Content 8

VIII. Required Preliminary Concept Paper Format and Delivery 9

IX. Evaluation Methodology and Criteria 10

X. Introductory Webinar and Pre-Proposal (Pre-Concept) Conference 11

XI. Submissions of Questions – Technical and General Process 12

Addendum #1: CAMBODIA – Local Organizations – Movement Towards Independence 13

Addendum #2: CAMBODIA - Civic Tech to Strengthen Accountability for Public Services/Solid Waste 15

Addendum #3: CAMBODIA - Civic Tech to Strengthen Accountability for Public Services/One Window Service Offices 18

Addendum #4: LIBERIA - Proof of Concrete Waterproof Roads 21

Addendum #5: LIBERIA - Bricks for Development 22

Addendum #6: LIBERIA - Mold-smart Paint 24

Addendum #7: ZAMBIA - District Governance Strengthening 26

I. Overview

USAID’s Small Business Applied Research (SBAR) pilot is a field-based initiative that establishes a streamlined and unique pathway for the Agency to expand its access to U.S. small businesses for solutions to some of the world’s most daunting development challenges.

Through this Broad Agency Announcement (BAA), USAID seeks to tap emerging solutions in cutting-edge technology, new scientific applications, products, services, and methodologies that are aligned with USAID strategies, and are readily adaptable for impact in the countries in which USAID implements development programs. Specific needs are identified in Section III and described in more detail in the Addenda.

Eligibility for this solicitation is restricted to U.S. small businesses. USAID invites all qualified U.S. small businesses to submit a Preliminary Concept in response to one or more of the problem statements found in the Appendices to this BAA. While past performance such as the successful implementation of a federal research and development (R&D) program, including participation in a Small Business Innovation Research (SBIR) Program, will be evaluated, prior experience with the U.S. Government is not required. Note that USAID does not have an SBIR program and will not be issuing SBIR awards as a result of this solicitation.

This solicitation is a consolidation of problem statements submitted by participating USAID offices, including overseas Missions and USAID offices in Washington, DC. Any resulting awards will require that solutions be implemented in the respective countries. U.S. small businesses are encouraged to identify local resources with which to partner or subcontract in order to improve the feasibility of implementation and foster local commitment to success.

This solicitation will be amended from time-to-time to add or remove problem statements, change due dates, or provide other important information regarding the solicitation. Prospective offerors are responsible for checking FBO.gov for these amendments.

II. Eligibility

This solicitation is set aside for U.S. small businesses, as defined by FAR Part 19 and applicable Small Business Administration (SBA) regulations. All small businesses must be determined to be responsive to the BAA and responsible to perform the final award. When a small business concern would otherwise be selected for award but is considered not responsible, the SBA Certificate of Competency procedure shall be followed.

As further discussed in FAR Part 19 and SBA regulations, a U.S. small business must:

● Be organized for profit;

● Have a place of business in the U.S.;

● Operate primarily within the U.S. or make a significant contribution to the U.S.

economy through payment of taxes or use of American products, materials, or labor;

● Be independently owned and operated;

● Not be dominant in the field of operation in which it is bidding on government contracts;

● Be a sole proprietorship, partnership, corporation, or any other legal form; and

● Meet the applicable SBA size standard for the assigned NAICS code.

Additional information regarding the qualifications for small business is located at:

https://www.sba.gov/contracting/getting-started-contractor/qualifying-small-business.

III. Problem Statements with Expected Results

Problem statements that comprise this solicitation may include submissions from USAID Missions and USAID offices based in Washington, DC. Each respective office will manage its own evaluation, negotiations, and the award of any contracts resulting from the composite solicitation.

Addendum #1: CAMBODIA - Local Organizations – Movement Towards Independence Addendum #2: CAMBODIA - Civic Tech to Strengthen Accountability for Public Services/Solid

Waste Addendum #3: CAMBODIA - Civic Tech to Strengthen Accountability for Public Services/One

Window Service Offices Addendum #4: LIBERIA - Proof of Concrete Waterproof Roads Addendum #5: LIBERIA - Bricks for Development Addendum #6: LIBERIA - Mold-smart Paint Addendum #7: ZAMBIA - District Governance Strengthening

IV. The Broad Agency Announcement Award Process

The BAA process allows selected small business concerns and USAID to discuss and negotiate contract award parameters, ensuring that small businesses have the opportunity to adapt R&D solutions for the international context as necessary in order to achieve success in the resulting demonstration projects.

