NOFO#72038621RFA00004_CABH.pdf

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Issuance Date: March 24, 2021 Deadline for Submission of Questions: April 1, 2021, 11:59 PM India time (response to questions will be provided through amendment#1 at www.grants.gov ) Deadline for Submission of Concept Paper: April 23, 2021, 11:59 PM India time CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) No.: 98.001

Subject: Notice of Funding Opportunity (NOFO) Number: 72038621RFA00004

Activity Title: Cleaner Air and Better Health (CABH) Activity

Ladies/Gentlemen:

The United States Agency for International Development (USAID) is seeking applications for a Cooperative Agreement from qualified organizations to fund activity entitled “Cleaner Air and Better Health (CABH) Activity”. Eligibility for this award is not restricted. The authority for the NOFO is found in the Foreign Assistance Act of 1961, as amended.

USAID intends to make a single award to the applicant(s) who best meets the objectives of this funding opportunity based on the merit review criteria described in this NOFO, subject to a risk assessment.

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

This NOFO contains three merit review phases:

Phase 1: Applicants will submit a 10 page concept paper. Based on USAID’s evaluation of the Initial Applications, only the top applicants will be invited to participate in Phase 2.

Phase 2: Selected applicants from Phase 1 will be invited to participate through a video conference in an oral presentation to briefly present their proposed technical approach focusing on USAID’s questions and clarifications.

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Phase 3: Based on the evaluation of oral presentations, one or two apparently successful applicant/s, will be selected to co-create the full application that would consist of a technical and cost application. Based on the apparently successful applicant’s concept, a program description will be developed with USAID which will be incorporated into the resulting Cooperative Agreement. USAID will evaluate the resulting program description and the accompanying cost application from the applicant and grade it as acceptable or not acceptable.

Please send any questions to the point(s) of contact identified in section D. USAID intends to make an award to the successful and responsible applicant whose application best meets the requirements of this NOFO and the Merit Review Criteria contained herein. While one award is anticipated as a result of this NOFO, USAID reserves the right to fund any, many or none of the applications submitted. The finally selected applicant will be responsible for ensuring the achievement of the program objectives. Please read each section of the NOFO.

USAID may not award to an applicant unless the applicant has complied with all applicable unique entity identifier and System for Award Management (SAM) requirements detailed in Section C.1. The registration process may take many weeks to complete. Therefore, applicants are encouraged to begin registration early in the process.

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

Thank you for your interest in USAID programs.

Sincerely, /s/

Armando Espinosa Regional Agreement Officer USAID/India

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SECTION A: PROGRAM DESCRIPTION 5

A.1 Authorizing Legislation 5

A.2 Program Framework 5

SECTION B: FEDERAL AWARD INFORMATION 11

B.1 Estimate of Funds Available and Number of Awards Contemplated 11

B.2 Expected Performance Indicators, Targets, Baseline Data, and Data Collection 11

B.3 Anticipated Start Date and Period of Performance for Federal Awards 12

B.4 Substantial Involvement 13

B.5 Authorized Geographic Code 13

B.6 Nature of the Relationship between USAID and the Recipient 13

SECTION C: ELIGIBILITY INFORMATION 14

C.1. Eligible Applicants 14

C.2 Cost Share or Leverage 14

C.3 Other 15

SECTION D: APPLICATION AND SUBMISSION INFORMATION 16

D.1. Agency Point of Contact 16

D.2 Questions and Answers 16

D.3 General Content and Form of Application 16

D.4 Application Submission Procedures 16

D.5 Overall Selection Process 17

D.6 Content and Form of Application Submission 18

SECTION E: APPLICATION REVIEW INFORMATION 30

E.1 Criteria 30

E.2 Review and selection Process 30

E.3 Phase 2 – Oral Presentation 31

E.4 Phase 3 – Co-Creation 31

E.5 Final Technical Application/Program Description 32

E.6 Cost/Business Review 32

SECTION F: FEDERAL AWARD ADMINISTRATION INFORMATION 34

F.1 Federal Award Notices 34

F.2 Administrative & National Policy Requirements 34

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F.3 Reporting Requirements 35

F.4 Program Income 35

F.5 Environmental Compliance 35

F.6 ADS 303.3.35.2 Covered Telecommunication and Video Surveillance Equipment or Services (Effective Date: 08/18/2020 37

F.7 Procurement of “Covered Material” 38

F.8 Program Reporting 39

F.9 Branding & Marking 43

SECTION G: FEDERAL AWARDING AGENCY CONTACT(S) 45

SECTION H: OTHER INFORMATION 46

ANNEX 1: CERTIFICATIONS, ASSURANCES, OTHER STATEMENTS OF THE

RECIPIENT AND SOLICITATIONS STANDARD PROVISIONS 47

ANNEX 2: PAST PERFORMANCE QUESTIONNAIRE 67

ANNEX 3: PRELIMINARY GENDER EQUALITY AND SOCIAL INCLUSION ANALYSIS

1. Background 71

2. Main Findings by Domain 72

2.1 Laws, Policies, Regulations, and Institutional Practices. 72

2.3 Gender Roles, Responsibilities and Time Use 74

2.4 Access to and Control over Assets and Resources 76

2.5 Patterns of Power and Decision-making 77

3. Analysis Of Issues And Recommendations By Technical Component 78

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SECTION A: PROGRAM DESCRIPTION

