G3PC NOFO Solicitation BHA Global APS for Humanitarian Capacity and System Strengthening Revised.pdf

Issuance Date: April 20, 2021 Deadline for Questions: April 30, 2021 11:59 a.m. (Eastern Standard Time) Closing Date of the Notice of Funding Opportunity: Open until amended to close Closing Date for First Round of Applications: June 2, 2021 11:59 a.m. (Eastern Standard Time)

CFDA: 98.001

Subject: Bureau for Humanitarian Assistance (BHA) Annual Program

Statement (APS) for Humanitarian Capacity and System Strengthening

Title: BHA Global APS for Humanitarian Capacity and System Strengthening

Funding Opportunity Number: 720BHA21APS00001

The United States Agency for International Development (USAID) Bureau for Humanitarian Assistance (BHA) is seeking applications for funding from qualified entities to implement programming and activities for Humanitarian Capacity and System Strengthening.

U.S. and non-U.S. nongovernmental organizations (NGOs) may apply. However, public international organizations (PIOs), including UN agencies, are not eligible to apply.

Subject to the availability of funds, under this APS, BHA intends to make up to the number of awards as described in detail in the Program Description of this funding opportunity. Please refer to the Program Description for a complete description of possible activities.

BHA reserves the right to use any assistance mechanism available to this agency (e.g., grant, cooperative agreement) and to adjust the number of awards, funding levels, sources of funding, levels for successful applicants. BHA will notify successful applicants of any changes or updates, accordingly.

Issuance of this APS does not constitute an award commitment on the part of BHA, nor does it commit the U.S. Government to pay for any costs incurred in the preparation or submission of comments/suggestions or an application. Applications are submitted at the risk of the includes the completion of all required documents for USAID awards.

BHA cannot make final awards until funds have been fully appropriated, apportioned, allocated, and committed. While BHA anticipates that these procedures will be successfully completed, BHA hereby notifies potential applicants of these requirements and conditions for award.

For the purposes of this award, the APS consists of this cover letter and the following:

SECTION A: PROGRAM DESCRIPTION

SECTION B: FEDERAL AWARD INFORMATION

SECTION C: ELIGIBILITY INFORMATION

SECTION D: APPLICATION AND SUBMISSION INFORMATION

SECTION E: APPLICATION REVIEW INFORMATION

SECTION F: FEDERAL AWARD ADMINISTRATION INFORMATION

SECTION G: FEDERAL AWARDING AGENCY CONTACTS

Eligible parties interested in submitting an application are encouraged to read this APS thoroughly to understand the type of program sought, application submission requirements and selection process.

To be eligible for award, the applicant must provide all information as required in this APS and meet eligibility standards in Section C of this APS. This funding opportunity is posted on www.grants.gov, and may be amended. This APS is open indefinitely and will remain open until an APS amendment is issued to establish a closing date. Applications may be submitted no later than the closing date(s) and time(s) indicated in Section D Application and Submission Information. BHA may amend this APS to increase the funding available for this APS, add or revise program objectives, or add additional rounds of applications. BHA will post amendments or addenda to Grants.gov (through which organizations may sign up to receive notifications of changes), and to the BHA website.

It is the responsibility of the applicant to regularly check the website to ensure they have the latest information pertaining to this APS and to ensure that the APS has been received from the internet in its entirety. BHA bears no responsibility for data errors resulting from transmission or conversion process. If you have difficulty registering on www.grants.gov or accessing the APS, please contact the Grants.gov Helpdesk at 1-800-518-4726 or via email at support@grants.gov for technical assistance.

BHA may not award to an applicant unless the applicant has complied with all applicable unique entity identifiers and System for Award Management (SAM) requirements detailed in Section D.

The registration process may take many weeks to complete. Therefore, applicants are encouraged to begin registration early in the process.

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

Per 2 CFR 200 and 2 CFR700, USAID regulations do not award profit under assistance instruments. However, all reasonable, allocable, and allowable expenses, both direct and indirect, which are related to the agreement activity and which are in accordance with applicable cost standards, may be paid under the agreement.

BHA may (a) reject any or all applications, (b) accept applications for reasons other than cost, or (c) accept more than one application (see Section E - Application Review Information). BHA intends to award cooperative agreements but reserves the right to award any other form of assistance agreement. BHA may waive informalities and minor irregularities in applications received.

In the event of any inconsistency between this APS and the documents referenced in the APS, the APS takes precedence over any referenced documents (including the Technical References), except statutes and regulations. In the event of an inconsistency in the APS documents or in the text of the APS, it will be resolved at the discretion of the Agreement Officer (AO).

