SBC Revised APS No. 7200AA21APS00008.pdf

Federal Agency Name: United States Agency for International

Development (USAID)

Funding Opportunity Title: Social and Behavior Change (SBC) Research

Announcement Type: Annual Program Statement (APS)

Funding Opportunity Number: 7200AA21APS00008

Catalog of Federal Domestic Assistance 98.001 (CFDA) Number:

Issuance Date: April 16, 2021

Closing Date: December 31, 2029

Questions Deadline for this April 23, 2021at 12 pm ET APS Document:

For questions on this APS document, please submit all questions to Mr. Marcus Moon (mmoon@usaid.gov) and Ms. Alisa Dunn (adunn@usaid.gov) by the deadline specified above.

Please see individual Round documents for each Round’s deadlines and submission instructions for concept papers.

For a USAID Mission or USAID/Washington Office wishing to issue a Round under this APS, the program description must fit within Section I of this document. Please contact Julianne Weis (jweis@usaid.gov) for review of the Round document - it must be reviewed before being posted publicly under this APS. All new Rounds must be posted as a Social and Behavior Change (SBC) Research APS Round on the USAID Business Forecast.

mailto:mmoon@usaid.gov mailto:adunn@usaid.gov mailto:jweis@usaid.gov

To Interested Applicants:

This Annual Program Statement (APS) publicizes the intention of the United States Government (USG), as represented by the USAID Bureau for Global Health (GH), to fund one or multiple awards to address the overarching APS program purpose to strengthen the generation and utilization of social and behavior change (SBC) evidence to improve the uptake and continuation of healthy behaviors.

This APS document outlines the goal, purpose, expected results, and priorities of the Social and Behavior Change (SBC) Research project, and may result in multiple awards issued under subsequent APS Rounds. Note: when referencing SBC Research in this document, it is referring to the full portfolio of possible awards under this overall purpose. This document is an umbrella APS and will not solicit concept papers or applications. Prospective applicants will be provided a fair opportunity to develop and submit competitive concept papers to USAID for potential funding via Rounds under this APS.

For the purposes of the SBC Research APS, a “Round” is defined as a specific program description that falls under the larger SBC Research APS goal, purpose, and results but is tailored to a certain focus. Under each Round, applicants will first submit a short concept paper that will be reviewed for responsiveness to the overall SBC Research purpose, selected results, and Round’s focus and then scored according to the evaluation criteria provided in the Round document. USAID may utilize co-creation with prospective applicants during various stages of Round procurements and applicants may be invited to participate in virtual or in-person events.

Following the concept paper stage (and co-creation event when called for), selected applicants (individual organizations and/or consortia developed at concept paper stage or during co-creation) will be requested to submit a Full Application, the content and format of which will be provided in greater detail by the Agreement Officer.

Publishing this APS does not commit USAID to make any awards. USAID also reserves the right to not conduct a co-creation workshop and to request full applications from applicants successful at the concept paper stage.

As Rounds occur, notifications will be posted on Grants.gov.

Sincerely, Alisa J. Dunn Supervisory Agreement Officer Office of Acquisition and Assistance

Table of Contents

SECTION I: FUNDING OPPORTUNITY DESCRIPTION 3

A. Background 4 B. Results Framework 5 C. Legislation 7

SECTION II: AWARD INFORMATION 8

A. Funding 8 B. Period of Performance 8 C. Expected Number of Awards 9 D. Expected Implementation Mechanism 9 E. USAID’s Substantial Involvement 9 F. Intellectual Property 11 G. Environmental Impact 11 H. Authorized Geographic Code 12 I. Benefiting Geographic Areas 12