A.1 Authorizing Legislation This funding opportunity is authorized under the Foreign Assistance Act (FAA) of 1961, as amended. The resulting award will be subject to 2 CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, and USAID’s supplement, 2 CFR 700, as well as the additional requirements found in Section F.

A.2 Program Framework A.2.1 Purpose The purpose of the Cleaner Air and Better Health (CABH) activity is to strengthen air pollution mitigation and exposure reduction systems in selected regions of India, contributing to a cleaner environment and healthier population. Through the CABH activity, USAID/India will support the Government of India (GOI) to address air pollution and its health impacts by: supporting Indian counterparts in identifying and developing regulatory interventions for improved governance on air pollution mitigation and health impacts; leveraging U.S. and Indian innovation, finance and expertise for air pollution mitigation measures and reducing exposure to air pollution; helping strengthen the science underpinning solutions; and raising awareness across stakeholders to drive social and behavioral transformation.

A.2.2 Problem Statement The World Health Organization has declared air pollution a global environmental health emergency. In India, it threatens to unravel national development progress and impede the country’s Journey to Self-reliance (J2SR). Exposure to air pollution in India is among the highest in the world and continues to increase.

India has made great strides in growing its economy, creating a world-class scientific community, and establishing a vibrant private sector. Yet exposure to air pollution in India is among the highest in the world and continues to worsen over time. In 2015, an estimated 99.9 percent of the Indian population lived in areas where air pollution levels exceeded WHO air quality guidelines.1 India includes 11 of the world’s 15 most polluted cities,2 a crisis that led to

1.2 million premature deaths in 2017 according to the 2019 State of Global Air.3 Air pollution causes billions of dollars in lost economic productivity. The World Bank estimated the cost of air pollution in India at $505 billion per year or 7.7 percent of total GDP in 2013, a 5 factor increase from 1990, and labor losses in India due to air pollution were estimated to be 55 billion US dollars.4 Deaths and disability from air pollution either matched or exceeded the burden of

1 https://www.healtheffects.org/publication/gbd-air-pollution-india

2 2018 World Health Organization database on city level air pollution monitoring for PM 2.5.

3 Health Effects Institute. 2019. State of Global Air 2019. Special Report. Boston, MA:Health Effects Institute.

4 World Health Organization (WHO), ‘Household Air Pollution and Health,’ 2018 - https://www.who.int/news-room/fact-sheets/detail/household-air-pollution-and-health

6 | Page disease caused by tobacco use. There is growing evidence to show that the health and economic effects on women and men differ because of their gendered roles and responsibilities. These factors, amongst many, threaten India’s prosperity by increasing pressure on India's social services infrastructure, compromising an already challenged workforce, undermining economic productivity and further marginalizing those who do not have the means to mitigate exacerbating problems due to pollution.

While it might be tempting to search for a silver bullet or panacea to solve India’s air pollution problems, there is no such solution. The sources of air pollution are diverse and varied by time and location. Challenges are different in both rural and urban areas for all genders and marginalized communities. Energy processes account for a large source of air pollution exposure in India, from coal-fired power plants, industrial operations (namely from coal combustion), diesel-based backup generation, and indoor biomass burning for cooking and heating. Vehicles (inefficient and air-polluting two and three-wheeler motor bikes, cars, trucks, and buses) are also a primary contributor to ambient air pollution mostly in urban areas. Other sources of air pollution include open burning of agricultural, forest land and solid waste. If India is to manage its air pollution challenges, behavior change and improvements to waste management systems and infrastructure are of the essence. Reducing pollution at its source is an assured tool for tackling air pollution.

Although mitigation will take time it should be understood that measures are needed to reduce air pollution exposure, which disproportionately impacts poor and marginalized populations, which have fewer resources immediately. Traditionally the environment sectors have played a key role in achieving air quality; however, the public health sector can play an important role by increasing awareness on air pollution and reducing exposure which would maximize program efforts. Due to these factors, a multi-sectoral response is needed to address this complex issue.

There is strong momentum building across domestic and international stakeholders to take on this challenge. The Government of India released the National Clean Air Programme (NCAP) in January of 2019. The strategy proposes a 20-30% reduction targets by 2024 for reducing particulate matter of less than 2.5 microns (PM2.5) or 10 microns (PM10) at both the regional and urban scales, and identify priority mitigation actions and interventions.