Sincerely, Renee Newton

Agreement Officer

SECTION A: PROGRAM DESCRIPTION

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

around the world. BHA was created in 2020 by merging the expertise and resources of the two USAID offices the Office of Food for Peace and the Office of U.S. Foreign Disaster Assistance -- each with more than half a century of experience giving USAID one influential voice on humanitarian assistance. This enables BHA to deliver life-saving aid more efficiently and effectively. BHA is the only USAID Bureau that works toward a more comprehensive approach to humanitarian responses. BHA does this by providing critical humanitarian aid to people in need, while also setting the initial foundations for longer term recovery, where appropriate. BHA responds to an average of 75 disasters in more than 70 countries every year, ensuring that aid reaches people affected by natural disasters, including hurricanes, earthquakes, and volcanoes, as well as protracted crises, such as drought and conflict. BHA also supports food insecure refugees fleeing war, violence, or persecution.

Within BHA, the Office of Global Policy, Partnerships, Programs, and Communication (G3PC)

-saving work through strategic communication and information, and manages collaboration with external stakeholders, including public and private partners, international and multilateral organizations, NGOs and academic institutions, and the U.S. Government Interagency.

Program Objectives

BHA is soliciting applications to support programs that focus on improving policies, practice, and standards in humanitarian response through increased coordination among key stakeholders, technical and policy engagement with relevant global actors, innovative and effective approaches to delivering and financing humanitarian assistance, as well as for thematic and operational issues improving humanitarian response to affected populations. This developing tools and methodologies that contribute to greater understanding of key issues affecting people in crises and humanitarian actors responding to their needs. BHA expects successful applicants to work with BHA and other relevant stakeholders to make new policies, practices, tools, methodologies and innovations available to the wider humanitarian community, where appropriate.

Activities are grouped by objective below. For the first round of applications, BHA will consider applications focused on only one objective. Should an eligible applicant wish to submit an application for more than one objective, the applicant must do so by submitting separate applications for each objective. (Please refer to Section C.3 Limit on Number of Applications for more information).

Objective 1: Humanitarian Coordination, Policy Enhancement and Strengthening International Humanitarian Systems

Strengthen the international humanitarian system through enhanced coordination, improved policies, practices and standards, and technical support to system-wide initiatives.

Develop and improve tools and methodologies, which could include critical data analysis, research, and monitoring.

Identify and address gaps or problems inhibiting a more coordinated, inclusive, equitable and effective humanitarian response.

Promote collective action towards shared goals and objectives in humanitarian response, such as increased diversity and inclusion, expanding the partner base, or address other challenges, through research, convening, or creative programming.

Address other thematic and operational issues to advance the effectiveness of creative approaches to financing humanitarian assistance.

Contribute to greater understanding of key issues affecting people in crises and humanitarian actors responding to their needs.

Illustrative activities could include but are not limited to:

Information dissemination and training on best practices, lessons learned and guidance for humanitarian response to expand existing knowledge base on key humanitarian topics and advance collective action toward shared operational, policy or programmatic goals with research, analysis, convening of stakeholders, and programming.

Monitoring and data collection of internal displacement through evidence-based planning and implementation in countries experiencing internal displacement, which could include a focus on displacement severity, disaggregation of internal displacement data as part of internal displacement profiling, and the publication and dissemination of this work.

Engage communities and strengthen local capacity to inform collective solutions to displacement.

Promote, for example, a systematic implementation of joint and impartial needs assessments in multiple sectors to inform consolidated appeal processes across humanitarian crises in support of the humanitarian program cycle.

Strengthen the community of practice around innovative finance for crisis affected populations to understand and nurture innovative humanitarian response financing, with the aim to improve the effectiveness and efficiency of humanitarian response.

Improve humanitarian coordination and the delivery of humanitarian assistance in the context of the humanitarian-development-peace nexus, to address interrelated and cross-cutting issues that challenge humanitarian response, with the exploration of reasonable, cost effective anticipatory action efforts and finance.

Analyze and improve humanitarian response processes and practices through reforms to the humanitarian system; to address existing and emerging obstacles to the delivery of humanitarian assistance, such as mitigating access constraints and promoting principled assistance; to identify practicable solutions, including expanding funding sources; and to ultimately improve the conditions and delivery of critical services to people in need.

Objective 2: Global Capacity and Leadership Development Increase the inclusion and representation of national and local NGOs in the international humanitarian system at the national and global level through increased knowledge, capabilities, leadership capacity and organizational integration. This work should build upon gains already achieved by BHA and others within the international humanitarian system and be coordinated with existing systemic capacity efforts and programming.