Introduction to BAA requirements

Awards issued under this solicitation will be for Applied Research or Development, as those terms are defined in FAR 35.001. The definitions are restated for convenience below:

“Applied research” means the effort that:

(a) normally follows basic research, but may not be severable from the related basic research;

(b) attempts to determine and exploit the potential of scientific discoveries or improvements in technology, materials, processes, methods, devices, or techniques; and

(c) attempts to advance the state of the art. When being used by contractors in cost principle applications, this term does not include efforts whose principal aim is the design, development, or testing of specific items or services to be considered for sale; these efforts are within the definition of “development,” given below.

“Development” means the systematic use of scientific and technical knowledge in the design, development, testing, or evaluation of a potential new product or service (or of an improvement in an existing product or service) to meet specific performance requirements or objectives. It includes the functions of design engineering, prototyping, and engineering testing; it excludes subcontracted technical effort that is for the sole purpose of developing an additional source for an existing product.

In addition, FAR 2.101 defines “basic research” as “research directed toward increasing knowledge in science. The primary aim of basic research is a fuller knowledge or understanding of the subject under study, rather than any practical application of that knowledge.”

The amount of resources made available under this BAA will depend on the concepts received and the availability of funds from USAID and other resource partners.

USAID may engage in discussions with small businesses at any stage of the process, but these discussions do not obligate USAID to make an award.

The evaluation process under this BAA has the following three stages:

1. STAGE 1 - SUBMISSION AND REVIEW OF PRELIMINARY CONCEPT PAPERS

Preliminary Concept Papers must address the required content described in Section VII and be delivered in the format required in Section VIII. Preliminary Concept Papers will be evaluated in accordance with the evaluation criteria described in Section IX.

Each Preliminary Concept Paper must address a discrete problem statement (See Addenda 1- 6). Offerors may submit more than one Preliminary Concept Paper in response to a problem statement and may respond to more than one problem statement.

USAID will review and evaluate Preliminary Concept Papers using a team of scientific and technical peers adhering to the evaluation criteria below. USAID may select for further consideration those small businesses that are determined to have met the eligibility requirements and offer compelling solutions based on the evaluation criteria.

Some organizations that submit a Preliminary Concept Paper may not be invited to proceed to Stage 2. Those organizations that are not selected to continue to Stage 2 will be notified accordingly.

2. STAGE 2 - NEGOTIATIONS AND FINAL CONCEPT PAPER

After USAID has selected Preliminary Concept Papers for further consideration, USAID representatives will notify and invite selected Offerors to elaborate on their solution, and may provide redirection, comments, and questions. This is expected to be an iterative, collaborative process. Offerors may be invited to discuss certain potential award parameters such as the level of effort and contract objectives, period of performance, and budget.

All directions for the development of a Final Concept Paper will be provided by the respective Mission or participating USAID office. The Final Concept Paper will form the basis for the contract’s performance work statement or other work description format. For exceptional Preliminary Concept Papers, USAID may opt to forego the requirement for a formal Final Concept Paper, and streamline and accelerate award discussions, negotiating award parameters directly from Concept content with the U.S. small business.

Unless provided otherwise, costs incurred by the Offeror to prepare Concept Papers or participate in negotiations with USAID are at the Offeror’s expense and may not be charged as a direct cost to a resulting contract; however, USAID is committed to keeping costs to a minimum. Small businesses should be prepared for the possibility of tele- and video-conferencing as a cost-efficient alternative to on-site discussions.

When communicating with USAID staff overseas, small businesses should be mindful of time zone differences, potential communication challenges, and delays stemming from international holidays and other interruptions.

3. STAGE 3 - AWARD DETERMINATION

Not all negotiations and Final Concept Papers considered during Stage 2 will necessarily result in awards. USAID will review evaluation recommendations and make a determination whether to move forward with an award based on the Final Concept Paper or other co-created contract description. If the final solution narrative is determined to demonstrate a valid and compelling innovation to address the Problem Statement, the Mission’s Contracting Officer will assess the small business’s responsibility and identify the appropriate contract type to facilitate project implementation.

Request for Additional Information. Throughout this iterative process, USAID may request additional information from the Offeror concerning its technical approach, capacity, management and organization, past performance, and final budget, as well as representations and certifications, as needed.

Final Review and Negotiation. The USAID Contracting Officer will engage in a final review, contract negotiation, responsibility determination, cost/price evaluation, and other steps as needed prior to award. Except as stated below, if the prospective small business awardee and

USAID cannot agree to the contract terms, USAID may cancel the negotiation and award process at no cost to the Government.

Award. Award decisions will be made by the Contracting Officer. The basis for selecting proposals for funding shall be the evaluation criteria below, including technical considerations, importance to agency programs, and funding availability. Cost/price realism and reasonableness shall also be considered to the extent determined appropriate by the Contracting Officer. The standard clauses or provisions for awards are generally prescribed by law and regulation and vary by contract type. Information regarding clauses and provisions will be offered to the prospective small business awardee during negotiations.

