Social Behavior Change Research Award APS Round 1 Questions.docx.pdf

Social Behavior Change Research Award APS Round 1 Questions

1. Are outcomes related to nurturing care acceptable as part of MCH? Such outcomes could include talking with and book reading to children as well as nutrition and health care practices. Would it be acceptable to focus on the aspects that are indicative of stimulating early environments, with health as complementary outcomes?

Nurturing care is an integral part of high quality maternal and child health and nutrition. Nurturing care outcomes and behaviors should focus on the aspects that intersect with health and nutrition, including responsive caregiving, rather than those focused on education. As illustrative examples, responsive feeding; talking to infants while feeding them or caring for them; caregivers paying attention to child's cues for prompt feeding and early care-seeking; and provider support for feeding, pain management, skin protection, KMC, and family engagement would all be appropriate to include, though this list is not comprehensive.

2. Would USAID consider allowing applicants to submit concept papers for Round 1 that address only one, or only two, of the three Results for this APS/Round 1, rather than all three? Given that the co-creation workshop is meant to facilitate the sharing of ideas and networking across a range of partners and relevant technical experts, this might allow organizations who are interested in being a sub—who are not yet part of a team but have strong technical expertise under one or two of the

Results— the opportunity to participate in this process and register their interest.

Yes, applicants can submit concept papers that address 1, 2 or all 3 of the expected results. Applicants are not required to address all 3 results in their concept paper. The APS Round 1 document has been amended to reflect this change. Please refer to the revised Round 1 document on grants.gov.

3. On page 5, it states that Result 1 is focused on the uptake and continuation of healthy behaviors.

For the purposes of this APS round, what are the priority behaviors that USAID is aiming to advance?

Any activities that relate to the central purpose of the APS Round 1 of defining/measuring/affecting agency and its determinants such that it leads to improved health and nutrition behaviors will be considered. Health and nutrition behaviors to be measured and/or affected on this agency pathway may be determined by technical office buy-ins to the award. For the purposes of this Round, priority

RMNCH+N behaviors, including, but not limited to, reduced intimate partner violence, healthy spacing and timing of pregnancies, improved couples communication, attending ANC during pregnancy, children's dietary diversity (6-24 months), adequate complementary feeding, etc. may be considered.

4. Page 8 describes improving research utilization under Result 3. Given that there are many potential target populations (such as local researchers, national policymakers, students, community groups, etc.), who are the target populations that USAID is prioritizing for this technical assistance in

Round 1?

This APS is rooted in the principles of locally led development, so the primary target audience are local actors, including host country governments, civil society organizations, local researchers, community groups, regional research bodies and consortia, host country universities and students, etc.

https://drive.google.com/file/d/1BHnbTeS-1IrCc9G7zTLVaBmK8Pkc-Ve0/view

5. Regarding the Instructions on Page 13, should applicants applying as a consortium include organizational capability information for proposed sub-awardees, or only the lead applicant?

Yes, organizational capability information and staffing and management information should be provided for all members of the proposed consortium.

6. On page 13, it states “Present the staffing plan and management roles needed to implement the proposed technical approach for both core and field support, emphasizing the technical skills and capability of proposed staff in the field of behavioral science and research.” Does USAID have a suggested format for the staffing plan?

No.

7. On page 16, it states that “If multiple awards are made, these recipients are expected to collaborate closely throughout the entire period of performance.” Would USAID provide additional information about what this collaboration would look like/include?

Multiple awards could be made if multiple concepts in full applications merit support insofar as they propose activities that are complementary to achieving the central purpose of APS Round 1.

Collaboration parameters would be determined after awards are made.

8. Does each potential partner have to submit an individual concept note to be considered for the co-creation process, even when part of an agreed upon consortium?

No.

9. What is the cost share required for this round?

Cost share will be discussed at the request for application stage.

10. Is this a five-year project?

Yes

11. How will sub partners on consortiums be managed and represented at the co-creation stage?

If consortia submit 1 concept paper together for all partners, they can nominate 1-3 individuals to represent the consortia at the co-creation stage, drawing from prime and/or sub partners. The nominated representatives will be determined by the consortium.

12. What are the factors that will determine USAID’s decision to provide a single award compared to two awards?

Multiple awards could be made if multiple concepts in full applications merit support insofar as they propose activities that are complementary to achieving the central purpose of APS Round 1.

