Knowledge SUCCESS - Revised APS FINAL.6.26.2018.pdf

Federal Agency Name: United States Agency for International

Development (USAID)

Funding Opportunity Title: Knowledge SUCCESS (Strengthening Use, Capacity, Collaboration, Exchange, Synthesis, and Sharing) APS

Announcement Type: Annual Program Statement (APS)

Funding Opportunity Number: 7200AA18APS00004

Catalog of Federal Domestic Assistance 98.001 (CFDA) Number:

Issuance Date: June 19, 2018

Questions Deadline before the First Submission of Concept Papers (Round 1): June 25, 2018 at 12:00 pm EST

Deadline for First Submission of Concept Papers (Round 1): July 9, 2018 at 10:00 am EST

Deadline for First Submission of Concept Papers (Round 2): TBD

Submit Questions and Concept Papers (Round 1) electronically to:

Samantha Pierre Agreement Officer spierre@usaid.gov 202-567-4517

TABLE OF CONTENTS

SECTION I - Funding Opportunity Description SECTION II - Award Information SECTION III - Eligibility Information SECTION IV- Concept Paper Submission Information SECTION V - Concept Paper Evaluation Criteria Appendices:

Appendix A: Acronym List Appendix B: PRH Focus Countries Appendix C: USAID Gender Equality and Female Empowerment Policy Appendix D: USAID Youth in Development Policy

Knowledge SUCCESS (Strengthening Use, Capacity, Collaboration, Exchange, Synthesis, and Sharing) APS

SECTION I: FUNDING OPPORTUNITY DESCRIPTION

Statement of Purpose: The Goal of this APS is to improve health and development outcomes. The purpose of this APS is to publicize the USG’s plan to fund one or multiple grants or cooperative agreements to address the overarching APS Program Purpose of improving and strengthening programs and services by supporting increased utilization of evidence-based information in global health programming to advance global health goals. The Strategic Objective is to ensure high-quality health information, knowledge, and expertise is exchanged, accessed, and used, and to build capacity in knowledge sharing, collaboration, and learning. Ultimately, activities under this APS should improve coordination among development actors, and advance self-reliance by strengthening capacity related to knowledge management (KM).

Broadly, APS results include:

Intermediate Result 1: Critical health knowledge and information made available and accessible Intermediate Result 2: Global health knowledge exchange and collaboration brokered and supported to facilitate knowledge use Intermediate Result 3: Sustainable capacity built for global health knowledge sharing, collaboration, learning, and adaptation

This APS is issued under the Foreign Assistance Act of 1961, as amended.

Awards will be made under relevant federal regulations and agency policy. For U.S non-governmental organizations, awards must be administered according to 2 CFR 200 and 2 CFR 700, and USAID Standard Provisions will apply (http://www.usaid.gov/policy/ads/300/303maa.pdf). For non U.S. non-governmental organizations, USAID provisions for non U.S. non-government organizations will apply (http://www.usaid.gov/policy/ads/300/303mab.pdf).

The funding for the APS may be provided through GH offices, as well as USAID mission field support.

As determined by the source of funding, awardee(s) will be expected to comply with specific USAID regulations governing family planning and reproductive health (FP/RH), HIV and AIDS, other health programs, or other non-health activities. For Round 1, the majority of funding from GH offices will be from the Office of Population and Reproductive Health (PRH).

Pending funding availability, there may be multiple rounds for this APS that will all aim to meet the Statement of Purpose mentioned above. Round 1 specifics are discussed in the following sections.

http://www.usaid.gov/policy/ads/300/303mab.pdf

Round 1: Technical Context:

With a commitment to improving global health, USAID confronts health challenges by raising the quality, availability, and use of essential health services. USAID’s Bureau for Global Health (GH)’s objective is to improve global health by focusing on three strategic priorities: 1) Preventing Child and Maternal Deaths (PCMD); 2) Controlling the HIV/AIDS Epidemic; and 3) Combating Infectious Diseases. PRH contributes especially to PCMD; through efforts in family planning, maternal and child health, malaria, and nutrition, USAID is working to prevent child and maternal deaths. USAID's maternal and child survival programs are concentrated in 25 focus countries with the highest need, demonstrable commitment, and the potential to leverage resources from the public and private sectors to improve health outcomes. Together, these countries account for more than two-thirds of maternal and child deaths worldwide and half the global unmet need for family planning.

In turn, PRH utilizes core funds for activities that advance the Office’s Goal, Strategic Objective, Intermediate Results, and High Level Outcomes. Given the supportive function of knowledge management (KM) activities, it is expected that activities conducted under Round 1 of this APS will cut across and support PRH IRs and Outcomes.

PRH Goal: To enable countries to meet the family planning needs of their people.

