revised innovation challenge sections d and e.pdf

Section D, Page 1

SECTION D. APPLICATION AND SUBMISSION INFORMATION – REVISED 1/2016

[PHASE I - NO CHANGES]

PHASE II

Each Applicant is requested to furnish the information required by this NOFO, to be submitted in two separate parts: (a) Technical Application, and (b) Cost/Business Application.

TECHNICAL APPLICATION

The Technical Application should be submitted in the following format:

1) Cover Page – (1 page limit)

2) Executive Summary – (3 page limit)

3) Technical Application – (30 page limit)

4) Appendices - Maximum (50 page limit)

The Application should be in Font 12 point/Times New Roman, single-spaced and not exceed the page limits as stated above for each application section.

Any charts or tables included within the technical application sections will be considered against the page limits of those sections.

The requirements for the technical application sections as described are minimum requirements that must be included with the applicant’s submission. Please refer to Section E to understand how the proposals will be evaluated, to ensure that your application is responsive and includes critical information. The applicant may include additional information other than that stated as long as it falls within the page limitations set in the NOFO.

1. COVER PAGE (1 Page Limit) must contain the following information:

a. Name and full address of applicant organization;

b. Project Title, NOFO Reference Number and Objective of proposed activity;

c. Taxpayer Identification Number (TIN) (for UD sub-partners, if applicable);

d. Data Universal Numbering System (DUNS) Number;

e. Type of organization (e.g., for-profit, non-profit, university, etc.);

f. Point of Contact (name, position title, phone number, fax number, e-mail address);

g. Any partnerships/final consortium members; and

h. Signature of authorized representative of the applicant.

Section D, Page 2

2. EXECUTIVE SUMMARY (3 Page Limit)

The information in this section must summarize the strategy and proposed technical approach of the applicant to achieve the tasks and objectives of the project description.

3. TECHNICAL APPLICATION (30 Page Limit)

The technical application will be the most important factor for consideration in selection for award of the proposed Award. The technical application should be clear, complete and concise. The application should demonstrate the Applicant's capabilities and expertise with respect to achieving the goals of this Project and outline the methodology that will be used to implement it. The application should take into account the requirements of the Project and evaluation criteria found in this NOFO (Section A and E respectively).

All technical applications must be submitted in Microsoft Word and PDF format. At minimum the application should include the components listed below, and should address all elements of the project description (NOFO Section A). In addition to the overall page limits, notional estimated page lengths are provided:

• Proposed approach and strategy to efficiently establish the subgrant/prize platform as set forth in this NOFO and leveraging the knowledge and experience of the Applicant and its partners, if any (3 to 5 pages).

• Comments, suggestions or alternative task structure (workplan) to that which is proposed in Section A.2 of this NOFO (1 to 3 pages).

• Proposed draft work plan (including schedule) incorporating any adjustments to the task structure outlined in this RFA that the Applicant feel will provide added value and better reach target achievements and expectations (10-15 pages)

• Initial ideas on online platform including structure, features, and innovations, leveraging of open source components and automation (i.e. accepting, screening proposals and networking) (1 to 3 pages).

• Initial ideas on outreach strategy and ability to engage local level innovators and entrepreneurs (1 to 3 pages).

• Proposed approach to integrate gender and social considerations (1 page).

• Overview of team / organizational structure, roles and responsibilities to implement work plan (3-4 page overview, including an organigram).

• Proposed financial management controls and systems to ensure accountability and efficiency in the subgrants process (3 to 5 pages)

• Anticipated risks and proposed mitigation strategies, for establishing the platform – as well as for administering the sub-grants and prizes.

• Initial ideas on sustainability (1 page).

Section D, Page 3

4. LIST OF APPENDICES (NOT INCLUDED IN THE TECHNICAL APPLICATION

PAGE LIMIT, 50 PAGES LIMIT)

1. Resumes for key personnel - not to exceed 3 pages for each resume

Resumes should be in chronological order starting with most recent experience. Each resume for the proposed Key Personnel positions must be accompanied by a signed statement of Commitment and availability from each candidate indicating his/her: (a) availability to serve in the stated position, in terms of days or months after award; (b) intention to serve for a stated term of the service; and (c) agreement to the compensation levels which correspond to the levels set forth in the cost application.