Illustrative activities could include but are not limited to:

Globally-run instructor-led learning and/or training on humanitarian leadership, for local/national NGOs

Regionally or globally-run programming aimed at increased incorporation of national NGOs into the international system at the country and/or global level such as in the cluster system, the Humanitarian Country Teams and NGO networks.

Regionally or globally-run programming aimed at improving the international architecture.

Regionally or globally-run programming to increase partnerships and/or linkages between International and national NGOs.

Objective 3: Humanitarian Innovation Enhance the coordination and effectiveness of innovation investments and activities within the humanitarian system in order to ensure humanitarian innovation efforts and investments are additive rather than duplicative and solutions are scalable, and to increase the impact of humanitarian innovation.

Illustrative activities could include but are not limited to:

Research to support the development of findings and recommendations that assist in testing, implementing, and uptaking priority humanitarian innovation areas.

Identifying opportunities and strategies that enable more effective coordination and collaboration between international donors and international and national non-governmental organizations as related to humanitarian innovation.

Determining appropriate humanitarian innovation impact models across various humanitarian sectors, including results frameworks and identifying appropriate metrics of success.

Developing processes and approaches for better sharing of best practices, innovation investments, and learnings on humanitarian innovation activities.

Pilot projects that are innovative in nature and leverage humanitarian gains.

Developing methods and strategies for enhanced collaboration and coordination amongst international donors as related to the research, testing, and piloting of innovation solutions to humanitarian challenges at the program and operational levels.

Efforts that support the design, development, analysis and / or adoption of mutually beneficial frameworks, operational models, and standards for innovative data and technology solutions in the humanitarian sector.

SECTION B: FEDERAL AWARD INFORMATION

1. Estimate of Funds Available and Number of Awards Contemplated

Subject to the availability of funds, BHA intends to have more than one round of applications under this APS. BHA intends to award predominantly cooperative agreements, but reserves the right to award any other form of assistance agreement. For the first round of applications, BHA intends to award up to $31.9 million in total USAID funding for multiple awards, as Cooperative Agreements, for humanitarian capacity and system strengthening. For the first round of applications, BHA anticipates that the total amount of each award will not exceed $3 million over a two-year period of performance and interested applicants may submit applications for lesser amounts.

Final funding levels will depend on a range of criteria and conditions, including content, quality, number of applications received, needs, and availability of funding. Applicants may be required to revise their budget/project.

Applicants are required to keep costs reasonable in relation to the scope of their proposed activities. Issuance of this APS does not constitute an award commitment on the part of the USG, nor does it commit the USG to pay for any costs incurred in the preparation and submission of any application.

BHA may amend this APS to increase the funding available for this APS, add or revise program objectives, and/or add additional rounds of applications. USAID will post amendments or addenda to the BHA website and Grants.gov (through which organizations may sign up to receive notifications of changes).

Unless otherwise specified in an amendment to this APS, applicants who apply for any round of applications under this APS will not be restricted from applying for any future rounds based on their successful or unsuccessful applications for previous rounds.

2. Anticipated Start Date and Performance Period

The anticipated start date of the new awards is September 30, 2021 for the first round of applications. The awards will be issued for a period of performance of up to twenty-four (24) months from the date of award. Anticipated start dates of new awards for any additional rounds of applications will be provided in amendments, as applicable.

3. Substantial Involvement

In accordance with the ADS 303.3.11, a cooperative agreement, as distinguished from a grant, provides for substantial involvement between the Federal awarding Agency and the recipient in carrying out the activity contemplated by the Federal award (the examples of substantial involvement below are a guide, not a checklist). The Agreement Officer will determine the appropriate level of substantial involvement based on the programmatic requirements of the award and include only those elements of substantial involvement as needed. Examples of potential areas of substantial involvement during performance include the following:

evaluation plans during performance.

Ability to immediately halt an activity if the recipient does not meet detailed performance specifications (for example, construction specifications).

Review and approval of one stage of work, before work can begin on a subsequent stage during the period covered by the cooperative agreement.

Review and approval of substantive provisions of proposed sub-awards or contracts (see definitions in 2 CFR 200). These would be provisions that go beyond existing policies on Federal review of recipient procurement standards and sole-source procurement.

Involvement in the selection of key recipient personnel.

knowledge.

BHA monitoring to permit specific kinds of direction or redirection of the work because of the interrelationships with other projects or activities.

Direct BHA operational involvement or participation to ensure compliance with statutory requirements such as civil rights, environmental protection, and provisions for the requirements understood in advance of the award.

Highly prescriptive USAID requirements established prior to award that limit the s discretion with respect to the scope of services offered, organizational structure, staffing, mode of operation, and other management processes, coupled with close monitoring or operational involvement during performance over and above the normal exercise of Federal stewardship responsibilities to ensure compliance with these requirements.