SECTION III: ELIGIBILITY INFORMATION 13

A. Eligibility Criteria 13 B. Cost Share 14 C. Number of Applications 14

SECTION IV: CONCEPT PAPER SUBMISSION INFORMATION 15

A. Concept Paper Process 15

SECTION V: APPLICATION REVIEW INFORMATION 18

A. Review of Concept Papers and Full Applications 18 B. Co-Creation Opportunity 18 C. Full Application Process 19

APPENDIX A: Acronym List 20

APPENDIX B: USAID Priority Countries 21

APPENDIX C: Socio-Ecological Model for Social Behavior Change 25

Social and Behavior Change Research Annual Program Statement

SECTION I: FUNDING OPPORTUNITY DESCRIPTION

The U.S. Agency for International Development’s (USAID) Office of Population and Reproductive Health (PRH) is pleased to announce the Social and Behavior Change (SBC) Research Annual Program Statement (APS). The overarching goal of this APS is to help accelerate countries’ progress towards their health and development goals through key investments in SBC learning, monitoring and evaluation, and research utilization. New investments in SBC research will advance sustainable improvements in the health, well-being, and development of the populations in USAID focus countries by building local capacity to analyze data, conduct research, and incorporate evidence-based SBC practices into health and development programs and systems at global, regional, and country levels.

The purpose of this APS is to strengthen the generation and utilization of SBC evidence to improve the uptake and continuation of healthy behaviors, including but not limited to healthy spacing and timing of pregnancies, care-seeking at onset of illness, adequate complementary feeding, childhood immunizations, use of health and nutrition services, and other health outcomes. To achieve this purpose, the SBC Research APS will focus on three key areas of work: 1) research to answer priority social and behavioral science questions to improve the uptake and continuation of healthy behaviors; 2) research to improve the monitoring and evaluation of SBC programs; and 3) technical assistance for improved SBC research utilization in USAID and host country government-funded health and development programs and policies.

Pending funding availability, there may be multiple rounds for this APS that will all aim to meet the purpose mentioned above.

The SBC Research APS builds upon USAID’s investments in local capacity strengthening and leadership in low and middle income countries by:

1) Working with local systems, institutions, and organizations, thereby strengthening the long-term effectiveness and durability of investments;

2) Aligning USAID investments with country-owned and -led national health, social, and economic investment plans to increase sustainability;

3) Optimizing strategic partnerships and engagement to increase financial investments and establish long-term, enduring, and sustainable engagement by non-donor stakeholders towards mutual goals; and

4) Increasing coordination across operating units within USAID to maximize efficiencies and impact, including (but not limited to) the Office of Population and Reproductive Health, the Office of Maternal and Child Health and Nutrition, and the Office of Health

Systems within the Global Health (GH) Bureau; Regional Bureaus; and Country Missions.

A. Background

SBC programming is essential to achieving global health development goals and improving community health and well-being. In USAID focus countries, behaviors increasing the risk of child and maternal mortality, including early marriage and initiation of child-bearing, reproductive coercion,1 and gender-based violence, continues to halt the progress of gender equality and the overall health and well-being of women, men, children, and communities.2 For this reason, investments in SBC programming and research have long been a strategic priority for USAID. For more than three decades, the Agency has been one of the world’s leading funders of SBC research and programming, investing heavily in social and behavior change communication, an important SBC approach. Recently, USAID has prioritized practices from behavior change fields such as human-centered design, behavioral economics, and social norms, and focused SBC investments on integrated SBC programming, provider behavior change, and marginalized populations, including in humanitarian settings. These investments have helped advance the practice of SBC, increased the evidence base, and improved the business case for investment in SBC interventions alongside supply-side health service delivery improvements and broader health systems strengthening programs.

However, evidence gaps remain on barriers and facilitators to the uptake and continuation of healthy behaviors, particularly as related to the ability of individuals and communities to act on preferences and intentions at different stages of the life-cycle, and the effectiveness, scale, and sustainability of SBC programming to address these barriers. Key evidence gaps remain about how SBC interventions can sustainably improve healthy behaviors in an equitable manner, especially understanding how to address not just the motivation (attitudes, beliefs) to seek healthcare in a timely manner, but the ability (self-efficacy, access, social support) to act on health-seeking preferences and intentions.3

USAID’s approach to filling evidence gaps is informed by the Agency and the GH Bureaus’s extensive experience and history of advancing social and behavioral science and implementation research worldwide across a variety of country contexts. GH, particularly the Office of Population and Reproductive Health (PRH), has been a global leader in behavioral science and research for more than four decades. PRH’s approach to behavioral science includes three key

1 See Grace and Anderson, Reproductive Coercion: A Systematic Review (2016) https://journals.sagepub.com/doi/abs/10.1177/1524838016663935 2 Appendix B provides additional information about USAID’s priority countries.