The US Government interagency is actively collaborating to support India’s efforts to improve air quality management and reduce exposure to air pollution and its health impacts through a suite of activities. USAID supported Enabling Air Quality program helped in the design, implementation and evaluation of pilots that advance evidence-based regulatory reform, including the world’s first emissions trading scheme for fine particulate matter in the city of Surat in the Indian state of Gujarat. The Environmental Health and Safety Plus Center program is helping equip factories to plan, execute and assess interventions that achieve measurable and lasting reductions in air pollution emissions. The Clean Air Catalyst program will create a replicable data-to-impact methodology consisting of participatory source attribution; structured identification of root causes of the most health-damaging air pollution; and interventions to reduce the most toxic air pollution sources to improve human health. Understanding how different pollutants impact women, men, and marginalized communities differently is critical to ensure gender equality and female empowerment and successful implementation of this activity.

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In addition, USAID is supporting an effort to channel the emerging public outcry about air pollution, and the network of local champions and organizations working on air quality, into a cohesive, strategic, and action-oriented movement demanding change in up to four cities in India. Through a partnership with the SMART Cities Platform, USAID supports the city of Indore to manage its air quality by employing citizen research and evidence based communications.

A.2.3 Theory of Change The theory of change for CABH is that IF air pollution mitigation systems are strengthened AND IF air pollution exposure is reduced THEN the environment would be cleaner and the population healthier. In doing so, CABH will contribute toward India’s ability to meet its NCAP commitments.

Through the CABH activity, USAID/India will enhance India’s efforts to reduce pollution and address pollution health impacts as envisioned under Development Objective two (DO2) of USAID’s India Country Development Cooperation Strategy (CDCS) 2020-2024 (https://www.usaid.gov/sites/default/files/documents/1861/India_CDCS_2020-2024.pdf )

A.2.4 Objectives and Key Results

There are two objectives for this activity: 1. Improve air pollution mitigation; 2. Reduce exposure to air pollution. Four results are envisioned under each of the two objectives.

Objective 1: Improve air pollution mitigation

Reducing pollution requires a complex engagement on a technological, governance, financial, and behavioral level, with cooperation among regulators, industry, and civil society. Many programs for air pollution mitigation have been initiated in India for air pollution by various ministries. However, numerous gaps remain, including bringing these various initiatives and others into holistic air quality management frameworks; promoting individual level adoption of these interventions; creating an enabled environment where private sector initiatives can promote these policies; and strengthening the capacity of governmental agencies to actualize these policies.

Under this objective, USAID/India seeks for the CABH activity to mitigate air pollution.

Mitigation refers to the reduction of air pollutants being emitted into the environment through either process changes that prevent the generation of emissions at its source, to the use of air pollution control devices that prevent pollutants from being emitted into the environment.

This objective is grounded in the notion that a combination of tools, ranging from improved governance and complementary market-based approaches, to behavior change at the community and individual level, to the use of cleaner energy and abatement technologies, can help mitigate air pollution.

The results and illustrative interventions under this objective are provided below:

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Result 1.1: Improved capacity of decision-makers to use evidence-based approaches for air quality management; formulating policy; and implementing and enforcing mitigation actions.

This will include supporting the development, testing and introduction of systematic air quality management tools as well as regulatory, policy and other frameworks.

Illustratively, CABH could support atmospheric modeling, cost-benefit analysis, and other tools to enable central, state and local air management bodies to identify cost-effective solutions.

Result 1.2: Communities are empowered to advocate and act for improved air quality.

With the consequences of air pollution felt by both rural and urban communities, community action can be mobilized and serve as a powerful tool for improving air quality. CABH could support citizens’ movements that are building community demand for change and empowering communities (gender balanced) to advocate and act for improved air quality.

Result 1.3: Increased use of market-based and enterprise-led approaches that complement traditional regulatory approaches to mitigate air pollution.

This will include catalyzing private sector participation including incubators/accelerators and small and medium enterprises in the development, testing, demonstration and scale-up of air pollution technologies and practices; and introducing and/or expanding the use of innovative finance models, such as development impact bonds and pay-for-results mechanisms, to support investment in air pollution technologies and practices.

Result 1.4: Increased deployment of mitigation technologies and systems, including source elimination, cleaner energy and air pollution control devices; improved landscape management.

CABH will support government, private sector and public-private partnerships in deploying mitigation technologies and systems. Illustratively, the activity could: (i) help further take to scale the Emissions Trading Scheme for air pollution mitigation; (ii) support the regulatory design and finance for retrofitting diesel vehicles as India leapfrogs to level 6 emission standards; and (iii) promote improved land use and agricultural practices that contribute to air pollution, such as reducing crop residue burning and rejuvenating degraded landscapes.