For specifics and additional detail, please refer to ADS 303.3.11 - Substantial Involvement and Cooperative Agreements.

4. Authorized Geographic Code

The anticipated authorized geographic code for procurement of goods and services under the prospective award(s) is 935; USAID reserves the right to modify this.

5. Nature of the Relationship between USAID and the Awardee

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

6. Assistance Awards

BHA may (a) reject any or all applications, (b) accept applications for reasons other than cost, or (c) accept more than one application. BHA intends to award predominantly cooperative agreements, but reserves the right to award any other form of assistance agreement. BHA may waive informalities and minor irregularities in applications received.

BHA may award the resulting assistance award(s) based on initial applications received, without discussions or negotiations. Therefore, each initial application must contain the applicant's best terms from a technical and cost standpoint. However, as part of its evaluation process, BHA may elect to discuss technical, cost, or other pre-award issues with one or more applicants.

Alternatively, BHA may proceed with award selection based on its evaluation of initial applications received, use an alternative process, and/or commence negotiations solely with one applicant.

SECTION C: ELIGIBILITY INFORMATION

1. Eligible Applicants

U.S. and Non-U.S. Non-Profit Organizations Qualified U.S. and non-U.S. non-profit organizations may apply for funding for an assistance award under this APS. Foreign government-owned parastatal organizations from countries that have certain legal restrictions for receiving assistance under the FAA or related appropriations acts are ineligible.

U.S. and Non-U.S. For-Profit Organizations Qualified U.S. and non-U.S. for-profit organizations may apply for funding for an assistance award under this APS. Foreign government-owned parastatal organizations from countries that have certain legal restrictions for receiving assistance under the FAA or related appropriations acts are ineligible.

Potential for-profit applicants should note that, pursuant to 2 CFR 200.400(g) and 2 CFR 700.13, the payment of fee/profit to the prime recipient under grants and cooperative agreements is prohibited. However, if a prime recipient has a contract with a for-profit organization for the acquisition of goods or services (i.e., if a buyer-seller relationship is created), fee/profit for the contractor may be authorized.

U.S. and Non-U.S. Colleges and Universities Qualified U.S. and non-U.S. colleges and universities may apply for APS funding under this APS. USG and USAID regulations generally treat colleges and universities as NGOs, rather than governmental organizations; hence, both public and private colleges and universities are eligible. Non-U.S. colleges and universities in countries that have certain legal restrictions for receiving assistance under the FAA or related appropriations acts are ineligible.

A U.S. or non-U.S. NGO, including Private Voluntary Organizations (PVOs) An NGO is defined by USAID as any non-governmental organization or entity, whether non-profit or profit-making.

Other eligibility information BHA welcomes applications from organizations that have not previously received financial assistance from USAID.

USAID also welcomes applications from organizations that intend to work together in a consortium. In the case of a consortium, the applicant must be the consortium lead and must identify any other members of the consortium or individuals tied to the implementation of the activity as described in the application, along with all sub-awardees. The respective roles of any other members of the consortium or individuals, including all sub-awardees, must be described and separate detailed budgets must be attached for each.

Non-eligible Applicants:

Under this APS, BHA will not accept applications from, or provide awards to individuals, parastatal organizations, public international organizations (PIOs) such as U.N. agencies, or other U.S. Government departments and agencies. These organizations are also excluded from being sub-recipients under this APS.

2. New Partners and Local Organizations

BHA encourages submissions from potential new partners (i.e., those who have not received any USAID funding previously) and local organizations.

Awards to potential new partners may be significantly delayed if BHA must undertake necessary pre-award surveys of these organizations in order to determine whether the prospective recipient has the necessary organization, experience, accounting and operational controls, and technical skills in order to achieve the objectives of the program, or whether specific conditions will be needed (see Section D of this APS). These organizations should take this into account and plan their implementation dates and activities accordingly.

3. Limit on Number of Applications

Each eligible applicant - compliant with the unique entity identifier and System for Award Management (SAM) requirements detailed in Section D - is limited to one application per objective for this APS. Eligible applicants can be included as a sub-awardee in multiple applications for the same or different objectives, but the same applicant cannot submit an application as a prime and be included as a sub-awardee in another application for the same objective.

4. Qualification Factors

To qualify for an award(s) resulting from this APS, the applicant must:

(a) Have a satisfactory history of performance, including a satisfactory record of meeting expected performance goals and managing and executing programs or activities under USG awards if it is a prior Recipient of USG awards (e.g., timeliness of compliance with applicable reporting requirements, conformance to the terms and conditions of the awards);

(b) Have institutional experience in delivering international or national level capacity strengthening programs for humanitarian actors

(c) Have a satisfactory record of integrity and business ethics;

System for Award Management (SAM) and not have any active exclusions in the SAM (http://www.sam.gov) (see Section D.g.)