3 For a definition of terms see both the Socio-Ecological Behavioral Model and Fogg Behavior Model https://behaviormodel.org/ https://journals.sagepub.com/doi/abs/10.1177/1524838016663935 https://behaviormodel.org/ elements: 1) research to generate new knowledge and evidence; 2) synthesis of new evidence together with relevant existing evidence to inform policies and programs; and 3) technical assistance to build capacity for data analysis, research, and utilization of research results.

Expanding the evidence base for SBC across health and other development sectors is critical to improve USAID’s programmatic quality and impact. The findings of such research and evaluation may also be used to advocate for investment of donor and government funds in a climate of reduced financing, allowing for strategic and evidence-based allocation of resources.

It is equally important that future investments in SBC research and evaluation support defined and mutually agreed-upon research agendas, developed in consultation both with local stakeholders and communities of practice at global and regional levels. Research and evaluation efforts must center capacity strengthening and participation at the host country level, requiring strong partnerships with local organizations, including but not limited to governments, civil society, faith-based organizations, universities and research institutions.

Activities supported through this APS will complement the investments of USAID Missions, host country governments, other bilateral donors, private foundations, and development partners.

Activities will also leverage and mobilize both public and private-sector4 resources at the global level as well as domestic resources in USAID priority countries, in partnership with missions and local institutions. This investment also builds upon USAID’s long history in thought leadership and funding innovative action research.

B. Results Framework

Goal: Contribute to USAID’s behavioral science investments to advance research and technical assistance that improves the health of women, men, children, and their communities, and to strengthen local capacity to design, lead, and monitor SBC research and learning efforts in USAID-assisted countries.

Purpose: The purpose of the SBC Research APS is to strengthen the generation and utilization of SBC evidence to improve the uptake and continuation of healthy behaviors, including but not limited to healthy spacing and timing of pregnancies, care-seeking at onset of illness, adequate complementary feeding, childhood immunizations, use of health and nutrition services, and other health outcomes.

Expected Results:

4 USAID’s Private Sector Engagement Policy is available at www.usaid.gov/work-usaid/private-sector-engagement/policy.

http://www.usaid.gov/work-usaid/private-sector-engagement/policy http://www.usaid.gov/work-usaid/private-sector-engagement/policy

Result 1: Generate new evidence through the implementation of innovative SBC interventions.

SBC Research will focus on evidence gaps on how to design and implement effective and sustainable interventions to improve healthy behavioral outcomes. There is widespread evidence of the importance of social and system factors beyond individual knowledge and attitudes in determining health-seeking behaviors, including social and gender norms, power dynamics, and structural, environmental determinants like access, quality, and cost of seeking and continuing to utilize health services. However, documentation on how to best design sustainable interventions at scale that address individual, community and system barriers to healthy behaviors remains fragmented. Further, local capacity to lead the design and implementation of innovative SBC interventions remains uneven across USAID focus countries.

Result 2: Improved monitoring and evaluation of SBC interventions.

SBC Research will improve the measurement of SBC interventions, including process documentation, consistent usage of validated SBC indicators, and adaptive monitoring and evaluation. Cost effectiveness, scale and sustainability of SBC interventions, consistency in measurement, and theory of change process documentation have all been identified as critical evidence gaps in published literature on SBC interventions.5 In addition, routine collection of SBC indicators among USAID and host country government health and development actors remain persistent programmatic challenges.

Result 3: Improved research utilization of SBC evidence in USAID and host country government-funded health and development programs.

SBC Research will improve research utilization among donor and government-funded health and development programs. Moving beyond the pilot stage of innovative research to adoption and scale-up of evidence-based practices is critical for the sustainability and improved impact of health and development programming. Improved research utilization will require both knowledge management and dissemination through other global projects, communities of practice, and normative bodies, as well as local capacity strengthening at district and country levels to adopt evidence around agency and empowerment within the design and monitoring of health and development programming. Dissemination of research findings should be packaged in easily digestible, audience-friendly formats. After dissemination, tracking actual utilization of research in the form of adapted program implementation strategies or activities and health policies is critical.

5 Breakthrough RESEARCH (2019) Developing Research and Learning Agendas to Strengthen Social and Behavior Change Programming.