Objective 2: Reduce exposure to air pollution

Exposure reduction, for the purposes of this activity, refers to processes that reduce the amount of air pollution that is absorbed by the public through inhalation, contributing to reduced health effects. These processes will include, for example, improved indoor air quality, behavioral changes that reduce time spent outdoors during high pollution times, as well as using self-

9 | Page protection devices such as masks to reduce pollution at the point of inhalation. This objective recognizes that a combination of approaches is needed to reduce exposure to air pollution, from individual behavioral change to the improvement of indoor air quality. It recognizes the need for additional evidence of what health interventions may be successful for reducing exposure, such as the effective use of health practitioners (doctors, nurses, community health officers, and other frontline health workers) as channels for influencing behavioral change.

The results and illustrative interventions under this objective are provided below:

Result 2.1: Improved capacity of decision-makers to use evidence-based approaches for reducing exposure and improving health.

This will support research; stakeholder engagement; feedback loops between researcher, decision-makers and users, and so forth to inform policies and practices that promote indoor air quality measures. Illustratively, research could be related to developing and/or improving building codes that take ventilation and other environmental health factors into account.

Result 2.2: Expanded evidence base for high-impact health interventions.

This will include research, adaptation and deployment of tools and technologies that will lower direct exposure to air pollution, particularly for the most vulnerable (children with pneumonia, pregnant women, etc.) such as tools and technologies related to the use of personal protection equipment, improved access to cookstoves and more.

Result 2.3: Increased adoption of behavioral change for exposure reduction.

Illustrative interventions include supporting local organizations in public education and advocacy efforts; engaging healthcare practitioners as messengers; supporting community efforts to reduce exposure; involving women to include their view points (a change in the social norm), and other efforts to promote behavior change.

Result 2.4: Improved indoor environment.

Illustrative interventions include support for promoting the adoption of building codes (e.g., for ventilation), promoting cleaner building operations and maintenance, and the operationalization of the Ujjwala scheme and other demonstrations that may help improve indoor air pollution.

A.2.5 Proposed Geographic Focus Areas In their response to the solicitation, offerors will propose where their interventions will be conducted and provide the analysis supporting the geographic focus. Although the offeror can propose both urban and rural areas, emphasis should be placed on supporting non-attainment cities as identified by NCAP. The selection of geographic location will be finalized during the co-creation (Phase 3) and would be subject to MoEFCC approval.

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A.2.6 Link to Agency Priorities The CABH activity is aligned with India Country Development Cooperation Strategy (2020-24) and other broader USAID priorities such as the Journey to Self Reliance, Indo-Pacific Strategy, Private Sector Engagement Strategy, and Environment and Natural Resources Management Framework.

A.2.7 Guiding Principles

Coordination: USAID/India and the applicant will finalize the teaming arrangement/ consortium framework (if applicable) through the co-creation process. The CABH activity will engage with relevant host government ministries. The activity will coordinate with current USAID-funded activities and leverage the work of other relevant actors and stakeholders to ensure complementarity and avoid duplication of efforts. There may be opportunities to engage with the Gandhi-King Development Foundation.

Gender and Social Inclusion: Activity will widen its impact by taking explicit account of: (1) the disproportionate and severe health effects of air pollution on different segments of population based on gender, ethnicity, and disability through transition strategies that address problems for all the population equally. Please see annex 3 for detailed information on gender and social inclusion.

Flexible and Adaptive Programming: USAID recognizes the importance of thinking critically and shifting strategic decisions to respond to emerging development challenges. This activity should maintain the flexibility and adaptability to ensure responsiveness to evolving local dynamics and to take advantage of opportunities, as well as mitigate challenges in a timely and effective manner. This will require a management approach that regularly reassesses the operating environment in targeted urban and/or rural areas, to allow any necessary course corrections and adjustments to specific ongoing implementation as necessary based on information feedback. The activity will be flexible enough to be able to adapt to changing circumstances and respond with different approaches, as needed.

Note: The term “program” as used in 2 CFR 200 and this NOFO is typically considered by USAID to be an Activity supporting one or more Project(s) pursuant to specific Development Objectives. Please see 2 CFR 700 for the USAID specific definitions of the terms “Activity” and “Project” as used in the USAID context for purposes of planning, design, and implementation of USAID development assistance.

END OF SECTION A

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SECTION B: FEDERAL AWARD INFORMATION

B.1 Estimate of Funds Available and Number of Awards Contemplated USAID intends to award one Cooperative Agreement pursuant to this notice of funding opportunity. Subject to funding availability, successful ongoing implementation and at the discretion of the Agency, USAID in total government funding intends to provide US$15 Million through incremental funding over a five (5) year period.

USAID reserves the right to change the funding amounts, cycle, and terms of the resulting Cooperative Agreement as a result of availability of funds and US Government requirements.

The Recipient will be notified in writing should such changes occur.