(e) Be financially stable and have adequate financial resources (or the ability to obtain such resources) as required during the performance of the award

(f) Have the necessary management systems and ability to meet required management standards, including the necessary processes and systems in place to comply with the reporting requirements of 2 CFR 170, if applicable;

(g) Have the ability to effectively implement statutory, regulatory, or other requirements imposed on recipients of USG assistance;

(h) Have the ability to meet the award terms and conditions considering all existing prospective Recipient commitments, both non-governmental and governmental;

(i) Not be indebted to the USG;

(j) Not appear on the Specially Designated Nationals (SDN) and Blocked Persons List maintained by the U.S. Treasury for the Office of Foreign Assets Control (OFAC);

(k) Not appear on the United Security Council Consolidated Sanctions List (https://www.un.org/securitycouncil/content/un-sc-consolidated-list); and

(l) Be otherwise qualified to receive an award under applicable laws and regulations.

5. Pre-Award Survey/Risk Assessment

In order to determine whether an applicant qualifies for an award, the USAID Agreement Officer must assess the risks posed by applicants in accordance with the following:

-U.S. NGOs: 2 CFR 200.205 and ADS 303.3.9

A positive risk determination means that the prospective non-Federal entity possesses or has the ability to obtain the necessary management competence to plan and carry-out the assistance program to be funded, and that the prospective non-Federal entity will practice mutually agreed-upon methods of accountability for funds and other assets provided by USAID.

Depending on the result of this risk determination the Agreement Officer may: (a) make the award; (b) not make the award; or (c) make the award with specific conditions.

6. Sources of Information

In assessing applicant risk vis-à-vis the qualification factors, the USAID Agreement Officer will utilize:

Information available through any OMB-designated repositories of USG-wide eligibility qualification or financial integrity information, as appropriate;

Information available in SAM;

Integrity and performance information available through the Federal Awardee

Performance and Integrity Information System (FAPIIS);

Information available in the U.S. Department of the Treasury Office of Foreign Assets

Control (OFAC) Specially Designated Nationals (SDN) and Blocked Persons List;

Information available in the United Security Council Consolidated Sanctions List ;

Reports and findings from audits, including Single Audit information available through the Federal Audit Clearinghouse (https://harvester.census.gov/facweb/);

Information obtained from evaluations and assessments of prior work;

Information received from references provided in the application (see Section IV.B of this

APS), and references other than those provided in the application;

The applicable statutory and regulatory certifications (see Section IV.B of this APS);

If requested, copies of: (a) audited financial statements for the last three years; (b) projected budget, cash flow, and organization charts; and (c) copies of applicable policies and procedures (e.g., accounting, procurement, property management, travel, and personnel);

Formal pre-award surveys (if applicable); and Other information that the USAID Agreement Officer may reasonably request

7. Results of Risk Assessment

As a result of the aforementioned risk assessment, the USAID Agreement Officer may do one of the following:

(a) Make an Award

If a positive risk determination is made, the USAID Agreement Officer would ordinarily be expected to make an award (assuming that mutual agreement can be reached on award terms and conditions and/or any other matter). A positive risk determination means that the applicant possesses or has the ability to obtain the necessary management competence to plan and carry out the assistance program to be funded, and that the applicant will practice mutually agreed upon methods of accountability for funds and other assets provided by USAID.

(b) Not Make an Award

(1) If a positive determination cannot be made, the USAID Agreement Officer would ordinarily not make an award. If a positive risk determination cannot be made, it means that the applicant does not meet one or more of the qualification factors listed in Section C.5, and that specific conditions (see Section C.8(c) below) cannot appropriately mitigate the effects of the

(2) In accordance with 2 CFR 200.212, if the USAID Agreement Officer determines that an applicant is not qualified for an award(s) because the applicant does not have a satisfactory record of: (a) executing programs or activities under USG grants, cooperative agreements, or contracts (see Section C.5(a) above); and/or (b) integrity and business ethics (see Section C.5(c) above), USAID must report that determination to the designated integrity and performance system accessible through SAM (currently FAPIIS) if it is the only basis for the USAID Agreement acquisition threshold (currently $150,000, but revised from time to time).

(3) In such cases, USAID will notify the applicant that the determination was made and reported to the designated integrity and performance system accessible through SAM (currently FAPIIS), and include with the notification an explanation of the basis for the determination. The information will be kept in the system for a period of five years from the date of the determination, and then archived. The applicant may go to the awardee integrity and performance portal accessible through SAM and comment on any information the system contains about the applicant itself. If USAID enters information into the designated integrity and performance system accessible through SAM about a determination that an applicant is not qualified for an award(s) and subsequently learns that any of that information is erroneous, USAID will correct the information in the system within three business days. In addition, if USAID subsequently obtains an update to that information, USAID may amend the information in the system to incorporate the update in a timely way.