Resumes for Key Personnel should include at least three (3) references for each proposed key position, including up-to-date telephone numbers and e-mail contact information.

2. Staffing Plan

The applicant must submit a staffing plan that should list all proposed positions under the Project, and whether the position is full-time, part-time, or intermittent, and the planned person months or days each position will devote to the Project. In addition, the staffing plan must include an organizational chart that shows the structure and the relationships between positions.

3. Project Management Management System / Plan

The applicant should include at a minimum the following responses to the management plan and organizational capacity:

A discussion of how the applicant will manage project activities, including the management of subgrants/prizes and/or the partnership with consortium organizations, and how they plan to work with MCC Washington and MCC Tanzania (and other key project stakeholders) in the implementation of the Project.

4. Final Consortium Plan (if applicable)

The consortium plan should list all proposed partners under the Project, and what role the partners have in relation to the project objectives. In addition, the consortium plan must include an organizational chart that shows the structure, governance and the relationships between consortium partners and prime.

Each consortium organization must provide a signed Letter of Commitment indicating the following information for each organization: (a) availability to participate in the stated consortium;

(b) the length of participation as it relates to the Project; and (c) agreement to the budget associated with each consortium partner set forth in the cost application.

Section D, Page 4

5. Proposed initial monitoring and evaluation plan (2-3 pages)

The Applicants should provide an initial plan for how progress of the Project will be tracked relative to desired target results, achievements and milestones as outlined in Section A of this NOFO – and the broader goal of surfacing, enabling and engaging innovators in the Tanzania and Kenya to contribute innovative data related solutions to the broader DCLI program and the DREAMS partnership.

6. Relevant Past Performance and Past Experience Information (Recipient and Final Key

Partner Organizations)

Applicants will provide at least three (03) past performance references for the last five (05) years on contracts/works similar in nature or relevant to this award, preferably with U.S. government agencies, international development or donor institutions, international non-government organizations (NGOs) or the private sector. Alternatively, the Applicants may provide five (05) past performance examples including references within the last seven (07) years for relevant work with national and/or regional entities.

If a consortium is envisioned, the applications should also include at least two (02) past performances for the subgrants (consortium members) including references, per subcontractor, for the last five (05) years detailing work similar in nature to that which would be envisioned for this subcontractor under this PD. References may be with U.S. government agencies, other international development or donors institutions, NGOs, and/or the private sector.

The Applicant will include the name, recent telephone number and email address of knowledgeable customer contacts. References from institutions that have characteristics that are most similar to MCC will be preferred. The information will summarize clearly the nature of the assistance contracted, the contract and/or cooperative agreement amount(s), the period of performance, the types of tasks performed, and the results achieved through the contract and/or cooperative agreement. The Applicant will provide a concise narrative of each contract/cooperative agreement/reference.

MCC may contact references and use the past performance data regarding the organization, along with other information to determine the applicant’s past performance.

The Government reserves the right to obtain information for use in the evaluation of past performance from any and all sources inside or outside the Government.

Section D, Page 5

COST/BUSINESS APPLICATIONS (no page limit)

The Cost or Business application is to be submitted under a separate cover from the Technical application. The Cost/Business application is also to be submitted electronically in an unprotected Microsoft Excel 2000 or Excel 2003 with open formulas. The Applicant is requested to submit a budget broken down by project years with an accompanying detailed budget narrative (in Word 2000 or Word 2003 text accessible) which provides in detail the anticipated total costs for implementation of the Project. The budget narrative should provide information regarding the basis of estimate for each line item, including reference to sources used to substantiate the cost estimate.

If the Applicant has established a consortium or another legal relationship for its partners, the Cost/Business application must include a copy of the legal relationship between the parties. The agreement should include a full discussion of the relationship between the Applicant and Sub- Applicant(s) including identification of the Applicant with whom MCC will work with for purposes of Agreement administration, identity of the Applicant which will have accounting responsibility, how Agreement effort will be allocated and the express agreement of the principals thereto to be held jointly and severely liable for the acts or omissions of the other.