PRH Strategic Objective: Advance and support voluntary family planning/reproductive health programs worldwide.

PRH Intermediate Results (IRs): IRs most relevant to Round 1 are marked in bold.

1.0: Global leadership demonstrated in FP/RH policy, advocacy, and services.

● 1.1 Elevate FP/RH on international agenda

● 1.2: Promote best practices and standards-setting

● 1.3: Create, nurture, and participate in global partnerships, including with non-traditional partners

● 1.4: Lead USG strategic direction and linkages

● 1.5: Leverage FP/RH resources globally

2.0: Knowledge generated, organized, and disseminated in response to program needs.

● 2.1 Support innovation through biomedical research, health systems and social sciences research, and implementation science, drawing on field experience and global knowledge

● 2.2: Develop and evaluate innovative tools, technologies, and approaches to improve program effectiveness

● 2.3: Capture, evaluate, synthesize and package information to support evidence-based practice

● 2.4 Support population-based surveys, other data collection and analysis

● 2.5: Develop, test and validate metrics for program monitoring and performance

● 2.6: Strengthen performance and impact evaluations

3.0: Support provided to the field to implement effective and sustainable FP/RH

Programs.

● 3.1: Provide direct and virtual technical expertise to the field

● 3.2 Establish and manage procurement mechanisms that are responsive to mission needs

● 3.3: Create partnerships to advance field programs, including public-private, south-to-south and academic institutions

● 3.4 Develop sustainable sources for commodities

● 3.5: Assist field in building local capacity for strengthening health systems

PRH High-Level Outcomes:

1. Increased availability of high quality FP services.

2. Increased demand for FP services, especially among youth.

3. Increased domestic financial contribution to FP programs.

Cross-cutting:

Activities under Round 1 of this APS will incorporate three cross-cutting issues as relevant: gender, youth, and multi-sectoral integration. These issues have been a focus of PRH and are also reflected in Agency policies (Appendix C: Gender Equality and Female Empowerment Policy, March 2012;

Appendix D: Youth in Development Policy, October 2012). Sustainable and equitable development cannot be achieved in the long run without attention to gender and youth. Similarly, strategic multi-sectoral programming can effectively support the achievement of voluntary family planning and reproductive health outcomes and objectives, enabling countries to meet the family planning needs of their people and advancing and supporting family planning and reproductive health programs worldwide, while also contributing to the accomplishment of other development objectives. As such, activities under this APS may incorporate considerations concerning gender, youth, and multi-sectoral integration to support fully informed and voluntary acceptance of FP/RH services, information, and commodities.

Additionally, KM activities under Round 1 of this APS may also incorporate the principles of Collaborating, Learning, and Adapting (CLA) as relevant. CLA is a set of practices that, when integrated throughout the USAID Program Cycle, help to improve development effectiveness. Integrating CLA into programs and activities helps to ensure that programs are coordinated, grounded in a strong evidence base, and iteratively adapted to remain relevant throughout implementation.

Round 1: Program Description:

In an ever more complex, information-rich global environment, the FP/RH community needs timely access to relevant, evidence-based, synthesized information, knowledge and expertise, as well as forums and methods for knowledge sharing and exchange, to design, develop, manage, implement, and advocate for effective voluntary family planning programs.

Under the Goal of this APS, to improve health and development outcomes, and the specific Purpose of improving and strengthening programs and services by supporting increased utilization of evidence-based information in global health programming, Round 1 focuses particularly on supporting increased utilization of evidence-based information in informed and voluntary FP/RH programming, as well as KM capacity building in field programming. The Strategic Objective for the APS and for this Round is to ensure high-quality health information, knowledge, and expertise is exchanged, accessed, and used, and to build capacity in knowledge sharing, collaboration, and learning.

Supporting the achievement of this Purpose and Objective for Round 1 of the APS are three overarching Intermediate Results (IRs), which are described here. Validating the needs and gaps within these IRs, and developing sub-results and activities as potential solutions, will happen throughout the APS co-creation process. Co-creation enables coordinated problem-solving and solution development, making it easier to identify opportunities for innovation and systems change, and also offers a valuable platform for forging new network connections and partnerships through which to implement activities.

Round 1 Intermediate Result 1: Critical FP/RH knowledge and information made available and accessible

Under this Intermediate Result, Round 1 of this APS seeks to support the availability and use of quality, evidence-based health content at the global, national, and sub-national levels. Round 1 seeks to support incorporation of innovations in KM, CLA and related fields to identify, synthesize, and adapt content, providing access to a robust body of quality information in accessible formats for a wide range of key audiences, including through linkages with other partners and sectors, and via the most up-to-date media.

This IR requires global leadership and neutrality to curate and make available comprehensive technical knowledge generated by a range of stakeholders. Identification of key FP/RH audiences and their specific knowledge needs, along with plans to meet those needs, will likely be critical.

