Draft RFA - Translating Research into Action | TRAction Project

REQUEST FOR APPLICATIONSRFA SOLICITATION NUMBER: MNCH2013-001Descriptive Case Study of Programs Implementing Interventions to ImproveEquity and Targeting of Maternal and Newborn Health ServicesDate of Issue: Monday, March 4, 2013Closing Time and Date for Applications:Monday, April 15, 2013, 5:00pm (EST)Applications must be emailed to: tracapply@urc-chs.comDeadline for Questions: Monday, March 25, 2013, 5:00pm (EST)Questions by email ONLY to: tracapply@urc-chs.comCONTACT PERSON: Julia Adams Naula, Senior Project CoordinatorTel. 1-301-941-3452Email: jnaula@urc-chs.comIssuance of this RFA does not constitute an award commitment on the part of URC nor does itcommit URC/TRAction or the US government to pay for costs incurred in the submission of anapplication. URC may reject any submission that does not fully comply with requirements of theRFA. Furthermore, funding of successful proposals is contingent on the availability of fundsfrom USAID.1

TABLE OF CONTENTSLIST OF ACRONYMS ............................................................................................................... 41. TRANSLATING RESEARCH INTO ACTION (TRACTION) PROJECT ...................................... 52. PURPOSE AND FOCUS.................................................................................................. 52.1 Purpose of the RFA ...................................................................................................... 52.2 Focus of the Case Studies ............................................................................................ 62.3 Research Goals and Objectives .................................................................................... 73. TECHNICAL BACKGROUND ........................................................................................... 83.1 Equity in Health Services ............................................................................................. 83.2 Targeting and Phased Programming to Improve Equity .............................................. 114. INSTRUCTIONS FOR THE APPLICATION ....................................................................... 134.1 Amount of Awards and Required Cost Share.............................................................. 134.2 Anticipated Award Date, Duration and Post-award Workshop ................................... 134.3 Eligibility ................................................................................................................... 134.3.1 Country location of the Case Study/Intervention: ..................................................... 144.3.2 Eligible Organization Types ......................................................................................... 144.4 Technical Application Instructions ............................................................................. 144.4.1 Executive Summary (1 page maximum) ..................................................................... 144.4.2 Technical Approach (8 pages maximum) ................................................................... 144.4.3 Organizational Capacity (1 page maximum) .............................................................. 164.4.4 Appendices to the Technical Application ................................................................... 174.5 Cost Application Instructions ..................................................................................... 174.6 Submission Instructions ............................................................................................. 184.6.1 What can be funded ................................................................................................... 184.6.2 What cannot be funded .............................................................................................. 195. APPLICATION REVIEW AND SELECTION PROCESS ....................................................... 195.1 Evaluation Criteria for Technical Proposals ................................................................ 195.2 Evaluation Criteria for Cost Application ..................................................................... 206. ADMINISTRATION OF AWARD ................................................................................... 206.1 Post-Submission Supporting Documents .................................................................... 206.2 Reporting Requirements ........................................................................................... 212

6.3 USAID Health Research Information Tracking System: ............................................... 226.4 NIH Public Access Policy ............................................................................................ 226.5 Data Sharing ............................................................................................................. 226.6 Fiscal controls ........................................................................................................... 226.7 Substantial Involvement of USAID and TRAction ........................................................ 227. MANAGEMENT ISSUES AND POLICIES ........................................................................ 238. APPENDICES TO THIS RFA .......................................................................................... 249. REFERENCES .............................................................................................................. 24APPENDIX A: FORMAT FOR ORGANIZATIONAL REFERENCES ................................................ 26APPENDIX B: APPLICATION CHECKLIST ................................................................................ 27APPENDIX C: BUDGET INSTRUCTIONS AND TEMPLATE ....................................................... 28APPENDIX D: LEGAL AUTHORITY FOR THE ADMINISTRATION OF GRANTS ........................... 30APPENDIX E: TEMPLATE OF THE SUB-AGREEMENT ............................................................... 31APPENDIX F: CERTIFICATIONS AND REPRESENTATIONS ........................................................ 323