The budget should include a breakdown of all anticipated costs associated with the Project.

The cost/business application should contain:

• Cover Page (The Cost Application Cover Page must contain the same information as the Technical Application)

• Standard Forms (SF 424 Forms)

• Budget (summary budget and detailed budget)

• Budget Narrative (detailed explanation of proposed costs in Microsoft Word format)

• DUNS and System for Award Management (SAM)

• Certification, Assurances, Statements and Other Required Forms

• Funding Restrictions (if any)

The Applicant must sign and submit the cost application form SF-424, and print or type the Applicant’s organization name on the Cover Page of the technical and cost applications. Erasures or other changes must be initialed by the person signing the application. Applications signed by an agent shall be accompanied by evidence of that agent’s authority, unless that evidence has been previously furnished to the issuing office.

US Government Standard Forms Required as Part of the Application Include:

• Application for Federal Assistance (SF-424)

• Budget Information (SF-424A)

• Assurances – Non-construction Projects (SF-424B)

These Standard Forms can be downloaded from the following site: www.grants.gov.

http://www.grants.gov/ http://www.grants.gov/

Section D, Page 6

Summary Budget Template Cost Elements Total number of months/people

Total Term 27 months

Total

Salaries Fringe Benefits (if applicable) Travel and Transportation Equipment Supplies Subawards (proposed consortium partner (s))

No more than 45% of the total program costs estimated at US$1mln

Subgrants/subawards/Prizes US$3,000,000 Other Direct Costs Indirect Costs

SUBTTOTAL COSTS

Cost Share

TOTAL COSTS

Detailed budget should provide:

Salaries Direct salaries and wages should be proposed in accordance with the Applicant's personnel policies.

Identify each personnel by title and name and specify each position to be supported under the proposed award.

Fringe Benefits If the Applicant has a fringe benefit rate that has been approved by an agency of the U.S.

Government, such rate should be used and evidence of its approval should be provided. If a fringe benefit rate has not been approved, the Application should propose a rate and explain how the rate was determined. If the latter is used, the narrative should include a detailed breakdown comprised of all items of fringe benefits.

Travel and Transportation The Application should indicate the number of trips, domestic and international, the number of days per trip, and the estimated costs. Specify the purpose of travel, the origin and destination for each proposed trip, duration of travel, and number of individuals traveling and the position held by the travelers. Estimated travel and transportation costs, including airfare and per diem.

Section D, Page 7

Equipment The Applicant must itemize the equipment i.e. office equipment and briefly justify the need for the items to be purchased as they apply to the Activity. Indicate the estimated unit cost and number of units for each item to be purchased.

Supplies The Applicant must itemize the materials and supplies and briefly justify the need for the items to be purchased as they apply to the Activity.

Subawards (proposed consortium partner if any) The Applicant's budget shall include a breakdown of all costs for each sub-agreement and identify the proposed Sub-Recipient. The amount of funds proposed for a consortium partner shall not exceed 45% of the total program amount of funds for this opportunity (estimated at US$1,000,000).

Subgrants/prizes MCC plans to award up to US$3,000,000 in subgrants/prizes (in addition to the total program amount estimated at US$1,000,000), this is a fixed amount to include in the budget.

Other Direct Costs (ODC) The Applicant shall indicate the estimated unit cost and number of units for each additional allowable item proposed.

Indirect Costs The Applicant must submit a Negotiated Indirect Cost Rate Agreement NICRA if the organization has such an agreement with an agency or department of the U.S. Government. If no NICRA the Applicant should submit the following:

Reviewed Financial Statements Report: a report issued by a Certified Public Account (CPA) documenting the review of the financial statements was performed in accordance with Statements on Standards for Accounting and Review Services; that management is responsible for the preparation and fair presentation of the financial statements in accordance with the applicable financial reporting framework and for designing, implementing and maintaining internal control relevant to the preparation. The account must also state the he or she is not aware of any material modifications that should be made to the financial statements; or

Audited Financial Statements Report: An auditor issues a report documenting the audit was conducted in accordance with Generally Accepted Auditing Standards (GAAS), the financial statements are the responsibility of management, provides an opinion that the financial statements present fairly in all material respects the financial position of the company and the results of operations are in conformity with the applicable financial reporting framework (or issues a qualified opinion if the financial statements are not in

Section D, Page 8 conformity with the applicable financial reporting framework. The auditor may also issue a disclaimer of opinion or an adverse opinion if appropriate.