Historically, PRH and GH have supported a successful range of KM-related investments, including the most recent K4Health-II project. A suite of products and approaches to KM, particularly related to FP/RH, have been developed and institutionalized over time. K4Health II’s goal is to use KM tools and approaches to help advance USAID’s strategic focus areas and cross-cutting priorities and to strengthen and extend the impact of USAID’s investment in FP/RH on a global scale. K4Health-II has carried forward investments made over the last 20 years by previous projects and developed new tools and resources. Existing investments include websites, technical toolkits, eLearning courses, databases, training resources, and a FP handbook developed in collaboration with the World Health Organization.

Successful work in this area should build from, or otherwise utilize or adapt, these investments.

https://www.k4health.org/

Round 1 Intermediate Result 2: Knowledge exchange and collaboration brokered and supported to facilitate knowledge use

Under this Intermediate Result, Round 1 of this APS seeks to support the neutral, user-driven facilitation of knowledge exchange, including partnerships with and among, and KM support to, technical working groups, communities of practice, implementers, and other stakeholders, particularly those working in family planning. Cooperation and collaboration, underpinned by strong KM, offer opportunities for stakeholders to share, exchange, and adapt knowledge and programs in rapid learning cycles. Adaptation approaches, in particular, enable the use of high-quality, robust available information across different contexts and users. Coordination among implementing partners, government partners, and donors is also increasingly important to most effectively leverage resources and support sustainable programming.

Systematic knowledge and information exchange and use are core components of successful global, regional, and national coordination; additional collaborative fora or methods may also be developed as needed to facilitate knowledge exchange.

Round 1 Intermediate Result 3: Sustainable capacity built for knowledge sharing, collaboration, learning, and adaptation Under this Intermediate Result, Round 1 of this APS seeks to meet the KM needs of various audiences including partner governments, implementing partners, and other development organizations by 1) supporting effective knowledge sharing, capture, synthesis and dissemination in innovative ways at the country and regional levels, in collaboration with a range of stakeholders and audiences; and 2) identifying and building local and regional capacity in knowledge exchange and use, with the objective of ensuring sustained capacity in KM. The sustainability of field programs depends upon local, country, and regional capacity to successfully collaborate and coordinate, manage knowledge, share learning, and adapt programs as needs and knowledge change. For example, the sustainable transfer of programs and investments to regional and national bodies requires the capacity to facilitate collaboration and exchange of knowledge. Further, KM capacity strengthening itself is an iterative process that likely requires a continuous learning cycle.

SECTION II: Award Information

Funding: The expected total estimated amount for all agreements or grants to be awarded under this APS will be approximately $35 Million USD.

Round 1:

For Round 1’s Concept Papers, applicants may propose to develop approaches within all three Intermediate Result areas or may choose to focus on one or more of the Intermediate Results, with acceptable permutations focusing on IR 1 alone or on IRs 2 and 3 together. A single award with a ceiling of up to $35 million could be made for one agreement or grant, depending on the amount of work undertaken and number of results addressed. Alternately, two awards could be made, depending on the amount of work undertaken and results addressed. The ceiling of each award will be determined by the amount of money available and the activities proposed, and the total ceiling of award(s) under this APS will not exceed $35 million USD. USAID reserves the right to partially fund applications.

FP/RH funds may be used only for activities that impact FP/RH outcomes, as defined in the Child Survival and Health Use of Funds Guidance (http://www.usaid.gov/policy/ads/200/200mab.pdf). In multi-sectoral activities, FP/RH funds can be used to support the FP/RH components; funds from non–FP/RH sources must be used to support activities that do not directly affect FP/RH outcomes.

Period of performance: The proposed period of performance for each agreement or grant awarded as a result of this APS will not exceed five years in duration beginning from the negotiated start date, and subject to availability of funds. Concept papers—and later in the process, full applications—should propose activities for a five-year period of performance—nothing more or less.

Expected number of awards: One or two awards may be made as a result of this process in Round 1.

More awards may be made in successive Rounds. The actual number of awards under this APS is subject to the availability of funds and the viability of applications received. Accordingly, USAID reserves the right to award multiple awards or no awards at all through this APS.

Expected implementation mechanism: USAID will make a determination on the intended substantial involvement by the Agency, and thereby the type of award(s), after the co-creation process, depending on the results of this process.

Grants and/or cooperative agreements may result from this APS. In the case of cooperative agreements, USAID’s substantial involvement during the implementation of the program will be limited to approval by the Agreement Officer’s Representative (AOR)—delegated to the AOR by the AO—of the elements listed below, except for any changes to the program description, key personnel, or the approved budget that require AO approval:

1. Approval of the Recipient’s Implementation Plans: Implementation plans include, but are not limited to, annual work plans, including planned activities for the following year and any subsequent revisions, international travel plans, planned expenditures, KM plans, event planning/management, international meeting preparation and research studies/protocols.