LIST OF ACRONYMSAOR Agreement Officer’s Representative (i.e. the USAID technical oversight officer)BCG Bacillus Calmette–GuérinCV Curriculum VitaeDPT Diphtheria, Pertussis, TetanusDUNS Data Universal Numbering SystemG&A General & AdministrativeHPI Health Policy InitiativeHRIT Health Research Information Tracking SystemIRB Institutional Review BoardLOE Level of EffortMDG Millennium Development GoalsMNCH Maternal, Newborn and Child HealthM&E Monitoring and EvaluationNGO Non-Governmental OrganizationNICRA Negotiated Indirect Cost Rate AgreementNIH National Institutes of HealthOMB Office of Management and BudgetPI Principal InvestigatorPMP Performance Monitoring PlanRFA Request for ApplicationTEC Technical Evaluation CommitteeTRAction Translating Research into ActionTRP Technical Review PanelUNDP United Nations Development ProgramUNICEF United Nations Children’s FundURC University Research Co., LLCUSAID United States Agency for International DevelopmentUSD United States DollarsUSG United States GovernmentWHO World Health Organization4

1. TRANSLATING RESEARCH INTO ACTION (TRACTION) PROJECTThe Translating Research into Action (TRAction) Project supports implementation research todevelop, test, and compare approaches to more effectively deliver health interventions,increase utilization, achieve coverage, and scale-up evidence-based interventions for maternaland child health problems. TRAction is funded by the U.S. Agency for InternationalDevelopment (USAID), and is managed under a Cooperative Agreement by University ResearchCo., LLC (URC) in collaboration with its partner, the Harvard University School of Public Health.While there is growing recognition of successful approaches to measure and address healthdisparities, up-to-date guidance on how to implement new and proven health interventions atscale and across different contexts is often not readily available. TRAction-supportedimplementation research focuses on bridging the gaps between intervention research and itsaccelerated translation into relevant evidence for program implementers and policy-makers.2. PURPOSE AND FOCUS2.1 Purpose of the RFAThe purpose of this Request for Applications (RFA) is to invite proposals that identify anddocument innovative targeting approaches for improving equity in access and utilization ofmaternal, newborn, and child health services. The TRAction Project anticipates making 6 ormore awards of approximately USD 20,000-50,000 each to achieve the goals described in thissolicitation.Implementing programs/organizations with intervention strategies that are successfullyimproving equity but which need funding and/or technical assistance to properly document andassess their experience are invited to submit an application briefly describing the interventionand the strategy used to implement it, results, and future plans for scale-up. In addition,programs/organizations which have experienced unsuccessful attempts at implementing orscaling-up interventions designed to improve equity are also encouraged to submit anapplication briefly describing the intervention and the strategy used to implement it, results,and what changes, if any, have been proposed to modify the intervention or implementationstrategy.TRAction intends to fund the development of descriptive case studies 1 that explore theimplementation and/or scale-up of targeting interventions to improve equity in access andutilization of MNCH services. For the purpose of this proposal, a descriptive case study is an1 This method answers “how” and “why” questions, such as how and why equity is or is not achieved in a particular context,including an analysis of the obstacles, opportunities and enabling factors that influenced the intervention. Case studies require5

analysis of both the intervention and the real-life context in which it operates. 2The resulting case studies will subsequently be shared with national, regional and globaldecision-makers, program implementers, researchers, and other stakeholders to promotelearning about what works in various settings and facilitate the scale-up of innovative targetingapproaches to achieve equity in access and utilization of maternal, newborn, and child healthservices.2.2 Focus of the Case StudiesThe focus of these case studies will be to document the outcome of strategies for improvingequity in access, coverage, and utilization of quality maternal, newborn, and child healthservices required to achieve the Fourth and Fifth United Nations Millennium DevelopmentGoals (MDGs) to reduce child mortality and improve maternal health. While there are manyequity focused approaches that have been described, this RFA is primarily interested inapproaches that have been used to target these interventions to specific populations.The proposed study must be based on interventions being carried out in low income settingswhere quality health services are potentially available, but access is limited among vulnerablepopulations. The study would document how increases in district level access, coverage, andutilization of quality services were achieved, or how obstacles or challenges hindered thesuccess of the intervention. If an applicant proposes a case study of challenges, they mustdescribe how these challenges could be overcome in future interventions. Of particular interestis documentation of programs that involve a community-driven approach, where civilsociety/community members and/or district level government officials are engaged indesigning, implementing, and monitoring the intervention.Descriptive case studies should be proposed to document and assess strategies, methods,processes, program activities, monitoring systems, contextual factors (i.e. policies), and otherfactors related to the successful or unsuccessful outcome of the applicant’s intervention orprogram. The awardees will be expected to document the processes used to implement theirprogram/intervention including: the methods used to identify vulnerable populations; thebarriers that inhibit access to care in the vulnerable populations; the targeting strategiesdeveloped to improve access among these populations; how the targeting strategies wereimplemented; and the levels of coverage obtained among the eligible population and how itwas monitored. Where feasible the following will be included: the percentage of the eligiblepopulation that participated and the extent to which they were representative of the targetpopulation; both positive and negative impacts on key outcomes; the extent of participation byhealth facilities and health care workers, where relevant; the consistency of the2 Yin, Robert K. Case Study Research Design and Methods. (2009). Fourth Edition. Applied Social Research Methods Series,Volume 5, Sage Publications Inc.6