V. Specific Rights Reserved for the Government under this BAA

The Government, through USAID, reserves specific rights, in addition to the rights described elsewhere in this document or by law or regulation, including:

1. The right to award multiple awards, a single award, or no awards.

2. The right to make award without discussions, or to conduct discussions and/or negotiations, whichever is determined to be in the Government’s interest.

3. The right to accept concept papers in their entirety or to select only portions of concepts for award.

4. The right to select for award a contract type that is appropriate to the specific development context, partner relationship, and proposal selected for award.

5. The right to request any additional, necessary documentation upon initial review. Such additional information may include, but is not limited to, a further detailed concept paper, budget, and representations and certifications.

6. The right to fund concept papers in phases, with options for continued work at the end of one or more of the phases.

7. The right to remove any organization from the BAA process if USAID determines it is no longer in the best interests of the Government to proceed with the organization.

VI. Information Protection

Through this initiative, USAID seeks to facilitate research and development that will lead to innovative, and potentially commercially-viable, solutions. In recognition of the sensitive nature of Offerors’ information, USAID will work with businesses to protect intellectual property.

All Concept Papers, Preliminary and Final, must be free of any intellectual property that the Offeror wishes to protect from disclosure outside of USAID, as the Concepts may be shared with USAID partners and stakeholders, including other federal agencies, outside subject matter experts, and non-U.S. government representatives, as part of the evaluation process.

However, once an organization has been identified as a presumptive awardee, organizations may work with USAID to identify and further protect proprietary information that may be incorporated into the contract.

If USAID further engages with a business regarding its submission, the parties can negotiate further intellectual property protection for intellectual property arising from the contract. Recognizing that an objective of this program is to allow for the development of small business concerns that provide innovative solutions for international development, USAID anticipates that it will agree not to disclose data delivered under any resulting contract outside the Government (including disclosure for procurement purposes) without permission of the contractor.

VII. Required Preliminary Concept Paper Content

Small businesses may submit a Preliminary Concept Paper in response to any one or more of the Problem Statements of interest, and may submit more than one unique Preliminary Concept Paper for any one Problem Statement. Each Preliminary Concept paper must stand alone and be fully responsive to the respective Problem Statement.

Preliminary Concept Papers may not exceed seven (7) pages in length, and must abide by the following content limitations:

Page 1 Cover Page must include the following information:

1. BAA Number USAID BAA-MOSO-SBAR-2019 with the current amendment number, if any.

2. Addendum Number (Problem Statement number) and Addendum Title

3. Short, unique concept title

4. Organization Name, contact name, phone number, e-mail, and website address

5. DUNS number and proof of SAM.gov registration (e.g., status screenshot)

6. Proposed project dollar value

7. Proposed project duration (number of months)

8. Small Business Innovation Research (SBIR) program status, if any (e.g., “active” or

“complete” or “n/a”)

9. Self-certification as small business. For example, “This concept is submitted with the self-certification that this organization is a small business in accordance with the standards established for NAICS 541715.”

10. In addition, complete data entry of this information in this form:

https://goo.gl/forms/TaizxDqGleNG0HMp2. See also https://www.usaid.gov/SBAR.

On pages 2-6, each Preliminary Concept Paper must:

1. Briefly describe the applied research or development concept and how it relates to solving the problem/challenge and the potential to have a significant impact. If appropriate, set up the hypothesis as an “if/then” statement. For example, elaborate to fill in ‘If [concept specifics] is implemented, then [problem specifics] will be impacted in this way [elaborate]’.

2. Cite how the concept fits within the definition of applied research or development in FAR PART 35.001.Demonstrate the applied research or development objective; that is, how the concept exploits scientific discoveries or improvements in technology, materials, processes, methods, devices, or techniques, advances the state of the art, or uses scientific and technical knowledge in the design, development, testing, or evaluation of a potential new product or service (or of an improvement in an existing product or service).

3. Demonstrate the feasibility for implementation in the international development context described in the Problem Statement. Include relevant performance that demonstrates feasibility of the concept. Describe where has it worked and what adaptations may be necessary for the proposed context. Include any information about your organization’s active or prospective partnerships with businesses in the host country that would contribute to feasibility and foster local commitment to success.

4. Address mission-specific evaluation criteria, if any was identified in the Problem Statement Addendum.

5. Provide succinct information on the organization’s experience and capacity to deliver the solution, including partner and subcontractor information, if any.

6. As part of the Preliminary Concept Paper submission, organizations are directed to complete data entry of past performance information in this form:

https://goo.gl/forms/xQEoSXt1YCi9WPkV2. See also https://www.usaid.gov/SBAR.