USAID requires the approval of implementation plans annually to ensure alignment with stated goals, milestones and outputs. The implementation plan communicates how and when the Recipient will complete project activities and is drafted annually to describe new activities. This plan will be developed in partnership between the Recipient and the AOR team. The AOR will ensure that the implementation plans fit within the scope, terms and conditions of the agreement.

2. Approval of Specified Key Personnel - the key personnel positions will be determined during co-creation. Key personnel positions will require concurrence from the AOR and approval from the AO.

3. Agency and Recipient Collaboration or Joint Participation:

a. Approval of the recipient’s monitoring and evaluation plans. This describes USAID involvement in monitoring progress toward the achievement of program objectives during the performance of the project, including written guidelines for the content of annual reports and final evaluations in accordance with 2 CFR 200.328 and guidance conforming with PEPFAR reporting requirements at country level, if necessary. While an illustrative Activity Monitoring, Evaluation, and Learning (MEL) Plan could be requested in the full application submission, the final Activity MEL Plan will be developed in consultation with USAID post-award. During the initial project planning period, the awardee shall work closely with USAID to establish major milestones, program monitoring indicators, as well as baseline data and performance targets which will demonstrate successful achievement of the results addressed in the cooperative agreement. The Activity MEL plan shall be finalized within 90 days of the award. The awardee and USAID will jointly review progress on a periodic basis.

b. Collaborative involvement in selection of advisory committee members, if the program will establish an advisory committee that provides advice to the recipient. USAID will participate as a member of this committee as well. Advisory committees must only deal with programmatic or technical issues and not routine administrative matters.

c. Monitor to authorize specified kinds of direction or redirection because of interrelationships with other projects. Activities will be included in the program description, negotiated in the budget, and made part of the award. Note: the AOR will provide review of the proposed change, and the AO is the only individual who can provide approval for this element of substantial involvement.

d. Concurrence on the substantive provisions of sub-awards. 2 CFR 200.308 (or Mandatory Provision 3. Amendment of Award and Revision of Budget (August 2013) for non US NGOs) requires the recipient to obtain the AO’s prior approval for the sub-award, transfer, or contracting out of any work under an award. The term ‘sub-awards’ includes both sub-agreements and contracts under assistance. Some of the sub-award approval responsibilities may be delegated to the AOR. Please note that any sub-awards (sub-agreements or contracts) to foreign governmental organizations or parastatals of any amount must be approved by the AO, and may warrant additional clearances.

4. Agency Authority to Halt a Construction Activity. The AO may immediately halt a construction activity if identified specifications are not met. However, construction activities are not anticipated under this cooperative agreement.

This APS will remain open from June 19, 2018 to June 18, 2028. USAID will review concept papers in at least one round. The following schedule details when concept papers will be due for each round:

First round: July 9, 2018 at 10:00 am EST Second round: TBD

As soon as all available funding has been committed, the USG reserves the right to close or amend the APS application process on or before the end date of June 18, 2028. Organizations are therefore encouraged to apply as soon as possible to be considered for review in Round 1 to maximize the possibility of available funding.

For Round 1, the anticipated start date for the award(s) is on or about September 30, 2018.

Issuance of this APS does not constitute an award or commitment on the part of the USG, nor does it commit the USG to pay for costs incurred in the preparation and submission of a concept paper or an application. The actual number of awards under this APS is subject to the availability of funds and the viability of applications received. Accordingly, USAID reserves the right to award multiple awards or no awards at all through this APS.

Criteria for Award Selection: A Merit Review Committee will evaluate the Concept Paper(s) according to the criteria outlined below in Section V, which will be specific to each Round. Based on that evaluation, selected applicants will be invited to participate in a co-creation process/workshop to share, discuss, and collaborate on approaches to the Round’s IRs. Instructions and criteria for full application submissions will be provided when full applications are requested. Not every organization that submits a concept paper through this APS will automatically be selected to participate in co-creation. Due to the number of concept papers received, USAID is not able to provide details on why concept papers were not selected. Organizations invited to participate in co-creation may be subsequently invited - either individually or in a consortium developed during co-creation - to submit a full application post-co-creation workshop if the Merit Review Committee determines a full application is warranted. Applicants must be US organizations or non-US organizations registered and working in USAID-assisted countries.

See Section III for specific Eligibility Information.

Environmental Impact: It has been determined that activities conducted under this APS will not negatively impact the environment. In accordance with the 22 CFR 216.2, the project will not have a significant effect on the human, physical and biological environment and qualifies for a “Categorical Exclusion” in the Initial Environmental Examination (IEE), considering the nature of activities anticipated under this APS. The AOR management team will continue to collaborate with the GH Environmental Officer to ensure the award(s) and associated activities incorporate environmentally sound principles in implementation, and adhere to this determination of a “Categorical Exclusion.”