13. While a range of health outcomes have been mentioned in the purpose, could USAID please confirm if there are specific outcomes that are high priority and whether these would differ based on the geographic region and context?

See answer to question 3.

14. Could USAID kindly clarify by what specific time (time zone, hour) the concept paper submission is due?

12pm EDT

15. Could USAID please confirm that the anticipated length of the project is five years?

Yes

16. Could USAID please confirm that there is not a specific cost-share requirement for Round 1?

Yes there will be a cost share requirement which will be discussed at the request for application stage.

17. Are sub-partner applicants required to respond to all three Results in their concept paper? Or can they focus just on the results that align with their areas of expertise?

Applicants can submit concept papers that address 1, 2 or all 3 of the expected results. Applicants are not required to address all 3 results in their concept paper. The APS Round 1 document has been amended to reflect this change. Please refer to the revised Round 1 document on grants.gov.

18. Page 17 of the Round indicates: “The concept paper must emphasize the technical skills and capability of proposed staff in the field of behavioral science and research, and connection to local actors and institutions in host countries”. Does this mean that applicants need to name key staff at the concept note stage?

If able to do so, applicants are welcome to name key staff at the concept note stage, but it is not a requirement at this stage.

19. For the staffing and management plan requested on section 3 of the concept paper:

- Would USAID please clarify how applicants submitting concept papers as sub-partners should approach the staffing and management plan section? Potential sub-awardees must present a staffing and management plan that describes the roles needed to implement the proposed technical approach, emphasizing the technical skills and capability of proposed staff in the field of behavioral science and research.

- Would USAID please clarify any preferences for the geographic location(s) of the project’s office(s) and staff? No geographic preference, but the APS is rooted in the principles of locally led development.

- Would USAID please indicate if it has any guidance on the staff positions the applicant should propose or if it is up to the applicant to propose the staff that best aligns with its technical design? It is up to the applicant at the concept paper stage. In concept papers, applicants should show organizational capacity, including technical expertise and connections to local actors and institutions.

- Should applicants assume a 100% LOE for key staff? USAID is not envisioning a certain number of key personnel at the concept paper stage, and LOE would be determined later on.

20. Would USAID be able to provide any information on anticipated key personnel positions at this stage? This would help applicants plan in the event they are selected to move to the next phase of the process.

It is up to the applicant at the concept paper stage. In concept papers, applicants should show organizational capacity, including technical expertise to achieve the results and overall purpose of the

APS Round, and if they are an INGO, connections to local actors and institutions.

21. Could USAID please confirm that applicants wishing to submit a staffing plan organogram can do so as an annex that will not count toward the six-page limit?

No annexes permitted: the concept paper must be 6 pages only.

22. If an organization submits a proposal as a sub-partner with an undefined prime, how does USAID expect to match the organizations?

The co-creation workshop will facilitate learning, sharing, and networking across a range of partners and relevant technical experts, and this process may help identify potential consortia and partnerships.

However, it is not USAID’s intention to mandate partnerships. Applicants are expected to judge for themselves which partners would potentially strengthen their application and capacity.

23. Regarding Section V: Round 1 Evaluation Criteria (page 17), would USAID please clarify if local partnerships should be identified at the concept stage or would illustrative examples in terms of how local partner capacity, performance, and quality improvement will be incorporated in the technical approach be sufficient?

In concept papers, applicants should show organizational capacity, including technical expertise to achieve the results and overall purpose of the APS Round, and if they are an INGO, demonstrate proven connections and partnerships with local actors and institutions. Local partners do not need to be identified at the concept paper stage, as new partners may be added up until Full Applications are submitted.

24. Capacity building of local partner institutions is a major focus of the opportunity. To what extent will you support US-institutions’ interventions, when they support local institutions’ activities (e.g.

changing social norms or demand-generation for local service provision)? In short, do you anticipate that the US institution only provides technical assistance/capacity-building, or can they deliver services on the ground themselves, when those activities support local endeavors?

A US institution can deliver services and do project implementation, mindful of the principles of locally led development. Please refer to page 17 of APS Round 1 “Concept papers will be assessed on the extent to which local partner capacity, performance, and quality improvement are central elements of the technical approach and measures of success. The concept paper must articulate the proposed approach(es) to ensure local ownership, sustainability and institutionalization, as appropriate.”