PLEASE BE SURE TO COMPLETE ONE FORM PER PROJECT, CONTRACT,

GRANT, SUBGRANT, SUBCONTRACT, or other type of award or activity. Be prepared to provide information such as project titles, award numbers, or other identification of recent projects for similar work, particularly in similar international contexts; dollar value;

and clients’ contact information. Indicate any experience with SBIR. Prior experience on a US Government contract or grant is not an eligibility requirement for this solicitation.

If no past performance information is submitted, USAID may check other sources and/or may assume the organization has no prior related experience to report. USAID reserves the right to check references regarding the organization’s performance from any source.

On Page 7, provide a brief budget including:

1. A simple budget table. Offerors may use the sample provided with this solicitation or other format as appropriate to the respective Concept.

2. A short budget narrative justification explaining line items and calculation rationale.

3. In narrative or table, indicate the proposed period of performance.

VIII. Required Preliminary Concept Paper Format and Delivery

1. Format: Preliminary Concept Papers: must be in English, portrait orientation, no more than seven (7) pages in length as described in Section VII, single-spaced, 11 point font, and in .docx (MS Word) format.

2. The electronic file name must follow this naming convention:

[Addendum #] [small business name] [short unique concept title].docx

SAMPLE: 1 My Small Business water monitor.docx SAMPLE: 1 My Small Business water pouch.docx SAMPLE: 2 My Small Business wood chipper.docx

3. Delivery: Individual Preliminary Concept Papers must be submitted electronically by e-mail for each Problem Statement of interest (See Addenda). Each e-mail must include the subject line “Preliminary Concept Paper for Addendum [insert Addendum Number]”. Each e-mail must be submitted by the due date and time as specified in this BAA.

Addendum # and Title E-mail Address Addendum #1: CAMBODIA - Local Organizations – Movement Towards Independence sbarps1@usaid.gov

Addendum #2: CAMBODIA - Civic Tech to Strengthen Accountability for Public Services/Solid Waste sbarps2@usaid.gov

Addendum #3: CAMBODIA - Civic Tech to Strengthen Accountability for Public Services/One Window Service Offices sbarps3@usaid.gov

Addendum #4: LIBERIA - Proof of Concrete Waterproof Roads sbarps4@usaid.gov Addendum #5: LIBERIA - Bricks for Development sbarps5@usaid.gov Addendum #6: LIBERIA - Mold-smart Paint sbarps6@usaid.gov Addendum #7: ZAMBIA - District Governance Strengthening sbarps7@usaid.gov

These e-mails are for the purpose of Concept Paper submissions only. Please send general questions to sbar@usaid.gov.

IX. Evaluation Methodology and Criteria

Methodology Concept Papers, Preliminary and Final, are not evaluated against other Concept Papers, rather, evaluations are solely based on the merits of the solution, whether the proposed solution successfully addressed the Problem/Challenges based on the evaluation criteria set forth herein. USAID may limit the number of Concept Papers selected for further consideration.

Preliminary Concept Paper Evaluation Criteria

Preliminary Concept Papers will be evaluated against minimum eligibility requirements (Factor

1) and other equally-weighted technical factors. Costs will not be evaluated until the Final Concept Paper stage, but if the proposed budget exceeds the parameters established for each Problem Statement as stated in the Addendum, the submission will be considered non-responsive and will not be further considered for award.

The following factors and criteria will be used in the evaluation of Preliminary Concept Papers.

Additional Final Concept Paper criteria, if any, are indicated in each Problem Statement Addenda.

Factor 1: Eligibility

1. Organization is a small business for the applicable NAICS code. (pass/fail)

2. The submission is responsive to solicitation requirements. (pass/fail)

3. Concept meets FAR 35.001 definition for research and development. (pass/fail)

Factor 2: Past Experience and Current Capacity (Past Performance)

Degree to which organization and teaming partner(s), if any, demonstrate current experience or successful past performance performing recent (within three years) comparable work through contracts, grants, or cooperative agreements. Note that past performance on a U.S.

Government-funded project is not required for a concept to be considered in response to this solicitation. Organizations that lack past performance will receive a neutral rating for this factor.

Factor 3: Technical Merit

The Concept is compelling as a feasible solution to the Problem Statement with high potential for successful results in the international development context.

Factor 4: Addendum-Specific

Any additional addendum-specific criteria found in the Problem Statement Addenda.