Intellectual Property: Intellectual Property is discussed in 2 CFR 200.448 (for US NGOs) and in Mandatory Provision 7. Title to and Use of Property (December 2014) (for non-US NGOs). In general, awardee(s) may elect to pursue ownership of intellectual property that is developed as a result of an award from this APS. In such cases, USAID would typically retain a nonexclusive, non-transferable, royalty-free license to use any such intellectual property.

SECTION III: Eligibility Information

Eligibility Criteria:

U.S. and non-U.S. public, private, for-profit, and nonprofit organizations, as well as institutions of higher education, public international organizations, and non-governmental organizations, are eligible to submit a concept paper. Further, the organization must be a legally recognized organizational entity under applicable law, legally registered in a country within the geographic code 937 (“the United States, the recipient country, and developing countries other than advanced developing countries, but excluding any country that is a prohibited source,” per ADS 310.3.1.1).

Applicants must demonstrate that they have experience operating in more than one country. Concept papers and resulting full applications can be global or regional. For Round 1, the organization(s) must have the capacity to work simultaneously in or across multiple countries, particularly in the PRH priority countries or Ouagadougou Partnership countries (Appendix B).

Concept papers from organizations that do not meet the above eligibility criteria will not be reviewed and evaluated. Individuals are not eligible to apply for this APS.

Organizations in developing countries are strongly encouraged to apply, inasmuch as they will support not only the objectives of this APS, but also USAID's objectives to build the capacities in local organizations that are needed for sustainable development. USAID strongly encourages applications from potential new partners who meet the above eligibility requirements and are willing to be subjected to a Pre-Award Responsibility Determination-a pre-award audit to determine fiscal responsibility (i.e. whether the prospective recipient has the necessary organization, experience, accounting and operational controls, and technical skills – or ability to obtain them – in order to achieve the objectives of the project and comply with the terms and conditions of the award).

While for-profit firms may participate, pursuant to 2 CFR 200.400(g) it is USAID policy not to award profit to prime recipients and sub-recipients under assistance instruments. However, while profit is not allowed for sub-awards, the prohibition does not apply when the recipient acquires goods and services in accordance with 2 CFR 200.317 -326, “Procurement Standards.” This is discussed more specifically in ADS 303sai “Profit Under USAID Assistance Instruments,” which can be found at this link:

http://www.usaid.gov/ads/policy/300/303sai.pdf.

Program income will not be generated under any award resulting from this APS.

If an organization does not submit a successful concept paper and is not invited to attend the co-creation workshop/submit a full application in Round 1, that organization still may submit another concept paper in another future round if one occurs. It may be evaluated by the same evaluation criteria specified in Section V, or evaluation criteria may be revised to the specifics of the Round’s results; another submission in another Round does not guarantee a successful concept paper and invitation to attend the co-creation workshop/submit a full application.

http://www.usaid.gov/ads/policy/300/303sai.pdf

Cost share: Cost sharing will be required to be eligible for award, likely in the range of 5-20 percent of the total obligated amount. The exact cost share amount(s) will be provided in the request for full application(s). Such funds may be mobilized from the recipient; other multilateral, bilateral, and foundation donors; host governments; and local organizations, communities and private businesses that contribute financially and in-kind to the implementation of activities at the country level. Mobilization of funds from outside sources through cost share of project activities is highly encouraged.

For guidance on cost sharing in grants and CAs, please see the ADS 303.3.10 and 2 CFR 200.307 for US NGOs. For non-US NGOs, all cost sharing would be subject to the Required as Applicable Provision “Cost Sharing” in ADS303 mab.

Number of Applications: Eligible organizations may submit one (1) concept paper in response to this APS regardless of whether an organization anticipates possibly becoming a Prime applicant or a sub-awardee on a full application.

SECTION IV: Concept Paper Submission Information

General Concept Paper Submission Instructions

For Round 1, interested Applicants should submit a Concept Paper to Mrs. Samantha L. Pierre via email at spierre@usaid.gov. Only electronic copies of concept papers will be accepted. The concept papers must be received by the deadline on the cover page of this document for Round 1 (demonstrated by the timestamp on the email when received by USAID). If additional rounds of concept papers will be accepted, this APS will be amended to include those rounds’ submission dates and relevant points of contact.