C. Legislation

This APS is issued under the Foreign Assistance Act of 1961, as amended. In each Round, award(s) will be made under relevant federal regulations and Agency policy. For U.S. non-governmental organizations, awards must be administered according to 2 Code of Federal Regulations (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).

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

SECTION II: AWARD INFORMATION

A. Funding Issuance of this APS does not constitute an award commitment on the part of the USG, nor does it commit the USG to pay for costs incurred in the preparation and submission of a concept paper or an application. The actual number of awards under this APS are 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. USAID reserves the right to close or amend the APS on or before the closing date, stated on page 1. Therefore, for each issued Round, organizations are encouraged to apply as soon as possible to be considered for review to maximize the possibility of receiving available funding

The funding for the Rounds under this APS are anticipated to be funded primarily by the Global Health Programs account and the project is authorized to accept funds from Missions, Regional Offices, Regional Bureaus or USAID functional bureaus outside Global Health. Other eligible funding accounts include Development Assistance Economic Support Funds.

USAID provides funding for global health work through two sources of funding: core funding provided from USAID/Washington Offices and field support provided from USAID field Missions. USAID field Missions use Mission-based funding sources to “buy-in” to centrally based projects to implement country-level activities. Activities funded by field support are expected to support and be aligned with that country’s public health priorities as part of the USAID mission portfolio of work. Field support funding provides Missions with the opportunity to access state-of-the-art services and take advantage of technical leadership and oversight that centrally-managed USAID/W programs offer. USAID/W projects also serve as a mechanism to respond to urgent and rapidly evolving public health and development needs. USAID Mission staff and the AOR will be involved with the development of work plans in response to field support.

Global Health Programs funding through USAID/W technical offices may be used only for activities that impact that technical health office’s outcomes, e.g. USAID’s family planning and reproductive health (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).

B. Period of Performance

The proposed period of performance for each agreement awarded as a result of each Round(s) under this APS will not exceed five years in duration beginning from the negotiated start date, and subject to availability of funds.

http://www.usaid.gov/policy/ads/200/200mab.pdf

Concept papers—and later in the process, full applications—should propose activities for a five-year period of performance. If the expected period of performance will be less than five years for a specific Round, that Round’s procurement document will include that information.

Additionally, the anticipated start date for a possible award(s) will be specified in each Round.

C. Expected Number of Awards Multiple awards may be made as a result of the Round(s) of this APS. 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, one award, or no awards at all through this APS.

D. Expected Implementation Mechanism One or more cooperative agreement(s) may result from Round(s) of this APS. Each Round will define the type of award that will be issued.

E. USAID’s Substantial Involvement USAID’s substantial involvement during the implementation of cooperative agreement(s) will be limited to approval by the Agreement Officer’s Representative (AOR)—delegated to the AOR by the AO—of the elements listed below, and as stated in ADS 303.3.11. 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; international meeting preparation, as well as research protocols, study instruments, and research utilization plans.

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 and ongoing activities. This plan will be developed in partnership between the Recipient and the AOR/technical team. The AOR will ensure that the implementation plans fit within the program description and the terms and conditions of the agreement.

2. Approval of Specified Key Personnel: The key personnel positions will be determined in each Round. 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 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 any award(s) resulting from any Round under this APS pursuant to Automated Directive System (ADS) 303.

5. The Agency’s ability to immediately halt an activity if the recipient does not meet detailed performance specifications (for example, construction specifications). These would be provisions that go beyond the suspension remedies of the Federal Government for noncompliance as stated in 2 CFR 200, including non-performance. See ADS 303.3.11(e).

6. Direct agency operational involvement or participation to ensure compliance with statutory requirements such as civil rights, environmental protection, and provisions for the handicapped that exceeds the Agency’s role that is normally part of the general statutory requirements understood in advance of the award. See ADS 303.3.11(e).

7. Highly prescriptive Agency requirements established prior to award that limit the recipient’s discretion with respect to the scope of services offered, organizational structure, staffing, mode of operation, and other management processes, coupled with close monitoring or operational involvement during performance over and above the normal exercise of Federal stewardship responsibilities to ensure compliance with these requirements. See ADS 303.3.11(e).

F. 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 a Round of this APS. In such cases, USAID would typically retain a nonexclusive, non-transferable, royalty-free license to use any such intellectual property.