Final Concept Paper and Award

Offerors will be notified if they are selected for further consideration. USAID will invite selected small businesses to submit Final Concept Papers and at that time, will provide guidance on content according to the respective strategy, funding availability, and other considerations. All Addenda-specific Final Concept evaluation factors and criteria are found in the Problem Statement Addenda in this solicitation. USAID may at its option proceed directly to negotiate award parameters with a small business that has submitted a concept of interest in lieu of requesting a Final Concept Paper when the Preliminary Concept and other evidence support an accelerated award process.

Evaluation Processing and Award Lead Time Evaluation processing and award lead times are influenced by many factors, and can vary across USAID Operating Units. It may take up to 180 days following receipt of a Preliminary Concept Paper for a small business to be contacted regarding its submission.

X. Introductory Webinar and Pre-Proposal (Pre-Concept) Conference

a. Introductory Webinar

A pre-recorded introductory Webinar may be accessed through at the following link:

https://ac.usaid.gov/p3bz3ur7ieho/?launcher=false&fcsContent=true&pbMode=normal

Adobe Connect is required.

USAID will host an introductory webinar to brief interested U.S. small businesses on the solicitation. This event is tentatively planned for Wednesday, December 12, 2018. Advance registration by December 7, 2018 is required to receive webinar details.

The link to register for the webinar is https://goo.gl/forms/gczVYWO8FoZQmC3F2. See also available at https://www.usaid.gov/SBAR. Complete one form per registrant. Be prepared to provide the following information: (1) name of organization; ( 2) name of representative; (3) position or title; and (4) email address.

All confirmed registrants will be notified by e-mail of the final date and time of the webinar.

Therefore, please be sure to enter your e-mail information correctly in the registration form.

USAID will not consider, respond to, or acknowledge registration by e-mail or telephone, nor accept late registrations.

b. Pre-Proposal Conference

USAID plans to will host the equivalent of a pre-proposal conference to brief interested U.S.

small businesses and provide an opportunity for questions. This event is tentatively planned to be hosted for January 23, 2019 in Washington, DC in February. Advance registration is required for in-person and telecon participation by no later than WednesdayFriday, February 8 January 9, 2019, at noon EST.

Due to space limitations, there is a cap of 75 total small business representatives that may attend the conference in person. We will allow up to two attendees per organization, space permitting, after accommodating one registrant from each interested small business.

Registrants will be accepted in the order of registration, on a first-come, first-served basis. The opportunity for telecon participation will be provided.

The link to register for the pre-proposal conference is https://goo.gl/forms/FuUqtkm4SZNo3lao2.

See also https://www.usaid.gov/SBAR. Complete one form per registrant. Be prepared to provide the following information: (1) name of organization; ( 2) name of representative; (3) position or title; (4) email address; and (5) mode of participation, in-person or telephone.

All confirmed registrants will be notified by e-mail of the final date and time of the conference.

Therefore, please be sure to enter your e-mail information correctly in the registration form.

USAID will not consider, respond to, or acknowledge registration by e-mail, telephone, nor accept late registrations. If you require special accommodation to register for the pre-proposal conference due to a disability, please contact sbar@usaid.gov.

XI. Submissions of Questions – Technical and General Process

All questions are due by February 194, 2019. Offerors are required to submit questions through the form accessed through this link: https://goo.gl/forms/NfPN6SYYmNVVfyy13. See also https://www.usaid.gov/SBAR. To report broken links and other data entry problems, please contact sbar@usaid.gov.

XII. Addenda

Addendum #1: CAMBODIA – Local Organizations – Movement Towards Independence

a. Background and Context:

USAID/Cambodia has been working with and through local organizations for many years. The 2014-18 Country Development Cooperation Strategy (CDCS) stated that USAID will continue to develop the capacity of Cambodian organizations to implement local development solutions, prioritizing entities that are the most critical to Cambodia’s development. Local organizations have the potential to become key players in helping USAID/Cambodia achieve their development goals. These organizations have a firm understanding of the realities in Cambodia and are well positioned to work within the constraints and maximize the opportunities of Cambodia.

USAID is currently in the process of reorienting it policies, strategies and program practices through a “Journey to Self-Reliance” which pursues the goal to end the need for foreign assistance and in the programs we implement support our partners’ journeys to self-reliance.

While self-reliance focuses on the country wide level the application to local actors means they are to plan, finance, and implement solutions to their own development challenges.

One problem facing many Cambodian organizations is that they are many times characterized as lacking capacity to effectively manage funding as well as programmatic development. More importantly these same organizations lack the strategy and skills necessary to identify potential markets or revenue streams to enable them to be a viable going concern independent of outside donor funds.