When emailing a concept paper to spierre@usaid.gov, each applicant must include the APS number in the emails’ and attachments’/files’ name(s). USAID’s email server cannot handle more than 25 MBs of attachments per email. If the applicant must divide the submission into more than one email, please number the emails in the subject line and indicate in the email’s subject line the desired sequence of emails (i.e., 7200AA18APS00004, Email 1 of 3). It is the applicant’s responsibility to ensure that all necessary documentation is complete and received on time. In the event of technical difficulties, please contact Samantha Pierre at the email address above.

All concept papers received by the submission deadline will be reviewed for responsiveness to the APS and IRs specific to the Round (see Section V for evaluation criteria), and the required format. Section V Concept Paper Evaluation Criteria addresses the technical review procedures for the concept papers. No additions or modifications will be accepted after the submission date. Concept papers that are submitted late or are incomplete may not be considered for the co-creation workshop or request for full applications (if co-creation workshop is not held). Additional information in the concept paper not requested by the APS may be removed and may adversely affect an applicant’s evaluation/review.

Issuance of this APS does not constitute an award commitment on the part of USAID, nor does it commit USAID to pay for any costs incurred in the preparation or submission of a concept paper or a full application.

USAID may make an award on the basis of initial concept papers received, without scheduling a co-creation workshop.

If requested to submit a full application, the applicant(s) (unless the applicant is an individual or Federal awarding agency that is excepted from those requirements under 2 CFR 25.110(b) or (c), or has an exception approved by the Federal awarding agency under 2 CFR 25.110(d)), is required to:

(i) Be registered in SAM before submitting its application;

(ii) Provide a valid DUNS number in its application; and

(iii) Continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency.

USAID will not make a Federal award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements and, if an applicant has not fully complied with the requirements by the time USAID is ready to make an award, USAID may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

Per 2 CFR Appendix I to Part 200, Full Text of the Notice of Funding Opportunity, Section E, 3, USAID informs all potential applicants:

“i. That the Federal awarding agency [USAID], prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold, is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313);

ii. That an applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency [USAID] previously entered and is currently in the designated integrity and performance system accessible through SAM;

iii. That the Federal awarding agency [USAID] will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in § 200.205 Federal awarding agency review of risk posed by applicants.”

All applicants to this APS will adhere to the following guidelines for the APS competition process. To facilitate the competitive review of the concept papers, USAID will consider only concept papers conforming to the format prescribed below.

Content and Format of Concept Papers The concept paper must be written in English and must not exceed six (6) pages, using Times New Roman 12-point font, on standard 8.5” x 11” sized paper, and single spaced with no less than one inch margins and pages numbered consecutively. Any submissions OVER SIX PAGES WILL NOT BE EVALUATED. The concept paper needs to be in either PDF or Microsoft Word format (.docx). Under 5 CFR 1320, the Paperwork Reduction Act, only electronic copies of the concept paper will be accepted.

The concept paper must be prepared according to the structural format set forth below.

Concept Paper Requirements

Cover Page (1 page, not included in page limit) : Include the APS number and organization’s name and main point of contact at the organization with contact information

Informational: 1 page in length (These response components are informational and will not be evaluated.)

1. Which Round 1 Intermediate Result(s) will your organization’s work contribute to? Your work can contribute to IR 1 alone; IRs 2 and 3 together; or IRs 1, 2 and 3 together.

2. What role do you see your organization playing: prime partner, sub-partner/consortia partner, or either?

3. Nominate 2-3 individuals (include name, title, employing organization) to represent the team in the co-creation workshop. Describe, very briefly, why the individuals you are nominating are the best people to engage in robust, creative, technical dialogue and design in the Intermediate Results for Round 1. Individuals whose focus is on business development will not be considered for participation in the workshop. USAID needs this information for the preparation of the co-creation meeting, but will not evaluate the concept paper submissions in this area. USAID reserves the right to disapprove nominated individuals and request additional/different nominations at its discretion. It is essential that the participants nominated will be able to participate in the workshop full time and at their own (or their organization’s) expense.

Participation costs will not be reimbursed by USAID.

Technical: 3-5 pages in length (Evaluated)

1. Please describe one example of how your organization has used an innovative method or approach to meet a critical knowledge management challenge. Please share an example that is relevant to at least one of the Round 1 IR(s) in which you expressed interest in the Information section. This example does not need to cover all IRs if you have expressed interest in two or all three. Please write no more than one (1) page for this innovative approach.

2. For each Round 1 IR of interest to your organization, please succinctly state what you see as a priority need in this area and describe one possible approach for meeting that need. This approach should link to your organization’s expertise and experience as described below. Please write no more than one (1) page for each IR to which your organization is responding.

3. Provide a clear and succinct narrative of relevant organizational capacity and technical expertise, including specific relevant strengths and potential contributions, in relation to the overall APS purpose and the focus of Round 1.