25. Page 19: USAID “strongly encourages that approximately 25 percent of total obligated funding is utilized by local organizations in the countries in which the project is working.” Could USAID clarify whether there will be a required minimum set-aside for local organizations? Please also clarify whether the encouraged 25% threshold applies only to obligated field funding and not the overall estimated

$38M ceiling?

This is an encouraged, not required, target, and the 25% threshold would apply to annual budgets for the entirety of the project, not just field buy-ins.

26. What are the factors that will determine USAID’s decision to provide a single award compared to two awards?

Multiple awards could be made if multiple concepts in full applications merit support insofar as they propose activities that are complementary to achieving the central purpose of APS Round 1.

27. Given the page limit of the concept paper (six pages), may applicants reference figures, graphics, tables, etc. in the Technical Section and include the actual figures, graphics, etc. as Annexes?

No annexes permitted: the concept paper must be 6 pages only.

28. Would USAID allow inclusion of references in a separate, uncounted page, included as an Annex, to avoid footnotes and allow more space for the technical section?

No annexes permitted: the concept paper must be 6 pages only.

29. If USAID would consider an acronyms/abbreviations page helpful, could this be included in a separate, uncounted page, included as an Annex?

No annexes permitted: the concept paper must be 6 pages only.

30. Could USAID please clarify the type of award that will issue?

Cooperative agreement.

31. Will USAID provide individual feedback on concept notes prior to the full application development stage?

No. General strengths and weaknesses of concept papers will be discussed at co-creation, but not individual feedback.

32. To achieve Result 1, does USAID envision that the implementing partners will lead implementation of the SBC interventions in addition to leading evaluations? Or will the implementing partners lead evaluation of other organizations’ and institutions’ SBC interventions?

Either, or both. Any activities that relate to the central purpose of the APS Round 1 of defining/measuring/affecting agency such that it leads to improved health and nutrition behaviors will be considered.

33. By what time of day on May 14th must applicants submit the concept paper?

12 pm EDT

34. Is USAID asking applicants to name individual key personnel and proposed staff, or should applicants simply describe the roles envisioned?

It is up to the applicant at the concept paper stage. In concept papers, applicants should show organizational capacity, including technical expertise to achieve the results and overall purpose of the

APS Round, and if they are an INGO, connections to local actors and institutions.

35. May applicants include an org chart as an annex excluded from the 6 page limit to complement the staffing and management plan?

No annexes permitted: the concept paper must be 6 pages only.

36. To what extent is implementation science-type research allowed under this project? Will the design and implementation of interventions be allowed?

Yes. Any activities that relate to the central purpose of the APS Round 1 of defining/measuring/affecting agency such that it leads to improved health and nutrition behaviors will be considered.

37. Is publishing new evidence – especially evidence generated under Result 1 – in academic peer-reviewed journals a priority for USAID? Or should implementing partners prioritize the development of process and guidance documentation?

Rigorous operations research that is relevant to programming is the focus of evidence generated under

Result 1. Peer-reviewed journal articles are also of interest to advance the field of defining/measuring agency as part of the central purpose of the APS Round 1.

38. Result 3 indicates, “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.” Could

USAID please give an example or explanation of what is meant by “normative bodies”?

International organizations that have normative functions in setting health guidelines, like the World

Health Organization.

39. Is Mozambique also qualified for this call?

Yes, organizations from Mozambique are able to submit concept papers.

40. USAID expects that at least 25% of funding be directed towards local organizations. Related to the above question about consortiums, if an INGO is priming, at what stage does the applicant need to identify to USAID the specific local organizations selected for the project? In addition, what specific type of local organizations are considered (for ex., community organizations, government agencies, research institutes, universities, etc.)?

INGOs should ideally identify local organizations at the Full Application stage, but future/new partnerships under a cooperative agreement are also possible. Types of organizations include locally based and led CSOs, NGOs, private sector organizations, research institutes, and universities.

41. USAID states that during the co-creation process, organizations may be assigned to work with other organizations on development of the final proposal. What criteria will USAID use when deciding which organizations one should partner with?

USAID will not determine partnerships or assign organizations to work together. Organizations may work together during the co-creation workshop, but will decide themselves if they want to create a consortium to submit a Full Application together.

42. Will USAID consider an INGO as a sub-partner?

Yes.

43. Many USAID priority countries have been identified in Appendix B. As part of the concept paper, do applicants need to specifically list the countries they plan to target? Is there a minimum (or maximum) in the number of countries the project should target? During the co-creation process, are applicants able to reconsider the list of proposed countries?