USAID/Cambodia is interested in developing a path to self-reliance for local organizations who contribute to USAID’s development goals. The Offices of Public Health & Education and Food Security & Environment have multiple organizations that are contributing to the development goals of USAID. Some of the organizations are USAID partners and some are not partners but work in the sectors to achieve desired results. As USAID’s priorities have shifted in some sectors, some local partners have been “graduated” from USAID assistance to other donor financing while others no longer become viable. Building organizational capacity and potential for sustainability would not only help achieve desired results but would increase the overall ability of the country to move toward self-reliance.

Context information available through the Cambodia CDCS at https://www.usaid.gov/cambodia/cdcs

b. Problem Statement:

Local organizations lack the organizational and technical capacity necessary to effectively manage funding and develop strategies to become self-reliant. Interventions are needed to:

• Identify current organizational capacity gaps in administrative and programmatic areas

• Develop solutions to the identified capacity gaps

• Enable the organization to identify potential revenue sources

• Empower the organization to develop strategies to capitalize on potential revenue sources

c. Priority Rationale:

This activity aligns with USAID/Cambodia’s strategic priorities. Strengthening local organizations is an integral part of of the Mission development objectives and overall strategy. This activity also supports the USAID initiative of “The Journey to Self Reliance”.

a. Previous Interventions:

USAID/Cambodia has previously made awards to build the capacity of implementing partners and selected sub awardee organizations. The capacity efforts were primarily in the area of financial and administrative support. One of the main goals of the capacity efforts was to enable the organizations to effectively manage USAID funding. The initiative was successful in that specific gaps in capacity were identified and interventions and training was implemented to fill those gaps. Overall the organizations had better systems in place to effectively manage the award and reduce the risks to the US Government.

In analyzing the effectiveness of the interventions it became clear that many of the organizations were dependent on donor funding, either from USAID or another organization. It was felt that each organization would be better equipped to operate and continue as a going concern if they could develop alternative revenue sources to operate the organization. While some effort was made to this end the strategic thinking needed and ability to analyze markets was not envisioned in the scope of the award.

Report on capacity of local organizations https://pdf.usaid.gov/pdf_docs/PA00T7Q6.pdf

b. Expected Results:

1. Increased organizational and programmatic capacity in targeted organizations

2. Increased impact of local organizations with less USAID and other donor funding

3. Increased participation of local organizations in targeted sectors

4. Ability of target organizations to move towards self-reliance

c. Budget Range: $500,000 - $3,000,000

d. Accepting Concepts for implementation periods of between: 1 – 3 years

e. Additional Evaluation Criteria:

There is no additional Mission-Specific evaluation criteria for this Addendum.

Addendum #2: CAMBODIA - Civic Tech to Strengthen Accountability for Public Services/Solid Waste

Over the last several years, Cambodians’ fundamental freedoms have been restricted, independent media shuttered, and criminal prosecutions used to intimidate government critics.

Cambodia has also edged closer to one-party rule, outlawing the main opposition political party, allowing the ruling party to sweep the 2018 legislative elections and to seize more than a third of council seats won by opposition candidates in commune council elections in 2017.

The crackdown has stymied civic participation in Cambodia, weakening public accountability for health, education, water, sanitation and other public services. Responsible authorities at the local level -- where many service functions are delegated -- are nevertheless under pressure to make service improvements. They are said to tolerate citizen complaints about service quality, despite limits to dissent. The ability of citizens to exercise their rights to petition the government for improved service delivery is, however, limited by scant or inaccessible government information or by the closing of normal channels for civic feedback to government.

“Civic tech” is not a panacea for unaccountable government. It has however been shown to help citizens analyze and report information, putting authorities on notice to fix service delivery bottlenecks. Tools that use new technologies or adapt technologies -- from AI to mobile apps to crowdsourcing and other communications platforms -- can help generate and disseminate useful information that creates incentives and pressures which prompt officials to action.

Conditions that favor a civic tech approach include the country’s youth bulge -- two-thirds of Cambodia’s population is under the age of 30, one-quarter are between 14 and 30 -- and the rapid utilization of tech among a youth cohort that favors interconnectedness, as evidenced by their use of Facebook and online news (e.g., Voice of America) over state media. Add to that, the growing smartphone (~19 million) and internet use (~8.5 million).

Can civic tech tools be developed, adapted and utilized in Cambodia in ways that stimulate citizen participation, especially young people, in an environment that discourages or attempts to control or suppress criticism of government? Can tech tools be used to foster information-sharing that leads to increased accountability for and improvement in service delivery in Cambodia’s restricted civic space?

The statement below include a potential area for tech-enabled social accountability: waste management. USAID is seeking expandable small business solutions to address the challenge.

Solid Waste

Cambodia’s rapid population growth due to industrialization has led into a rapid rise in the production of solid waste and other hazardous industrial, medical, construction and agricultural waste. Poor waste collection and disposal -- including overuse of incineration -- has become a major health hazard, responsible for malaria and other diseases, causes ecosystem damage and plays a role in recurrent floods, blocking waterways and drainage systems.