Concept Paper Process

Concept papers received under this APS will be reviewed based on full and open competition and under the procedures and evaluation criteria identified in Section V. Competition under this APS will consist of a two-step process where applicants first submit a concept paper for an initial competitive review:

1) All concept papers received will be evaluated by a USAID Merit Review Committee (MRC) for responsiveness to the specifications outlined in this APS, Section V. After a concept paper is received, USAID reserves the right to pose clarifying questions and conduct discussions with any applicant, but may not opt to do so if it believes it has sufficient information in the concept paper itself. Posing clarifying questions and conducting discussions with one applicant does not obligate USAID to do so with all applicants.

2) After the concept papers are evaluated, all successful, prospective qualifying Applicants will be invited to continue the co-creation and collaboration process to identify and develop the activities that will help achieve the results desired under this APS and specific Round; identify and incorporate additional partners; and determine respective roles and responsibilities related to the implementation of those activities. Additional instructions and criteria for full application submissions will be provided after evaluation of concept papers, co-creation workshop (if necessary), and when full applications are requested.

For Applicants seeking to receive USAID funding to implement the proposed activities under this APS, USAID’s discussions with those Applicants will take place within the parameters of publicly available information. These parameters provide ample room for extensive, robust discussions regarding the development problem in question (Section I), best practices, lessons learned in the relevant technical sectors, and pertinent research and evaluations and various other matters. After concept papers have been submitted, USAID personnel can have highly specific, detailed activity design discussions with the prospective award recipient(s) throughout the remainder of the process, e.g., up to and through any award that might be issued under this APS. USAID also reserves the right to make an award without discussions if determined to be in the Government’s best interest.

Note: None of USAID’s communication during the co-creation process provided by this APS should be interpreted as a commitment to making an award of USAID funding. Applicants are advised that participation in the co-creation process under this APS is entirely at their own risk; the Government is not responsible for any cost incurred by the Applicant, if the Applicant decides to accept the invitation to co-create with USAID. A commitment to an award of USAID funding is only made when an award implementing mechanism (agreement or grant) is signed.

Concept papers should be free of any intellectual property that the applicant wishes to protect, as the concept papers may be shared with other organizations as part of the co-creation process. However, once potential partners have been invited to engage in further discussions, they will work with USAID to identify proprietary information that requires protection. Therefore, organizations submitting concept papers provide USAID a royalty free, non-exclusive, and irrevocable right to use, disclose, reproduce, and prepare derivative works, and to have or permit others to do so to any information contained in the concept paper submitted under this APS. If USAID engages with the organization regarding its concept paper, the parties can negotiate further intellectual property protection for the organization’s intellectual property. Organizations must ensure that any submission under this APS is free of any third party proprietary data rights that would impact the license granted to USAID herein.

Concept Papers are not evaluated against other concept papers, but rather against the Concept Paper Evaluation Criteria in Section V. These criteria will help to determine whether USAID believes that the applicant will be a valuable contributor to the co-creation process. The evaluation of the technical content in the Concept Papers against Section V will allow the Merit Review Committee to determine if an organization could make valuable technical contributions to the design process per Section V criteria;

these ideas may or may not be the same approaches developed further during co-creation, though the solutions and strategies generated may draw from these ideas. The content of the Concept Papers should not include specific proposed partnerships, as those partnerships will be developed throughout co-creation. USAID may limit the number of initial submissions selected to move forward based on efficiencies.

Co-Creation Process

Co-Creation Workshop. The primary component of the co-creation process will be a focused and intensive group workshop that may extend beyond one (1) day. USAID anticipates that the workshop will be held on or around July 23, 2018 in the greater Washington, DC area. In-person participation in the workshop will be required for all successful concept paper Applicants, regardless of whether the Applicant has indicated interest in being a prime- or a sub-partner in an eventual award; virtual participation of suggested additional partners may be considered if they are not located in the US.

Discussions may continue between USAID and Applicants and among Applicants after the workshop is completed. Note: Travel costs - and any other costs associated with attending the workshop - will not be reimbursed by USAID. If a successful concept paper Applicant cannot attend the co-creation workshop in person or virtually, their concept paper will removed from consideration for award.

The goals of the co-creation workshop will be to explore and validate key challenges and problems, and then jointly develop promising solutions or adapt and expand upon existing solutions, which will in turn become the potential sub-IRs or activities that will ultimately lead to the accomplishment of the Intermediate Results (specific to the Round). Ideas described within the Concept Papers may be discussed and further developed in the workshop, but workshop thinking, and possibly eventual full applications, will not be limited to these ideas. The workshop is also intended to help identify potential consortia and partnerships to support these new or existing solutions and activities. This may result in organizations moving forward with implementation, if an award is made, of the solution(s) based on essential and complementary knowledge, skills, capacities, and networks. More broadly, the workshop will facilitate learning, sharing, and networking across a range of partners and relevant technical experts. The workshop therefore may include technical experts, potential resource partners1, and end users invited by USAID, in addition to those Applicants who submitted successful concept papers. Given these goals, potential participants must be willing to share expertise and ideas, and must welcome a diversity of perspectives and expertise, with the common goal of learning and innovating together to achieve key knowledge management outcomes.