G. Environmental Impact It has been determined that activities conducted by awardee(s) under Rounds of this APS will have no foreseeable significant direct or indirect adverse effect on the environment. In accordance with the 22 CFR 216.2, the award(s) 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.” The activities under each award will be screened annually as part of the work plan review to ensure that program activities have not changed, resulting in potential environmental impacts and a chance of threshold determinants. Further, there must be integration of compliance responsibilities into all contracts and sub-awards under each prime award.

H. Authorized Geographic Code The authorized geographic code for the procurement of services and commodities is 937 (the United States, the recipient country, and developing countries other than advanced developing countries, but excluding any country that is prohibited source,” per ADS 310.3.3.3)..

I. Benefiting Geographic Areas SBC Research award(s) will provide global leadership and will implement activities in countries where USAID currently supports health and other complementary social and behavior change research activities, primarily in Asia and sub-Saharan Africa, with a limited number of countries in the Latin American and Caribbean region. Current USAID priority countries by health technical area are listed in Appendix B. This does not, however, preclude activities in other countries which received USAID support. If a Round of this APS has a specific geographic focus, it will be clearly stated.

SECTION III: ELIGIBILITY INFORMATION

A. 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 under each Round(s) of this APS. Further, the organization must be a legally recognized organizational entity under applicable law, not otherwise restricted by statue, regulation, Agency policy, or administrative determination (i.e., suspension and debarment) from receiving assistance, and legally registered in a country that is not prohibited source per ADS 310.

Applicants must demonstrate that they have capacity to operate in more than one country.

Concept papers and resulting full applications can be global or regional. The organization(s) must have the capacity to work simultaneously in or across multiple countries, particularly in USAID’s focus countries (Appendix B).

Concept papers from organizations that do not meet the above eligibility criteria will not be reviewed and evaluated. Consortiums are eligible to apply for any Rounds of the APS, individuals are not eligible to apply for any Rounds of this APS. Organizations that wish to be subawardees can also submit a concept paper if they wish to be evaluated and if successful, invited to co-creation; subawardees that did not submit a concept paper (or were unsuccessful) can be added at the full application stage.

Organizations in developing countries are strongly encouraged to apply, inasmuch as they will support not only the objectives of this APS and the Round(s) they are applying to, 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 Survey to determine 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, or whether specific conditions will be needed.

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 Instrument”.

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 a specific Round, that organization still may submit another concept paper in another future Round(s), if one occurs. Review criteria will be revised to the specifics of the Round; another submission in another Round does not guarantee a successful concept paper and invitation to attend the co-creation workshop/submit a full application.

B. Cost Share Cost share will be required in each Round (unless the Round document specifies otherwise). A required range for cost share will be provided in the request for full application(s) for each Round; the range will allow for the proposed amount to be commensurate with an eligible organization’s financial capabilities and access to resources, especially those that have not previously partnered with USAID. 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

200.306 for US NGOs. For non-US NGOs, all cost sharing would be subject to the Required as Applicable Provision “Cost Sharing” in ADS303mab.

C. Number of Applications

To be considered as a potential prime on a full application, an organization must submit a concept paper (as an intended prime or sub-partner) to the relevant Round. Please note that a single organization may not submit more than one concept paper, in total, to any given Round; if an organization submits more than one concept paper to any Round, only the first one received (determined by email timestamp for the USAID POC) will be evaluated.

SECTION IV: CONCEPT PAPER SUBMISSION INFORMATION

Concept papers will be accepted under issued Rounds of this APS. Please refer to the specific Round documents for detailed information on the concept paper submission guidance including concept paper requirements and review criteria for the specific Round. General guidance for all Rounds under this APS is provided below.

A. Concept Paper Process Concept papers received under SBC APS Rounds will be reviewed based on full and open competition and under the procedures and evaluation criteria identified in Section V of each specific Round documentation. Competition under SBC APS Rounds 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 each Round. After a concept paper is received, USAID reserves the right to pose clarifying questions and conduct discussions with any applicant, but may opt not 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 nor does it indicate that the applicant will receive funding.