No, a list of proposed countries is not required at the concept paper stage; No; Yes.

44. On page 6, the Round 1 Call for Concept Papers mentions cash and food assistance as being more effective when combined with SBC, therefore does USAID envision further research involving cash and food assistance under this APS?

Any activities that relate to the central purpose of the APS Round 1 of defining/measuring/affecting agency such that it leads to improved health and nutrition behaviors will be considered. Please refer to page 17 of APS Round 1 “Concept papers will be assessed on the extent to which local partner capacity, performance, and quality improvement are central elements of the technical approach and measures of success. The concept paper must articulate the proposed approach(es) to ensure local ownership, sustainability and institutionalization, as appropriate.”

45. To clarify, will USAID consider research under Round 1 of the APS to test/develop methods to design effective SBC interventions?

See answer to question 44.

46. To clarify, does USAID expect SBC research under Round 1 to include innovation, piloting, scaling, and monitoring the utilization of evidence-based SBC interventions?

See answer to question 44.

47. Is this the follow-on program to USAID Breakthrough Research?

This is not a follow-on to any project. This APS builds on the developments of social and behavior change programming and behavioral science of the last decades, including but not limited to activities and research funded by USAID.

48. Can USAID please provide the breakout of funding by health area funding stream?

Not at this time.

49. In several places USAID refers to improved capacity and utilization of evidence among

USAID and host country government partners. Is USAID also interested in the uptake of evidence with a broader set of non-USAID and government stakeholders?

Yes.

50. Does USAID foresee any conflict of interest under this award with any future SBC implementation-focused projects?

No.

51. We are assuming that organizations named as sub-grantees on consortiums will be represented at co-creation by the 3 individuals nominated to represent the consortium. Can you please confirm this, and clarify if an organization is named as a technical partner on a consortium, will they also be able to have their own organizational representation at co-creation as part of the larger consortium team?

Every concept paper may nominate only 1-3 representatives only to join co-creation to represent the consortium - this is up to the consortium who they want to nominate and divide the 1-3 spots between prime and sub-partners.

52. Should applicants incorporate organizational capacity descriptions of their technical partners in their applications as applicable?

Yes.

53. Given the full depth and breadth of work and field support buy-in is not known until after co-creation, does USAID want applicants to designate staff by name that will fill potential positions at this stage or after co-creation?

It is up to the applicant at the concept paper stage. In concept papers, applicants should show organizational capacity, including technical expertise to achieve the results and overall purpose of the

APS Round, and if they are an INGO, connections to local actors and institutions.

54. Given that this opportunity was posted online late on a Friday afternoon and then that grants.gov was down periodically over the weekend, would USAID kindly consider extending the due date on this opportunity.

No.

55. If consortia are permitted under Round 1 of this APS, can subs submit a concept paper while also being a part of a prime concept paper submission?

Yes.

56. If consortia are permitted to bid on this Round 1 APS, can the consortium prime select a representative from the consortium to participate in the co-creation workshop?

Yes.

57. In addition to funding from the Office of Population and Reproductive Health and USAID

Missions, could USAID provide more information on other types and sources of health funding available to support the round 1 APS?

Not at this time. This is a cross-bureau APS Round so any health office’s funding may be used to support this initiative after it is awarded.

58. Could USAID please clarify the language on page 13 of the Round 1 APS regarding “proposed staff?” It says “…emphasizing the technical skills and capability of proposed staff in social and behavioral science research.” Are bidders expected to name proposed project staff in the staffing and management section of the concept note? Or will that be requirement in the proposal?

It is up to the applicant at the concept paper stage. In concept papers, applicants should show organizational capacity, including technical expertise to achieve the results and overall purpose of the

APS Round, and if they are an INGO, connections to local actors and institutions.

59. Could USAID please clarify if bidders are allowed to include appendices (e.g., theory of change, skills matrix) that would not count toward the six pages of the concept paper?

No annexes permitted: the concept paper must be 6 pages only.

60. We would like to know whether multiple submissions from a single organization are allowed in this Round.

Yes.

61. Could USAID please clarify a discrepancy in the overall APS and Round 1 APS language regarding consortia? The APS on page 14 says "Individual and consortiums are not eligible to apply for any rounds of this APS." Round 1 on page 14 says " 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." The latter, along with the instructions on page 12 “Nominate 1-3 individuals (include name, title, employing organization, email and telephone number) to represent the team in the co-creation workshop” suggest that prime organizations are allowed to include partners in their submissions. Are bidders permitted to name potential sub-partners as technical and/or resource partner in the concept note?