B.2 Expected Performance Indicators, Targets, Baseline Data, and Data Collection

Monitoring, Evaluation and Learning: USAID/India intends for the activity to be subject to rigorous monitoring, evaluation and learning approach to (a) ensure the intended results and impact are being generated; and (b) ensure the tracking and reporting of results to inform activity management if, and when, course corrections may be necessary;

The Monitoring, Evaluation and Learning (MEL) plan should include the activity’s logic model, (logical framework orothers), key performance indicators, including draft targets for each indicator and information on data quality assurances; and a calendar of key performance management tasks. Further, the plan should describe the process for monitoring, evaluating, and learning from implementation to adapt and achieve results. The CABH activity should use results-based management and the performance metrics approach as a tool for activity design, implementation, monitoring and evaluation.

Tentative list of indicators to monitor results is given below. The final list of indicators will be developed during the co-creation (Phase 3).

Air pollutants, such as PM2.5 or PM10, reduced through interventions supported by USAID

● Percentage of households in targeted areas that implement at least one practice to reduce health impact of air pollution

● Projected greenhouse gas emissions reduced or avoided through 2030 from adopted laws, policies, regulations, or technologies related to clean energy as supported by USG assistance

● Projected greenhouse gas emissions reduced or avoided from adopted laws, policies, regulations, or technologies related to sustainable landscapes as supported by USG assistance

● Number of people reached with communications and knowledge dissemination activities (sex and social group disaggregated)

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● Number of new evidence products generated

● Number of laws, policies, regulations, or guidelines, developed/implemented/adopted with USG support

● Number of tools, innovations, and practices adopted for mitigating the air pollution sources in various sectors

● Percentage of female participants in USG-assisted programs designed to increase access to productive economic resources (assets, credit, income or employment)

● Number of persons trained with USG assistance to advance outcomes consistent with gender equality or female empowerment through their roles in public or private sector institutions or organizations

● Amount of investment mobilized (in USD) for addressing air pollution projects as supported by USG assistance

● Number of private sector partnerships established for technology adoption and implementation

● Number of institutions with improved capacity to address air pollution issues as supported by USG assistance.

Annual Pause and Reflect session to inform annual reporting and the following year work plans.

These Pause and Reflect sessions serve to review what types of interventions may be necessary to adjust course. A mid-term and final evaluation will be conducted by a third party as per USAID guidelines.The mid-term evaluation will be undertaken in year two of the project implementation to assess the activity Theory of Change (TOC), risks and assumptions, and review the progress towards expected results and make mid-course corrections, if needed. The evaluation will measure processes, early progress on getting results, modification in the project implementation, if any.

Considering the progress and requirement, a final performance evaluation will be undertaken to assess relevance, effectiveness, efficiency, sustainability and results against the proposed objectives of the project.

USAID/India recognizes that development efforts yield positive change more quickly if they are coordinated and collaborative, test promising new approaches in a continuous search for improvement, and build on what works, while eliminating what does not. The recipient must therefore propose and implement a Collaboration, Learning and Adaptation (CLA) approach in the project to continuously assess the activity’s causal pathways, target outcomes, and adjust the interventions and approach as necessary to yield the most effective course of action. The CLA Plan must clearly relate to the MEL Plan.

B.3 Anticipated Start Date and Period of Performance for Federal Awards The anticipated period of performance is five (5) years. The estimated start date will be upon the signature of the award, on or about September, 2021.

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B.4 Substantial Involvement 5

In accordance with ADS 303.3.11, USAID will remain substantially involved over the life of the Cooperative Agreement to assist the Recipient in achieving the expected outcomes and results of the program. Some examples of potential areas of substantial involvement during performance include the following:

● Approval of recipient's implementation plans;

● Approval of the recipient's monitoring and evaluation plans;

● Approval of key recipient personnel; and

● Joint participation will be necessary to ensure achievement of key objectives during the performance of the activity.

B.5 Authorized Geographic Code

The authorized geographic code for the procurement of services and commodities is 937. Code 937 is defined as the United States, the recipient country (India), and developing countries, but excluding any country that is a prohibited source. There are currently no prohibited source countries, but the list is updated regularly and can be found here:

http://www.usaid.gov/sites/default/files/documents/1864/310mac.pdf

B.6 Nature of the Relationship between USAID and the Recipient

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

END OF SECTION B

THE REMAINDER OF THIS PAGE LEFT BLANK INTENTIONALLY.

5 This Substantial Involvement section is subject to change following the Co-Creation Workshop and submission of the Final Application (Phase 3)

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SECTION C: ELIGIBILITY INFORMATION

C.1. Eligible Applicants This funding opportunity is unrestricted and is open to all eligible U.S and non-U.S. non-governmental organizations (other than those from foreign policy restricted countries), including foundations, institutions of higher education, consortiums and public international organizations, etc. Individuals are not eligible to participate.

Pursuant to 2 CFR 200.400(g), it is USAID policy not to award profit under assistance instruments such as Cooperative Agreements. While for-profit firms may participate, pursuant to 2 CFR 700.13(A)1), Prohibition against Profit, no profit will be paid to any for-profit entity receiving or administering Federal financial assistance as a recipient or subrecipient.