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(s); 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 a Round of 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/goal in question (specified in each Round), 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 applicant(s) throughout the remainder of the process, e.g., up to and through any award that might be issued under a Round of this APS. USAID also reserves the right to make an award without discussions if determined to be in the Government’s best interest. Additionally, USAID may make an award on the basis of initial concept papers received, without scheduling a co-creation workshop.

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 each Round(s) of 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 all Round(s) of 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 for each specific Round. The evaluation/review of the content in concept papers against Section V for each specific Round will allow USAID to determine if an organization could make valuable technical and organizational contributions to the co-creation process; the ideas in the successful concept papers may or may not be the same approaches developed further during co-creation, though the solutions and strategies generated may draw from these ideas.

No additions or modifications to concept papers will be accepted after the submission date for each Round of this APS. Concept papers that are submitted late or are incomplete may not be considered for the co-creation process or request for full applications (if co-creation is not conducted). Additional information in the concept paper not requested by each Round of the APS will be removed and may adversely affect an applicant’s evaluation/review.

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. USAID may limit the number of initial submissions selected to move forward based on efficiencies.

If requested to submit a full application, the applicant(s) (unless the applicant is a 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.”

SECTION V: APPLICATION REVIEW INFORMATION

A. Review of Concept Papers and Full Applications Once a concept paper has been submitted in response to a Round under the SBC Research APS, USAID will conduct an initial review of the concept paper using the criteria outlined in the individual Round of the APS. The awarding Mission or Operating Unit of the SBC Research APS Round will review submissions.

The purpose of the initial review is to determine whether USAID wishes to engage in further discussions regarding the proposed approach and activities. The initial review and communication will result in one of three outcomes:

● A decision to forego further consideration of the approach proposed in the concept paper;

● A decision to provide the Applicant an opportunity to submit a revised concept paper (this is very rare); OR

● An invitation to engage in more in-depth and specific co-creation discussions aimed at further developing the proposed approach and determining whether to request a Full Application.

B. Co-Creation Opportunity USAID may use co-creation with prospective applicants during various stages of Round procurements using either virtual or in-person approaches and different formats (e.g. technical workshops, document review and feedback, etc.). The goals of co-creation efforts are envisioned as follows:

● To explore and validate key challenges and problems, and then jointly develop promising solutions or adapt and expand upon existing solutions;

● To bring together a diverse group of potential applicants, to identify potential consortia and partnerships to support these new or existing solutions and activities;

● To facilitate learning, sharing, and networking across USAID, a range of partners and relevant technical experts.

Note: Any costs associated with attending a co-creation workshop will not be reimbursed by USAID.

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 that may or may not have submitted concept papers. Additional partners may be included as sub-partners on a full application if there is an agreement to do so between the potential sub-partner, the original concept paper applicant, and USAID, but this is not guaranteed. Discussions with potential technical and/or resource partners may continue throughout each Round’s process and during implementation.

USAID reserves the right to remove any co-creation participant 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.

Note: None of USAID’s communication during the co-creation process in all Rounds of 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 Rounds of this APS is entirely at their own risk; the Government is not responsible for any costs 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 a cooperative agreement is signed by the Agreement Officer.

C. Full Application Process

Following concept paper review and evaluation, highly rated applicants will be asked to submit a full technical and cost application, though a Request for Application (RFA). The RFA will provide submission instructions and the evaluation criteria. The RFA should not be interpreted as a commitment to funding or guaranteed issuance of the award. Full applications received in response to the RFA, will be evaluated by the Merit Review Committee.

Each Round will provide evaluation criteria for both the concept paper and full application stages. 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.

APPENDIX A: Acronym List

ADS Automated Directives System

AO Agreement Officer

AOR Agreement Officer’s Representative

APS Annual Program Statement

CFR Code of Federal Regulations

DUNS Data Universal Numbering System

FP Family Planning

FP/RH Family Planning and Reproductive Health

GH USAID’s Bureau for Global Health

IEE Initial Environmental Examination

IR Intermediate Result

MCHN Maternal and Child Health and Nutrition

MEL Monitoring, Evaluation, and Learning

MRC Merit Review Committee

NGO Non-governmental Organization

PRH Office of Population and Reproductive Health

SAM System for Award Management

SBC Social and Behavior Change

SRH Sexual and Reproductive Health

USAID United States Agency for International Development

USD US Dollars

USG United States Government

APPENDIX B: USAID Priority Countries

FP/RH Focus Countries USAID advances and supports voluntary family planning and reproductive health programs in nearly 40 countries around the world. Family planning priority countries have been identified based on key demographic and health indicators. These countries are:

● Afghanistan

● Bangladesh

● Democratic Republic of Congo

● Ethiopia

● Ghana

● Haiti

● India

● Kenya

● Liberia

● Madagascar

● Malawi

● Mali

● Mozambique

● Nepal

● Nigeria

● Pakistan

● Philippines

● Rwanda

● Senegal

● South Sudan

● Tanzania

● Uganda

● Yemen

● Zambia

Also, USAID is a founding member of the Ouagadougou Partnership that seeks to integrate family planning and reproductive health in seven additional francophone West African countries:

● Benin

● Burkina Faso

● Côte d’Ivoire

● Guinea

● Mauritania

● Niger

● Togo

MCHN Priority Countries

Maternal and Child Health programs currently focus on 25 countries that represent more than 66% of maternal and child deaths.The 25 priority countries were chosen based on the magnitude and severity of maternal and child deaths, country commitment, USAID Mission capacity, and potential opportunity to integrate programs and leverage investments.

● Afghanistan

● Bangladesh

● Burma

● Democratic Republic of Congo

● Ethiopia

● Ghana

● Haiti

● India

● Indonesia

● Kenya

● Liberia

● Madagascar

● Malawi

● Mali

● Mozambique

● Nepal

● Nigeria

● Pakistan

● Rwanda

● Senegal

● South Sudan

● Tanzania

● Uganda

● Yemen

Water, Sanitation and Hygiene (WASH) Priority Countries

USAID prioritizes extending water and sanitation services to the world’s most vulnerable communities. Every year the Agency undertakes a thorough assessment to determine which countries would benefit most from its investments. On November 6, 2020, USAID announced that all 18 FY 2020–designated high-priority countries (HPC) would remain on the list for the coming fiscal year.

● Afghanistan

● Democratic Republic of Congo

● Ethiopia

● Ghana https://www.usaid.gov/news-information/press-releases/nov-6-2020-usaid-re-designates-18-high-priority-countries-under-water-world-act

● Haiti

● India

● Indonesia

● Kenya

● Liberia

● Madagascar

● Mali

● Mozambique

● Nepal

● Nigeria

● Senegal

● South Sudan

● Tanzania

● Uganda

President’s Malaria Initiative (PMI) Focus Countries

The U.S. President’s Malaria Initiative (PMI) is a U.S. Government initiative designed to drastically reduce malaria deaths and illnesses in target countries in sub-Saharan Africa with a long-term vision of a world without malaria. PMI is at work in 24 countries in sub-Saharan Africa and in one region in Asia. To reduce malaria deaths and illness in each target country, PMI helps national governments deliver proven, effective interventions to those at risk for malaria.

● Angola

● Burma

● Cambodia

● Cameroon

● China (Yunnan Province)

● Côte d’Ivoire

● Democratic Republic of Congo

● Ethiopia

● Ghana

● Guinea

● Kenya

● Lao People’s Democratic Republic

● Liberia

● Madagascar

● Malawi

● Mali

● Mozambique

● Niger

● Nigeria

● Rwanda

● Senegal

● Sierra Leone http://www.pmi.gov/

● Tanzania

● Thailand

● Uganda

● Vietnam

● Zimbabwe

The US President’s Emergency Plan for AIDS Relief (PEPFAR) Focus Countries

PEPFAR activities focus on expanding access to HIV prevention, treatment, and care interventions. These include provision of antiretroviral treatment, pre-exposure prophylaxis, voluntary male circumcision, and condoms. PEPFAR bilateral programs span more than 50 countries, and requires 25 countries and the Asia, Western Hemisphere, and West Africa regional programs to develop “Country Operational Plans” (COPs) and “Regional Operational Plans” (ROPs). PEPFAR also has identified 13 focus countries. These countries are:

● Botswana

● Côte d’Ivoire

● Haiti

● Kenya

● Lesotho

● Malawi

● Namibia

● Rwanda

● Swaziland

● Tanzania

● Uganda

● Zimbabwe

APPENDIX C: Socio-Ecological Model for Social Behavior Change