(4) In accordance with 2 CFR 200.211, all information posted in the designated integrity and performance system accessible through SAM will be publicly available after a waiting period of 14 calendar days, except for information that is withdrawn by USAID during the 14-calendar day waiting period However, USAID will not publish any information in the non-public segment of designated integrity and performance system that is exempt from disclosure under the Freedom of Information Act (5 U.S.C 552), or controlled unclassified information pursuant to Executive Order 13556. If the applicant asserts within seven calendar days that some or all of the information made publicly available is covered by a disclosure exemption under the Freedom of Information Act, USAID will remove the posting within seven calendar days of receiving the assertion. Prior to reposting the releasable information, USAID must resolve the issue in

c) Make an Award with Specific Conditions

If the risk assessment of a potential recipient identifies high risks, an award may still be made if the applicant can correct its deficiencies within a reasonable period of time, and if the award

Such specific conditions are described in 2 CFR 200.207 and ADS 303.3.9.2 or the other applicable regulations and policies cited above. These specific conditions may include items such as:

Requiring payments as reimbursements rather than advance payments;

Withholding authority to proceed to the next phase until receipt of evidence of acceptable performance within a given period of performance;

Requiring additional, more detailed financial reports;

Requiring additional project monitoring and reporting;

Requiring the applicant/Recipient to obtain technical or management assistance; and/or Establishing additional prior approvals.

SECTION D: APPLICATION AND SUBMISSION INFORMATION

Applications for this initial round of applications must be submitted via email to BHA.GlobalAPS.HCSS@usaid.gov. Note that emails including all attachments must not exceed 10 megabytes (MB). Please therefore use multiple emails or zip files if needed. The Apparently Successful Applicant(s) will be invited to upload their final application documents to the BHA Application and Award Management Portal (AAMP).

If there are future amendments for additional rounds of applications, BHA may provide specific contact information for questions and applications in the amendment.

Application Format

The application must be specific, complete, and concise. BHA will not consider applications that do not meet the requirements of this APS. The application is divided into the following sections, with the maximum number of pages given per section, excluding the table of contents, but including any endnotes and/or footnotes, as follows:

Cover page (1 page, see requirements in paragraph a) Executive or Application Summary (2 pages maximum, see requirements in paragraph

b) Technical Application (15 pages maximum, see requirements in paragraph c) Cost Application (no page limit, see requirements in paragraph d)

If submissions exceed the page number maximum, BHA will only review the pages up to the limit, and pages exceeding the maximum will not be considered.

a) Cover Page (1 page)

The cover page must include:

Name of the organization applying;

authority to submit the application;

BHA will coordinate on matters related to the application (if different from the application). Contact information must include mailing address, email, and telephone number;

Total funds requested (in U.S. dollars) Valid Dun and Bradstreet Universal Numbering System (DUNS) Number;

Activation date in System for Award Management (SAM) note that successful applicants must maintain SAM registration;

b) Executive Summary (2 pages maximum)

The Executive Summary must include an application summary of approximately two pages.

c) Technical Application (15 pages maximum)

The technical application will be the critical item of consideration in the selection of an applicant(s) for an award(s). The information provided in the technical application must be specific, complete, and presented concisely. The technical application must demonstrate how it contributes to achieving the selected objective, including specific results anticipated. The weightings in the merit review criteria set forth in Section E of this APS indicate the relative order of importance of the merit review criteria, so that applicants will know which areas require emphasis in the preparation of the technical application. Applicants are advised that lack of completeness or superficiality of the application may constitute grounds for excluding it from consideration.

It is anticipated that the successful application(s) (as may be revised) will become the Program Descriptions for the award(s) resulting from this APS. Thus, applications submitted in response to this APS should, in addition to being responsive hereto, be written clearly and in results-oriented terms in order to address what is proposed to be done, why it is proposed to be done, how it is proposed to be done, who will do it, where it will be done, when it will be done, and the anticipated results and impact.

The technical application must have a definitive strategy and plan, and must set forth in detail the applicant's approach, methodology, procedures, and techniques for the design, management, implementation, and monitoring of the proposed program. The application must and monitor the proposed program. It is important that the technical application furnish verifiable, objective supporting evidence of successful program management, implementation, and monitoring. The technical application should be specific, detailed, and include appropriate benchmarks or milestones.