USAID welcomes organizations that have not previously received financial assistance from USAID to submit their applications.

Though not required during the Phase 1 and Phase 2 application process, the “Apparently Successful Applicant6” (ASA) must provide a valid DUNS number in the SF-424 form that is to be submitted along with their full application. The ASA should also have successfully registered in SAM (System for Award Management) prior to award. For those who have previously registered in SAM, they must renew and maintain an active SAM registration during the time they have concept notes or applications under consideration by a Federal awarding agency, or during an active Federal award.

C.2 Cost Share or Leverage7 Under this NOFO there is not a mandatory cost share requirement. However, a minimum leverage of 25% of the award amount is required.

What is Leverage?

Leveraging represents all of the non-USAID resources that are expected to be applied to a program which will enable the activity to engage in interventions that are of shared interest and will enable the interventions to be continued after the CABH ends. Leveraging may include financial contributions, third party contributions, the value of donated services and property, including intellectual property; or may be anything of value that can be measured in some form that permits evaluation of the contribution’s impact on achieving desired results. Third parties can include the host government and the private sector.

6 Apparently Successful Applicant(s). The applicant for USAID funding recommended for an award after the merit review, but who has not yet been awarded cooperative agreement by the Agreement Officer. Apparently successful applicant status confers no right and constitutes no USAID commitment to an award, which still must be obligated by the Agreement Officer.

For more information on Leverage, please see:

https://www.usaid.gov/sites/default/files/documents/1861/India_RFIP_CostShareProgramIncomeLeverage.pdf ADS 303.3.27 Public-Private Partnerships

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What is Private Sector?

For the purposes of CABH, the “private sector” will be defined broadly as: for-profit, commercial entities and their affiliated foundations; financial institutions, investors and intermediaries; business associations and cooperatives; micro, small, medium and large enterprises that operate in the formal and informal sectors; American, local, regional, and multinational scale businesses; and for-profit approaches that generate sustainable income (e.g., a venture fund run by a non-governmental organization (NGO) or a social enterprise).

What is Cost-Share?

Cost-share is a subset of leveraging. However, cost-share becomes a condition of the award when it is made part of the approved award budget. Cost sharing must be verifiable from the recipient’s records, is subject to the requirements of 2 CFR 200.306, and is auditable. If the recipient does not meet its cost sharing requirement, it can result in questioned costs. For USAID/India, cost share has been further defined as those contributions provided by the recipient organization itself (either cash or in-kind).

C.3 Other An organization may submit only one (1) concept paper as a prime or consortium leader under this NOFO. However, organizations may be part of other consortiums as a sub-recipient.

C.4 Pre-award Survey / Risk Assessment

The ASA will be responsible for ensuring achievement of the objectives described in the NOFO. Therefore, the AO will decide on whether to subject the ASA to a pre-award survey, and based on the results, will make a determination if the prospective recipient is a responsible entity, i.e., whether it has the necessary organization, experience, adequate 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. The ASA must agree to practice mutually agreed-upon methods of accountability for funds and other assets provided or funded by USAID. In the absence of a positive risk assessment, an award can ordinarily not be made. However, in rare cases, an award can be made with “Specific Conditions” (as in 2 CFR 200.207), but only where it appears likely that the applicant can correct the deficiency within a reasonable time period.

Note: A pre-award survey does not commit USAID to make any award.

END OF SECTION C

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SECTION D: APPLICATION AND SUBMISSION INFORMATION

D.1. Agency Point of Contact Mr. Armando Espinosa Agreement Officer aespinosa@usaid.gov

D.2 Questions and Answers Questions regarding this NOFO should be submitted by email to indiarco@usaid.gov, with a copy to vvats@usaid.gov no later than the date and time indicated on the cover sheet, or as per any amendment to furnish information regarding this NOFO. Questions and Concept Paper file/s submission must be compatible with Microsoft (MS) Office in a MS Windows environment and/or Adobe Acrobat (.pdf). The subject of each e-mail must read as:

NOFO #72038621RFA00004 - Cleaner Air and Better Health (CABH)

D.3 General Content and Form of Application Applicants are expected to review, understand, and comply with all aspects of the NOFO.

Applicants must ensure the necessary documents are complete and received at USAID on time.

All submissions received by the stated deadlines in the NOFO will be reviewed in accordance with the review criteria contained in Section E of this NOFO. Failure to do so may result in the submission being considered non-responsive and will not be reviewed.

Submissions must be in electronic format. Applicants’ authorized representatives are to sign their names (manually or digitally) on the cover pages of their submissions, as well as in required certifications. For a submission to be considered timely, the electronic transmission must be submitted by email to indiarco@usaid.gov, with a copy to vvats@usaid.gov and received by the USAID/India internet server no later than the date and time indicated on the cover sheet of this NOFO.