Yes. Consortia are allowed to apply at the concept paper stage. The APS Round 1 document has been amended to reflect this change. Please refer to the revised Round 1 document on grants.gov

62. Can a concept paper be submitted in French?

No, the concept paper must be submitted in English.

63. The APS states on p. 13: “Individuals and consortiums are not eligible to apply for any Rounds of this APS”. Does this mean that it is not acceptable to submit a concept note for a pre-formed consortium?

No. Consortia are allowed to apply at the concept paper stage. The APS Round 1 document has been amended to reflect this change. Please refer to the revised Round 1 document, on grants.gov. Please note, individuals are still not eligible to apply.

64. Do references count within the 6 pages of the concept note?

Yes. No annexes permitted: the concept paper must be 6 pages only.

65. Pg. 5 of Round 1 states as a key area: “Research to improve the monitoring and evaluation of SBC programs and measurement of key indicators.” Is this area focused on research or technical capacity?

Both: further research is needed to clarify and validate the measurement of key SBC indicators, including agency. This result also expects increased technical capacity of stakeholders designing and implementing health and development programming to better measure and evaluate SBC indicators and outcomes, including around agency.

66. Is there a preference for countries which appear multiple times across FP/RH, MCHN, WASH, PMI, and PEPFAR priority lists?

No. However, this is a cross-bureau APS open to multiple technical office buy-ins.

67. The call for concept papers mentions on p12 that the applicant should describe the role they see their "organization playing: prime partner, sub-partner/consortia partner, or either". If the applicant sees their organization playing a sub-partner role, should that role be clarified in the technical response also, or should the technical section reflect the organization's ideas for the consortium as a whole?

The technical section of a sub-partner should explain what technical expertise they will provide to the consortium to ensure the consortium has the technical and organization capacity to achieve the expected results of Round 1.

68. On page 11 under Section IV, the funding opportunity states: “Concept papers only addressing one Result will not be accepted or reviewed.” Would USAID reconsider accepting concept papers from potential sub partners that address a single result, since some organizations may be interested to play a sub-partner role under only one (1) result.

See answer to question 2.

69. Does USAID envision that activities under Results 2 and 3 will be dependent upon (and therefore follow) Result 1 activity and findings, or does USAID envision that Results 2 and 3 would move forward based on findings from Breakthrough Research and other SBC initiatives?

Results 2 and 3 can build on findings from other SBC initiatives and research not conducted under this

APS Round, not limited to those funded by USAID, in addition to findings from activities under Result 1.

70. Page 11, Section IV, B. Round 1 Concept Paper Content and Format. This section mentions figures, graphics and tables. Given the page limit of the technical section (6 pages), may offerors reference figures, graphics, etc. in the Technical Section and provide the actual figures, graphics, etc. in an Annex?

No annexes permitted: the concept paper must be 6 pages only.

71. In the event of an unavoidable conflict, would USAID allow organizations to replace the nominated participants for co-creation?

Yes.

72. Given that USAID is requesting applications from organizations interested in sub-partner roles, could USAID please clarify how sub-partner management and staffing sections will be evaluated?

Potential sub-awardees must present a staffing and management plan that describes the roles needed to implement the proposed technical approach, emphasizing the technical skills and capability of proposed staff in the field of behavioral science and research.

73. Is there any possibility to expand the geographic code from 937 to 935?

No.

74. Is there any minimum or maximum number of countries that you expect the initiative to work in?

No.

75. To inform a proposed staff size and staffing structure, can USAID provide information about the potential split between core funding and field funding? In addition, is USAID envisioning a certain number of key personnel?

We cannot provide a breakdown of core and field funding at this time. USAID is not envisioning a certain number of key personnel at the concept paper stage.

76. If submitting a concept note with the plan to be a sub-awardee, does the organization need to include a full management plan?

Potential sub-awardees must present a staffing and management plan that describes the roles needed to implement the proposed technical approach, emphasizing the technical skills and capability of proposed staff in the field of behavioral science and research.

77. Can funds from this grant be used for implementation or is it expected that the projects being examined through research and evaluation will be funded through another mechanism?

Yes, funds can be used for implementation.