The partial decentralization of waste management functions in Cambodia has left responsible local governments either unaware of their responsibilities or unequal to the task of managing a growing waste problem. For these and other reasons, the Cambodian Government and Cambodian citizens have identified improving waste management as a high priority.

A contributor to this multifaceted problem is the lack of information on waste and its potential health hazards. On this element, civic tech might play a constructive role. A citizen-centric platform, tool or interface between citizens and waste management providers, could ameliorate information scarcity by providing channels for citizens to report, in real time, waste issues and hazards (open dumping, uncollected waste, loose or burning trash). This information, if public, could prod officials to coordinate a more efficient response.

Any tool/platform should allow reports to be submitted easily and efficiently, and validated, updated and reported daily. It should use geolocation information and allow uploaded data to be transmitted and shared. It should track service provider response times for each reported incident and it should be capable of collecting data (e.g., on average response times) and analyzing or visualizing any data that might be helpful in generating service improvement. The tool should allow tracking of public health hazards (e.g. informal dump sites) for authorities to locate and remove them

The tool/platform should generally allow citizens to hold officials/service providers responsible for managing waste. It should generally allow citizens to act as an integral elements of the system, to notify officials and contractors/ service providers of problems, to help officials/service providers monitor services, respond to complaints and improve services. The tool should be scalable and expandable from pilot areas to other districts and provinces in Cambodia.

This opportunity focuses on engaging citizens, nongovernmental organizations and private sector associations. It is important to note that recent U.S. legislation prohibits assistance for the government of Cambodia, at any level. Solutions must embody civil society or private-sector ownership, though access to information should be publicly available (including for use by the Cambodian government, among others). Local organizations with an interest in reforming waste management include CSARO, Mlup Baitong, COMPED, CEPA Cambodia, among others.

c. Priority Rationale:

The activity contributes to USAID/Cambodia Mission Objective of “Strengthening credible voices to promote fundamental democratic principles and human rights.” This proposed intervention also supports the 2017 National Security Strategy priority that seeks to “extend the influence of the United States abroad by promoting the fundamental American values of democracy and governance.” This activity is in line with USAID/Cambodia’s strategic priorities.

d. Previous Interventions:

USAID has piloted a civic tech in Cambodia, under its Development Innovations project, to improve flood management and health services. These tools have achieved service improvement results but have yet to achieve sustainable results in terms of accountability.

USAID has also, in recent years, invested successfully in civic tech in other countries. For recent examples of the use of civic tech and excellent research regarding its limitations in producing accountability, see Making All Voices Count http://www.makingallvoicescount.org.

e. Expected Results:

Applicants should propose solutions using AI, digital ICT and other technologies that can be deployed in and adapted innovative ways to Cambodia. Solutions should be capable of generating information that enables active groups and citizens to participate in accountability networks, as watchdogs and as advocates for improved services.

Proposed solutions also should enable citizens to generate and report data/information that prompts officials to address public service shortfalls, strengthen the capacity of community groups to hold local governments accountable in one or more of the following provinces:

Battambang, Siem Reap, Kampong Thom, Kampong Cham, and Prey Veng. Proposed solutions must be able to generate reliable and accurate data that can be used to monitor changes over time to service delivery.

USAID expects the following results:

1. Increased public awareness about public services provided by local governments

2. Increased access to information about government budgets, processes, plans, services

3. Service gaps/bottlenecks data collected, reported in real time to officials, communities

4. More constructive interactions between citizens and officials regarding service delivery

5. Scalable, sustainable tools that improve information flows between citizens and officials

6. Increased ability of citizens to hold officials accountable for public service delivery

7. Improved public service delivery and quality for waste and OWSO services

8. Enhanced expression of citizens’ rights as a result of the tools/platforms utilized

f. Budget Range: $500,000 - $3,000,000

g. Accepting Concepts for implementation periods of between: 1 – 3 years

h. Additional Evaluation Criteria:

PRELIMINARY CONCEPT PAPER

FACTOR 4: Mission Specific Evaluation Criteria

a. Applied Research and Development Objective: Novelty, creativity and innovation of the

R&D idea/approach and its relevance to the Problem and Challenge Statements.

b. Impact: The likelihood of generating significant, scalable, and appropriate local market impact on the issues discussed in the Problem and Challenge Statements.

FINAL CONCEPT PAPER

If a Final Concept Paper is required to further elaborate on the concept, the selected small business(es) will be invited to submit a Final Concept Paper, and must address the same factor and criteria used to evaluate the Preliminary Concept Paper.