D.4 Application Submission Procedures The following provides the estimated timing for conducting the merit review process. This timeline is subject to change:

Submission/Action Estimated Date of Submission and/or

Activity

Phase 1 Submission of Concept Paper 04/23/2021

Phase 2 Oral Presentation 05/25/2021 - 05/28/2021

Phase 3 Co-Creation Workshop 06/21/2021-07/09/2021

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Receive Full Application (Technical and Cost Application)

07/26/2021

It is highly recommended that applicants read the entire NOFO before submitting an application. Respond to Merit Review criteria as appropriate and comply with all aspects of the NOFO. Failure to do so will be at the Applicant’s risk.

D.5 Overall Selection Process The purpose of having three Merit Review phases is to identify an Applicant that will have the greatest chance of success to achieve the activity objectives.

Below is the process diagram for this NOFO.

Merit Review Phase 1 - Concept Paper: Applicants will be invited to submit a Concept Paper, including a notional budget estimate. Information regarding the Concept Paper submission is in SECTION D.6 of this NOFO.

Phase 1 is the submission and review of a written concept paper. Concept Papers will be reviewed for technical soundness, organizational and management approach and the applicant’s institutional capability and past experience. The highest rated concept paper applicants will be invited to participate in Phase 2.

In the event USAID determines that none of submitted Concept Papers are acceptable, USAID will issue an amendment to seek a second round of interested applicants.

Merit Review Phase 2 - Oral Presentation: Selected Applicants will be invited to orally present their concepts through videoconference to be held approximately ten (10) days after being notified that their concept paper was accepted for Phase 2. This oral presentation is a requirement. The format, technical requirements, and videoconference information will be made available to those Applicants invited to participate in the oral presentations. The Applicant’s concept paper author/s and lead technical backstops must be part of the presentation team.

USAID will not be responsible for costs associated with presentation.

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One or two applicants will be selected from the Merit Review Phase 2 as the Apparently Successful Applicant (ASA). The ASA will be notified by letter approximately two (2) weeks after completion of oral presentations. The ASA will be invited to participate in Phase 3.

At the completion of Phase 2, the competitive process of ADS 303 will be satisfied.

Merit Review Phase 3 - Application co-creation: Approximately one (1) week after phase 2, ASA will receive a notification for a week long co-creation workshop to be hosted by USAID/India via video conference to develop the technical and cost application. Participants in this co-creation workshop will include the ASA, USAID, and potentially other stakeholders such as MoEFCC. Additional information regarding the logistics and content of the workshop will be provided as part of the ASA Notification Letter. Based on the results of the final review, USAID will select the Apparently Successful Applicant (ASA).

After the workshop, ASA will continue to work remotely to refine its approach and will complete the technical application (including the Program Description and other elements) and the final cost application to be submitted within one (1) week of the end of the co-creation workshop.

USAID will review the technical and cost application, and provide additional questions, if any, within one (1) week.

USAID reserves the right to ask two or more applicants to work collaboratively on a program description and cost application if, in USAID’s opinion, combining their concepts will result in a more effective overall program.

No funding will be made available prior to the award of the Cooperative Agreement.

Applicants, including the organization selected to collaboratively develop the Program Description, are responsible for all costs related to the oral presentation phase and the co-creation workshop. Once the award is signed, the implementing partner may start incurring costs. Applicants not selected for the consecutive phase will be notified at the end of each phase. Unsuccessful applicants may request additional information following such notification.

D.6 Content and Form of Application Submission

(a) Phase 1 – Concept Paper Content and Format:

The concept paper must demonstrate an understanding of the activity and introduce the applicant’s strategy and methodology, including its strategic approach and realistic yet innovative interventions.

Applicants must format their Concept Paper as follows:

● Spacing: Singled-spaced;

● Font: Times New Roman, 12 points;

● Margins: one-inch margins on all sides;

● Paper Size: 8.5 inches x 11 inches;

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● any graphs, charts, exhibits, tables, etc. contained in the body of the concept paper shall be numbered and included in the stated page limits (see below). Table font may be reduced to Times New Roman, 10-point.

Concept Papers should be no more than 10 pages, exclusive of cover page, table of contents and annexes. They must be presented taking into account and in the order of the technical evaluation criteria found in Section E.2:

● Cover Page (not included in the page count) and must contain— ❖ Project Title ❖ Notice of Funding Opportunity number ❖ Name, address and telephone number of the Organization (primary or lead) ❖ Proposed consortium members ❖ Contact Person’ Name and Signature, Title/Position, Email address, phone nos. OR ❖ Name and Signature of Individual authorized to negotiate terms, conditions and countersign the award; Title/Position; Email address; telephone nos.

❖ DUNS, TIN and, if applicable, LOC number.