Cost Share The Applicants should estimate the amount of cost-sharing resources which they are proposing to mobilize over the life of the agreement and specify the sources of such resources, and the basis of calculation in the budget narrative. Applicants should also provide a breakdown of the cost share (financial and in-kind contributions) of all organizations involved in implementing the resulting Cooperative Agreement.

BUDGET NARRATIVE (no page limit) The cost elements provided in the Detailed Budget must also be provided in the Budget Narrative in Microsoft Word, but with text that explains the rationale for the choices and costs. The Budget Narrative must be thorough, including sources for costs to more quickly enable MCC to determine the cost as fair and reasonable.

[NO CHANGES TO REMAINING PARTS OF NOFO SECTION D]

Section E, Page 1

SECTION E. APPLICATION REVIEW INFORMATION

Each Application submitted in response to this NOFO for Phases I and II will be evaluated in accordance with the merit review criteria set forth below. MCC may award a cooperative agreement without discussions with the Applicants, therefore you are encouraged to submit your best applications in response to this NOFO.

MCC reserves the right to invite Applicants to make pre-award presentations in support of their applications and may request to interview the Applicant’s proposed key personnel team members.

For the convenience of all Applicants this NOFO includes full application instructions (merit review criteria elaboration) and the merit review criteria. All Applicants are encouraged to review all sections to ensure they are able to meet MCC’s requirements if their concept papers are selected for participation in Phase II.

Applications received under this NOFO will be reviewed in accordance with the merit review criteria set below. Competition under this NOFO will consist of a two-step process whereby Applicants first submit a concept paper for an initial competitive review under Phase I, and those successful in the first stage (i.e., selected concept papers) will then be invited by MCC to submit a full application under Phase II. To be considered for funding under this NOFO, applications must meet all of the requirements for the concept paper and for the full application respectively.

[PHASE I - NO CHANGES]

PHASE II Complete Application, by MCC invitation only (100 points total)

1. Professional Qualifications of the Proposed Integrated Team (30 points)

a. Composition, experience and qualification of proposed integrated team, especially key personnel, of both the lead applicant and consortia members. (15 points).

b. Soundness of the proposed integrated staffing plan (comprised of lead Applicant and consortia members), including clarity of roles and responsibilities and response as well as effective and efficient time allocation for personnel to achieve objectives (15 points).

2. Technical and Managerial Strategy and Workplan (35 points)

a) Proposed strategy, innovative ideas, technological solutions and approach to rapidly launch the Data for Local Innovation Challenge while leveraging integrated knowledge and experience of integrated team -- and demonstrating understanding of program logic, target outcomes and milestones outlined in NOFO Section A (10 points).

b) Quality and completeness of draft work plan, integrating and building on tasks included in the program description and target results/expectations, deliverables and critical target milestones (NOFO Section A) while tying outcomes to beneficial impact in Tanzania, Kenya and the region. Significant weight will be given the Applicants ability to launch

Section E, Page 2 the first competition by May 2016 so as to select the first group of grantees by June 2016.

(15 points).

c) Strategy for branding, outreach and communications to reach target community, including grantee community building (10 points).

3. Local Presence and Knowledge (10 points) a Strategy for ensuring that costs incurred and resources used (i.e. target programmatic activities) are for the benefit of Tanzanian and East African innovators and entrepreneurs involved in development, especially in the areas of HIV/AIDS and broader health, gender, and economic growth.

4. Demonstrated Gender and Social Inclusion (10 points)

a) Strategy for ensuring that the outreach, community building and themes actively encourage participation of women and youth.