The technical application must provide the following information:

The technical application must use the sectors, sub-sectors, keywords, and indicators identified in the BHA Application Guidelines, as applicable. Unless otherwise indicated, a page in the technical application which contains a table, chart, graph, etc. will be counted as a page within the page limitation. Information which exceeds the page limitation will not be furnished to the BHA Selection Committee (SC).

Justification for Proposed Intervention(s): The technical application must include a Justification for Intervention section that addresses the relevant objective in Section A.

Technical Approach, Timeline, and Feasibility: Describe how proposed activities address needs outlined in the justification for proposed intervention(s) section above and the selected BHA objective outlined in Section A of this APS. Describe in detail the technical approach, including methods used to implement proposed activities. This section should include methodologies, processes, or steps you will undertake to implement each proposed activity within the timeframes outlined in this APS. You may include timelines, charts, or other graphics for illustrative purposes. Proposed activities must fall under one or more of the sectors listed in the Sectors, Sub-sectors, and Indicators Table in the BHA Application Guidelines. Applicants must review the relevant sector guidance in its entirety and address all questions and information requirements in the sector guidance.

Institutional Experience and Capability: The technical application must include an Institutional Experience and Capability section that addresses the following information.

Capability and Competence: Applicants must describe their capability and competence to undertake the proposed activities in the Program Description, outlining their contextual and geographic knowledge, capabilities and competencies [relevant to the chosen objectives. The information presenting the capabilities of the implementing organization(s) and of the individuals to be assigned should spell-out clearly the pertinent work experience and accomplishments in developing and conducting activities of the type being proposed, as well as the specialized skills, professional competence, academic training, and relevant achievements of the personnel. The contextual programs in the proposed country(ies) and a discussion of political, economic, cultural, and institutional norms in the proposed country(ies) of intervention.

Coordination: Technical applications must include a Coordination section that describes as part of the project design and implementation of activities how you will coordinate, share information, and collaborate with UN agencies, other NGOs, other USG agencies, other donors, local groups, and local and national government agencies for the proposed sector(s). List other governmental or non-governmental institutions, international organizations, and/or NGOs working in the same sector, especially those in proximity of the proposed activities. Describe the coordination approach for this sector with these entities, including the frequency of meetings, how problems are identified and addressed, how information is gathered and disseminated, and how standards are set and monitored, among others.

Selection Methodology: Clearly identify the target population in terms of number, location, and current status and describe the methodology for selecting the targeted population(s).

Gender Mainstreaming, Protection Mainstreaming, and Inclusion of Older People and People with Disabilities: s mandatory cross-sectoral guidance on protection mainstreaming, gender integration, inclusion of persons with disabilities and older people. This includes a description of the risks for harm, exploitation, and abuse faced by the affected population; analysis of the roles and power dynamics between men and women, boys, and girls and demonstration of how this relates to humanitarian needs and program design in the proposed setting; and inclusion of persons with disabilities and older people.

Sustainability: Technical applications must include a Sustainability Plan and Transition or Exit Strategy section that describes how program activities will be sustained beyond the life of the program. This includes how resources might be obtained to continue the activity or program, if appropriate (e.g., cost-recovery mechanisms, discussions with development partners, etc.) and/or how activities will be turned over to host nations or community members. Sustainability planning should address the transition to local organizations or authorities and highlight the importance of consulting community members and government officials in a participatory approach.

Supporting Documentation: The following documents are to be submitted in an annex and will not count towards the page limits listed for the technical application. No additional documents outside of the items listed below should be submitted nor will be reviewed by BHA.

(A) Monitoring and Evaluation Plan Not to Exceed Five Pages Applicants must include a Monitoring and Evaluation Plan as an Annex to the application as outlined below.. The M&E Plan shall describe the technical resources and expertise that the applicant will utilize in implementing the proposed approach and how these resources will be organized to deliver the desired outcomes. Applicants must demonstrate the ability to adequately monitor and evaluate the activities throughout the duration of the award. Applications shall include appropriate output, outcome and impact indicators for proposed activities where feasible and describe the methods, and how any data generated will be shared. Applicants should propose methods to verify monitoring data on BHA indicators

The M&E plan consists of two required components:

1. Indicator Tracking Table No page limitation (Please see template on the

BHA Emergency Application Guidelines page)

2. Monitoring Narrative. The M&E Plan monitoring narrative is composed of the following:

Monitoring Approach, including an Abbreviated Statement of Work

(SOW) for baseline and endline, as applicable; and Evaluation Approach, including abbreviated SOW, as applicable.