Addendum #3: CAMBODIA - Civic Tech to Strengthen Accountability for Public Services/One Window Service Offices

a. Background and Context

Over the last several years, Cambodians’ fundamental freedoms have been restricted, independent media shuttered, and criminal prosecutions used to intimidate government critics.

Cambodia has also edged closer to one-party rule, outlawing the main opposition political party, allowing the ruling party to sweep the 2018 legislative elections and to seize more than a third of council seats won by opposition candidates in commune council elections in 2017.

The crackdown has stymied civic participation in Cambodia, weakening public accountability for health, education, water, sanitation and other public services. Responsible authorities at the local level -- where many service functions are delegated -- are nevertheless under pressure to make service improvements. They are said to tolerate citizen complaints about service quality, despite limits to dissent. The ability of citizens to exercise their rights to petition the government for improved service delivery is, however, limited by scant or inaccessible government information or by the closing of normal channels for civic feedback to government.

“Civic tech” is not a panacea for unaccountable government. It has however been shown to help citizens analyze and report information, putting authorities on notice to fix service delivery bottlenecks. Tools that use new technologies or adapt technologies -- from AI to mobile apps to crowdsourcing and other communications platforms -- can help generate and disseminate useful information that creates incentives and pressures which prompt officials to action.

Conditions that favor a civic tech approach include the country’s youth bulge -- two-thirds of Cambodia’s population is under the age of 30, one-quarter are between 14 and 30 -- and the rapid utilization of tech among a youth cohort that favors interconnectedness, as evidenced by their use of Facebook and online news (e.g., Voice of America) over state media. Add to that, the growing smartphone (~19 million) and internet use (~8.5 million).

Can civic tech tools be developed, adapted and utilized in Cambodia in ways that stimulate citizen participation, especially young people, in an environment that discourages or attempts to control or suppress criticism of government? Can tech tools be used to foster information-sharing that leads to increased accountability for and improvement in service delivery in Cambodia’s restricted civic space?

The statements below include a potential area for tech-enabled social accountability:

administrative services. USAID is seeking expandable small business solutions to address these challenges.

One Window Service Offices

Recent reforms and laws have delegated financial and administrative authorities to Cambodia’s commune and district governments, including administrative services. Cambodia’s “One- Window Service Offices” (OWSO) were introduced in 2005 as a means of bringing public services -- property registration, construction permits, and business licenses -- closer to citizens, making services more efficient, more transparent, by eliminating ‘unofficial fees’ (irregular payments, bribes) and red tape.

Studies suggest that the performance of OWSOs and of the larger reform effort has been lackluster. Management of administrative services has not reached its full potential at the local level, because of low public awareness, and the resulting ow public usage of the OWSOs combined with insufficient finances and weak administrative capacity.

Part of the fate of the OWSOs depends on public utilization and feedback. Civic tech tools could play a role by encouraging businesses and citizens, especially young people (ages 15- 34), to use the OWSOs, track delivery of their services, even rate their performance. A properly designed, scalable tool could encourage wider use. It could allow citizens to hold officials responsible for speedy, reliable and transparent administrative services.

The tool must enable monitoring of OWSO services, make available information more accessible. The tool(s) would enhance awareness of fees and processes, enable increased participation through informed engagement, and share/disseminate citizen-generated data on OWSO transparency and efficiency (e.g., fee schedule postings, waiting times to receive licenses and permits, etc.). The tool must generate actionable data, using geolocation, collation, analysis, and shared information. Examples of such tools in other countries are abundant.

This opportunity focuses on engaging citizens, nongovernmental organizations and private sector associations. It is important to note that recent U.S. legislation prohibits assistance for the government of Cambodia, at any level. Solutions must embody civil society or private-sector ownership, though access to information should be unrestricted and information publicly available (including for use by the government, among others). A number of local organizations such as Advocacy and Policy Institute (API) and Democracy Resource Center for National Development (DND), among other organizations have engaged in this reform in the past.

c. Priority Rationale:

The activity contributes to USAID/Cambodia Mission Objective of “Strengthening credible voices to promote fundamental democratic principles and human rights.” This proposed intervention also supports the 2017 National Security Strategy priority that seeks to “extend the influence of the United States abroad by promoting the fundamental American values of democracy and governance.” This activity is in line with USAID/Cambodia’s strategic priorities.

USAID has piloted a civic tech in Cambodia, under its Development Innovations project, to improve flood management and health services. These tools have achieved service improvement results but have yet to achieve sustainable results in terms of accountability.

USAID has also, in recent years, invested successfully in civic tech in other countries. For recent examples of the use of civic tech and excellent research regarding its limitations in producing accountability, see…