Note on additional partners/resources: Until full applications are submitted, both the applicant and USAID may identify and include potential additional technical partners and/or potential resource partners.

If additional technical or resource partners are identified prior to the co-creation workshop, invitations

1 Shared resourcing may be accomplished through funding by USAID, the award recipient, and/or third parties (“resource partners”), either through cash resources or the exchange of other resources, both tangible and intangible, such as in-kind contributions, expertise, intellectual property, brand value, high-value coordination, and access to key people, places, and information. Co-investing does not require equally shared resourcing (such as 1:1 leverage), but rather resource contributions that are appropriate to the specific project’s objectives, considering the comparative advantages brought by the participation of each party and the award type.

will be sent to the potential partners to participate in the workshop. All additional technical partners may be included as part of a subsequent full application if there is agreement to do so between the potential partner, the original concept paper applicant, and USAID, but this is not guaranteed. Discussions with potential resource partners may continue throughout the APS process and during implementation.

USAID reserves the right to remove collaboration participants from award consideration should the parties fail to reach agreement on activity concept, design, award terms, conditions, or cost/price within a reasonable time, the participant fails to provide requested additional information in a timely manner, or the U.S. Government believes it is in its best interest.

Full Application Process

After the co-creation workshop, if the Merit Review Committee decides a full application(s) is warranted, full application instructions and criteria will be provided to the applicant(s) or groups of applicants that are proposing to work together. All full applications will be reviewed for their technical merit against the full application evaluation criteria by the Merit Review Committee. Using its technical expertise, the Merit Review Committee may suggest revisions and additions to the proposed project as well as potential partners and resources. USAID will continue to have robust communication with applicants, potential partners, and other key stakeholders regarding the technical substance of the evolving approach, as well as the identity and roles of proposed or additional partners. USAID may request that key personnel of applicants deemed responsive and eligible deliver an oral presentation describing their proposed technical approach to inform the technical merit review.

Agreement Officer Determination. If the Merit Review Committee selects application(s) for funding, its review will be shared with the Agreement Officer for cost analysis, final approval and award negotiation.

During this stage, the Apparently Successful Applicant(s) and USAID can further design the technical approach, and clarify general resource requirements, additional partner involvement, and management control of the project under the guidance of the Agreement Officer. The Apparently Successful Applicant(s) may also be asked to provide more information about its technical approach, capacity, management and organization, proposed cost and budget, responsibility, and representations and certifications.

The Agreement Officer will engage in final review, negotiation, and determinations of award instrument type, responsibility, and cost reasonableness, and will draft an award instrument, to be reviewed by the Apparently Successful Applicant(s). The standard provisions for awards are generally prescribed by law and regulation and will vary by award type (cooperative agreement or grant). Information regarding provisions will be offered to the Apparently Successful Applicant(s) when the award type is identified and the award instrument is drafted. USAID reserves the right to accept applications in their entirety or to select only portions of the application to award. If the Apparently Successful Applicant(s) and USAID cannot arrive at a mutually agreeable arrangement, the Agreement Officer will not make the award(s), which will be at no cost to the Government.

If multiple awards are made, these recipients are expected to collaborate closely throughout the entire implementation phase.

Funding Restrictions

Construction is not an allowable activity under this APS. Also, USAID does not allow reimbursement of pre-award costs under this APS.

SECTION V - Concept Paper Evaluation Criteria

Concept papers will be reviewed by a Merit Review Committee according to the following criteria. The purpose of this review is to ensure that prospective partners bring appropriate capabilities, experiences, and potential contributions to the co-creation process - and ultimately to the implementation of activities supporting the Strategic Objectives of this APS and the relevant Round. The final selection of successful concept papers will be determined by the AO. A concept paper is determined to be successful if it receives a Pass overall based on the four criteria below.

Criteria 1-4 are all equally important.

1. The concept paper must demonstrate a strong understanding of current priority needs related to knowledge management, related to each IR included in the concept paper.

2. The concept paper must describe a clear, feasible, and ambitious approach for meeting those needs, related to each IR included in the concept paper.

3. The concept paper must demonstrate a strong understanding of innovative approaches in knowledge management that are relevant to at least one of the Round’s IRs included in the concept paper.

4. The concept paper must describe appropriate organizational capacity and technical expertise in one or more areas of knowledge management or related fields in relation to the overall APS purpose and focus of the Round.

Additional instructions and criteria for full application submissions will occur after evaluation of…