5. Budget and Financial Management (15 points)

a) Cost realism and completeness of proposed notional budget (10 points)

b) Structure for transparent cost management and budgeting (5 points)

1. MERIT REVIEW ELABORATED INSTRUCTIONS FOR APPLICANTS (linked to the Merit Review Criteria above)

[PHASE I - NO CHANGES]

PHASE II Complete Application, by MCC invitation only (100 points total)

1. Professional Qualifications of the Proposed Integrated Team (30 points)

• Key Personnel and Additional Experts - As stated in NOFO Section A, Part VII, Applicants will identify a minimum of four (04) Key Personnel who are part of the integrated team (drawn from the lead Applicant and/or consortia members) to be responsible for developing, designing, developing and implementing the tasks outlined in the program description (Section A). To the extent that additional experts representing other disciplines are needed, the Applicants can propose non-key positions for important technical and organizational requirements and provide an appropriate mix of skills while avoiding excessive staff.

• Integrated Staffing Plan: A staffing plan that clearly illustrates and delineates the responsibilities of all key personnel and proposed level of effort to meet the PD’s requirements should be included in the proposal. Together, the proposed key personnel should provide the breadth and depth of technical expertise and management experience needed to meet this PD’s requirements. While it is understood that the team may include personnel from both the lead Applicant organization and other team partner

Section E, Page 3 organizations, the Applicant should demonstrate that the team is operationally integrated and works as one team, leveraging the respective organizational strengths and areas of expertise. The degree to which consortia have had prior opportunities to work together will be viewed favorably.

• Resumes: The application should include abbreviated (3 page max) resumes for all key personnel that clearly demonstrate the professional and technical qualifications necessary for satisfactory performance of the assigned role in the proposed staffing plan.

• Availability – Each CV should include a signed Confirmation of Commitment from each candidate indicating his/her: (a) availability to serve in the stated position, in terms of days or months after award; (b) intention to serve for a stated term of the service; and

(c) agreement to the compensation levels which correspond to the levels set forth in the cost application.

2. Technical and Managerial Strategy and Workplan (subtotal 35 points)

• Proposed strategy for rapid startup and launching the innovation challenge: The degree to which the Applicant demonstrates an understanding of the goals of the project consistent with the program logic and desired outcomes and target timelines (e.g. first competition launched by May 2016 – and first group of grantees selected by June 2016) will be a key factor to convey in the proposal. The innovation challenge should be supported by an automated online platform that also serves as one of the outreach mechanism. The program should build the capacity of innovators and entrepreneurs while providing them with opportunities to submit innovative ideas connected to the broader DCLI program. The first window must focus on themes that promote data innovations to support the DREAMS partnership (Data4DREAMS)1. The proposal should clearly indicate how this will be achieved in the timeline indicated, and how prior experience in designing similar innovation programs will contribute to development impact.

• Innovative ideas and solutions to achieve the PD’s requirements: As stated in NOFO

Section A, part IV (Tasks), Applicants are strongly encouraged to propose better, additional and/or alternative ideas and tasks as part of their workplan to those indicated in this PD for the establishment and management of the innovation challenge, emphasizing the importance of open data, and collaboration.

• Draft Work plan: The applications should include a Year 1 draft work plan, including, at a minimum, the tasks, target milestones and outputs and expectations identified in Section A (program description). Additional work plans (e.g. Year 2 workplans) will be developed and agreed to between the Applicant, Steering Committee, and the MCC-PEPFAR partnership. Applicants will note capacity to

1 http://www.pepfar.gov/documents/organization/247602.pdf http://www.pepfar.gov/documents/organization/247602.pdf

Section E, Page 4 mobilize rapidly and accomplish the workplan tasks consistent with the target milestones identified in Section A, part VI, especially the ability to effectively launch the first competition in May 2016 and select the first set of successful grantees by June 2016.

• Administrative and fiscal management systems, policies and practices: The Application should also include: (i) personnel, financial, and logistical support; and (ii) a realistic plan for monitoring the technical and financial activities (grants awarded, etc.) and reporting on results (status of each grant/prize). The merit of the management and administrative strategy will also be reviewed to ensure likelihood of effective management, cost-effectiveness and timely completion of proposed workplan.