(B) Adaptive Management Plan - Not to Exceed Two Pages

Applications for activities for 12 months or more must submit an Adaptive Management Plan that embeds analysis and adaptive management principles into program management. The plan should describe the technical resources and expertise the applicant will utilize in management interventions designed to:

Support feedback cycles that foster experiential learning and application of data from assessments, surveys, research, and routine monitoring.

Actively engage stakeholders through participatory approaches to determine needs and opportunities, respond to demand, and prioritize action;

Engage in reflection activities to capture and apply lessons learned from ongoing work, and anticipate potential changes in the operating environment.

(C) Draft Work Plan Not to Exceed Five Pages The Applicant must include a draft implementation/work plan for the program, including key tasks and deliverables required in the Program Description and clearly detail timing for deliverables. This plan will be finalized upon implementation of the Award.

(D) Organizational Structure Not to Exceed Three Pages field office(s) are organized, and how this structure is coordinated to achieve performance targets.

(E) Code of Conduct The mandatory stand ADS 303maa, Standard Provisions for U.S. Nongovernmental Organizations ADS 303mab, Standard Provisions for Non- U.S. Nongovernmental Organizations, require that recipients meet internal control requirements and have a code of conduct for their employees. USAID implementing partners must ensure that their employees conduct themselves in a professional manner when carrying out awards, consistent with the standards for United Nations (U.N.) employees in Section 3 of the - Special Measures for Protection from Sexual Exploitation and Sexual Abuse.

onduct, ideally with a dedicated section on PSEA or PSEA Policy, as an annex. Additionally, sub-awardees receiving BHA funds must adopt a Code of Conduct. Awardees will be responsible for ensuring that sub-awardees have a Code of Conduct.

with these standards, our partners must consult/coordinate with the relevant Mission Director and the Agreement or Contracting Officer. The U.S.

Ambassador may direct the removal of any U.S. citizen from the country and require termination of any employee from an award.

USAID further encourages implementing partners to report credible allegations of sexual exploitation and abuse to the USAID Office of Inspector General. Please

Policy on Protection from Sexual Exploitation and Abuse for more

Implementing partners are required to report credible allegations of trafficking, the procurement of commercial sex acts, or the use of forced labor to the relevant Agreement or Contracting Officer and the USAID Office of Inspector General.

USAID policy requires its employees to report suspected cases of sexual exploitation, whether by Agency personnel or implementing partners, to the USAID Office of Inspector General.

Complaints can be submitted anonymously with an online form through the Office of Inspector General Hotline website, by telephone at 1-800-230-6539 or 202-712-1023, by email at ig.hotline@usaid.gov, by fax at (202) 216-3801, or by mail to the following address: U.S. Agency for International Development, Office of Inspector General, P.O. Box 657, Washington, DC 20044-0657

USAID has zero tolerance for sexual misconduct, including harassment, exploitation or abuse of any kind among staff or implementing partners.

Additional information can be found at Exploitation and Abuse.

PSEA Code of Conduct Implementation Details You must also submit implementation details for the Code of Conduct specific to the country or region of the application. You should submit these details as an annex, not to exceed one page, describing:

mechanisms to report any violations;

allegations and instances of sexual exploitation and abuse, and who in the country is responsible for ensuring an appropriate and accountable response; and these systems are safe, accessible, confidential, and survivor-centered.

Accountability to Affected Populations Accountability to Affected Populations (AAP) involves placing targeted communities, especially the most vulnerable individuals, at the center of our work. BHA requires evidence that you are addressing AAP throughout the program cycle by submitting an AAP plan or framework that is specific to the interventions included in the application.

You must submit the plan or framework as an annex, not to exceed two pages, and describe:

groups, will participate in and play an active role in decisions related to the activity design and implementation;

lace to provide timely and accessible information, and to receive and respond to beneficiary feedback throughout the duration of the activity;

nto activity implementation, monitoring and evaluation of progress, and designing course corrections as needed;

safe, accessible, and the preferred mechanism for beneficiaries, especially marginalized or vulnerable populations; and sensitive program irregularity or protection issues that arise.

(d) Risk Assessment and Management Plan

The Bureau for Humanitarian Assistance (BHA) recognizes the importance of assessing risk and integrating risk management into all awards, beginning at the application phase with your activity design and budget. Every application request under this APS must include a Risk Assessment and Management Plan per Annex D of the Emergency Applications Guidelines.

(e) Cost Application

The cost application must be submitted separately from the technical application. While no page limit exists for the full cost application, applicants are encouraged to be as concise as possible while still providing the necessary details. The cost application must illustrate the entire period of performance, using the budget format shown in the SF-424A.

Prior to award, applicants may be required to submit additional documentation deemed

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

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

a) Cover Page (See Section D.a) above for requirements)

b) SF 424 Form(s)

The applicant must sign…