● Annexes (not included in the page count) ❖ Acronym List/Definition (not to exceed 1 page) ❖ Timeline (not to exceed 1 page) ❖ Organizational chart/Staffing plan (general, not to exceed 1 page) ❖ Past performance (1 page per sub-awardee/partner) ❖ Other charts, graphs, tables, data or information considered essential to the application (not to exceed two pages) ❖ Proposed Notional Budget - estimated cost summary, direct, and indirect costs by the applicant and sub-awardees/partners (not to exceed one page)

● Technical Approach (included in the page count) –

Applicants must describe how they propose to achieve the objectives and elaborate on how the proposed technical approach is the most effective way to address the intent of the NOFO.

At a minimum, the applicant must provide:

a. An understanding of the air pollution problem in India and its impact, the Government of India priorities in addressing air pollution, the key stakeholders, and the challenges and opportunities for mitigating air pollution and its health impacts.

b. A technical approach to achieving the objectives and results and the proposed strategies/interventions.

c. A discussion regarding where interventions will be conducted and provide the analysis supporting the geographic focus.

d. A plan for collaboration with GOI and other stakeholders.

e. A plan for leveraging funds and private sector engagement in helping achieve the objectives of the activity.

f. A plan for sustainability (how the project will be supported and can continue without donor funding) and gender integration.

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g. A list of tentative indicators and targets (a maximum of 5) that would be crucial for achieving the project objectives.

h. A proposed timeline, i.e. duration or time needed to complete the proposed interventions. This duration should not exceed 5 years.

● Organizational Management and Staffing Plan (included in the page count)

USAID/India does not expect one organization to have all of the professional skills, services, and knowledge base required to meet the results; it is for this reason consortiums are encouraged. The Applicant should clearly define the value each consortium member brings, describe the skills and capacity of each consortium member, and how they complement one another.

USAID/India recommends the key personnel positions to be between 3-5. Any number above that should be strongly supported by the technical and management approach. The Applicant should also briefly mention how the skill sets of their proposed key personnel will contribute to achieving the objectives and results of the NOFO.

The Applicant should succinctly outline an inclusive leadership approach that will create a shared common vision and purpose that builds trust and recognizes the value and contribution of all consortium members .

● Institutional Capability and Past Performance (included in the page count)

USAID/India understands that achievement of desired outcomes relies on the overall performance of an organization. For this reason, USAID/India will evaluate both the Applicant and all proposed consortium members. Not only will technical capacity be examined, but also the ability of each consortium member to work with each other, focused on a common purpose.

Past performance information must be provided related to the specific technical nature of the activity. The Applicant must provide recent performance information for each consortium member (as an Annex; no longer than one page per organization). The Applicant is strongly encouraged to provide specific examples of significant impact of their past projects and how cooperation in prior partnerships/consortia contributed to that impact.

USAID will determine the relevance (complexity, scope, size and magnitude) of similar performance information as a predictor of probable performance under the subject requirement. USAID will consider relevant projects successfully performed during the past 3 to 5 years to be “recent performance information”.

The Applicant should address the following points:

1. Demonstrated successful experience in managing and implementing similar programs, in size and scale, preferably in South and South East Asia;

2. Timeliness of performance, cost, and scope; and

3. How the Headquarters management team contributed to success, if applicable.

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(b) Phase 2 – Oral Presentation Instructions

Based on USAID’s merit review of Concept Papers, only Applicant/s whose concept papers are rated high will be invited to an oral presentation via video conferencing. The order of presentation among the selected Applicants will be randomly determined by the Agreement Officer.

Applicants who will be invited to the Oral Presentations will be notified promptly as to the date of their scheduled presentation. They should expect at least one(1) week notice before their scheduled oral presentation. At the time of the invitation, USAID will provide the initial discussion items based on the review of Concept Papers.

Oral Presentations are a condition of award as technical discussions will also occur at this stage.

The video conference joining instruction will be provided prior to the scheduled date.

The audience for the Oral Presentation will consist of the Selection Committee (SC) and the Agreement Officer. The Agreement Officer will chair the Oral Presentations. While the Concept Paper will be presented in PowerPoint format, the remaining discussions will be in Question and Answer (Q&A) format with some time for consultation among members of the presenting team. Each team member should be an expert and should use the PowerPoint to present the salient/important points of the Concept Paper without reading the slide contents verbatim to the audience. Team members must be able to actively participate in the discussion of subsequent Q&A.

The Oral Presentation Agenda will be shared with the applicants who reach Phase 2. Each oral presentation will be evaluated and scored by the SC in accordance with the merit review criteria set forth under Section E.3 of this NOFO. In the presentation, the applicant should summarize their concept note while also addressing the questions raised by USAID on concept note submitted in Phase 1. During oral presentation the applicant should also explain how data collection, analysis and reporting of performance data will be managed under the project; and how monitoring and evaluation data will be shared and used to inform program learning and adaptive management.