3. Local Presence and Knowledge (10 points)

• Understanding and Leveraging: The Applicant must be able to understand – and leverage – their local culture and norms; the local, national and regional priorities; as well as the political and economic factors that could constrain or affect (or be used to promote) the innovation challenge at the subnational and national levels. For example, realities need to be reflected in the communities building / outreach targeting innovators and entre.

4. Gender and Social Inclusion (10 points)

• Preference will also be given to proposals that include strong approaches and methods to promote gender equality and social inclusion in establishing and implementing the Innovation Challenge, with the ultimate goal of reducing digital gender divide – as well as the broader gender inequalities in the development context.

• The Applicants should consider how best to ensure that the type of outreach, support and grant competition themes are of relevance to and enable women (and youth) to participate.

5. Notional Budget (15 points)

• Notional Budget - Should be submitted capturing all projected costs for implementing the proposed workplan.

3. COST EVALUATION FOR COST EFFECTIVENESS AND COST REALISM

MCC will review the cost/business application(s) of apparently successful Applicant(s) for Phase II for cost effectiveness (credibility and completeness) and cost realism (2 CFR 200.404) and for:

1. Allowability of Costs (2 CFR 200.403)

2. Reasonable Costs (2 CFR 200.404)

3. Allocable Costs (2 CFR 200.405)

Section E, Page 5

4. Demonstration of management capability to meet a responsibility determination.

Cost sharing is welcome and encouraged as part of this NOFO. The cost/business application must clearly demonstrate the Applicants cost share contributions (if proposed).

Technical merit review are significantly more important than cost. While Cost is less important than technical and is not weighted in this NOFO, the cost applications of the apparently successful technical applications will be evaluated for cost effectiveness, including the level of proposed cost share. Other considerations are the completeness of the application, adequacy of budget detail and consistency with elements of the technical application. In addition, the organization must demonstrate adequate financial management capability, to be measured for a responsibility determination.

The application with the lowest estimated cost may not be selected if award to a higher priced technical application offers a greater overall benefit for the Project. All evaluation factors other than cost or price, when combined, are significantly more important than cost. However, estimated cost is an important factor and the estimated cost to the Government increases in importance as competing applications approach equivalence and may become the deciding factor when technical applications are approximately equivalent in merit.

Cost estimates will be analyzed as part of the application evaluation process. Proposed costs may be adjusted, for purposes of evaluation, based on results of the cost analysis and its assessment of reasonableness, completeness, and credibility.

4. REVIEW AND SELECTION PROCESS

A Selection Committee (SC) comprised of MCC’s and Department of State’s representatives and possibly also a representative of the International Development Research Centre (IDRC), Canadian Government Agency, will conduct a merit review of all applications (both concept papers and full applications), separately for Phase I and Phase II received in response to this NOFO.

This NOFO utilizes a two-step process:

Phase I All Applicants will submit concept papers in accordance with the due dates in the cover letter.

MCC will then conduct a merit review of the concept papers based on the merit review criteria provided below. After a thorough review of all concept papers received by the due date stated in the cover letter, Applicants whose concept papers are most advantageous to the Government, considering both technical and cost review criteria, will be invited to submit full applications under Phase II. Concept papers not advancing to full application will be provided brief explanation letters detailing MCC’s rationale.

Section E, Page 6

Phase II After evaluation of all applications for Phase II, MCC expects to select the apparently successful Applicant(s). In the event of more than one competitive applications, MCC reserves the right to conduct oral presentations of the key personnel to select the winning application. Thereafter, MCC may engage in discussions or negotiations with the successful Applicant(s) regarding any matter to be covered in the final technical and cost application. MCC may also award without discussions with the selected Applicant(s).

MCC Agreement Officer will make the final determination for an award to be made to successful Applicant(s) whose full application offers the best value to USG, considering both technical and cost review criteria.

5. ANTICIPATED ANNOUNCEMENT AND FEDERAL AWARD DATES

MCC plans to award one or more cooperative agreement(s) from this NOFO. The anticipated timeframe of award is January-February 2016.

[NO ADDITIONAL CHANGES TO REMAINING PORTIONS OF NOFO SECTION E].

5. ANTICIPATED ANNOUNCEMENT AND FEDERAL AWARD DATES