implementation across sites and over time; and the sustainability of the intervention over time.The documentation may include video interviews, pictures, capture of data collectioninstruments or other program tools, and other information that may be disseminated to mosteffectively share lessons learned.Successful applicants will attend a post-award workshop on development of descriptive casestudies and other study designs as appropriate. Applicants will be provided with technicalsupport and specific guidelines, checklists, and outlines with which to carry out a case study oftheir program.2.3 Research Goals and ObjectivesThe goal of this research is to help inform efforts to improve equity by extending coverage andimproving the efficiency of maternal, newborn, child health (MNCH) interventions throughmore effective program targeting. Questions and issues that applicant case studies mayconsider include:1. What methods have been successful for identifying vulnerable populations?2. To what extent has the Tanahashi (1978) health service delivery framework 3 or anotherrelevant logical framework been applied to evaluate the effect of the availability,accessibility, acceptability, and quality of health services on utilization and coverage ofmaternal and newborn care among vulnerable populations?3. What were the processes involved in the design and subsequent modifications of theequity-focused targeting program, including those used to engage key stakeholders?4. What were the processes involved in regular implementing of the equity-focused and/ortargeting program, and how were they documented?5. What were the most important and persistent challenges of equity-focused targetinginterventions and how were these overcome?6. What efforts were made to ensure that equity-focused strategies did not disadvantageother groups?7. What measures of costing or cost effectiveness were collected and employed as part ofthe program?8. How was the implementation planned or executed for scale-up to other areas orvulnerable populations and what scale was achieved?9. How can equity-focused maternal, newborn, or child health targeted or phasedprogramming be scaled-up or applied to other contexts?3 Tanahashi, T. (1978). Health service coverage and its evaluation. Bulletin of the World Health Organization, 56(2), 295-303.7

These questions are intended to serve as a starting point to guide the preparation of asuccessful application and the case study and documentation activities.3. TECHNICAL BACKGROUND3.1 Equity in Health ServicesThe World Health Organization’s Commission on Social Determinants of Health has definedhealth equity as “the absence of systematic differences in health, both between and withincountries, which are judged to be avoidable by reasonable action.” 4 By extension, healthinequities are unfair or unjust differences in health that are a consequence of socialdisadvantage based on gender, socio-economic status, ethnicity, geographic residence, or othercharacteristic. 5Equity in health service delivery is defined as the provision of quality health care in whichresources are allocated and access is determined by health needs and not by social class,ethnicity, gender, or geographic residence. 6 Because many health problems are differentbetween groups of people and thus require different treatment, equitable health servicedelivery does not necessarily mean that all people should receive the same care. The concept ofvertical equity was developed to stress that different treatment should be provided fordifferent needs, and that more resources should be devoted towards those with greater needs(e.g. parts of the country with a greater disease burden). In contrast, horizontal equity is usedto describe situations in which people with the same needs receive equal care. 6Inequity in health service delivery occurs when a group of people, due to their social class,ethnicity, gender, geographic residence, or other characteristics, are disadvantaged in terms ofthe availability, accessibility, and acceptability of facility and community-based health services.Two patterns of inequity related to socioeconomic status have been described 7 : bottominequity occurs in countries with high coverage of health services where the poorest quintile ofthe population are significantly more disadvantaged than the other four wealth quintiles; topinequity occurs in countries with low coverage of health services where the richest quintile aresubstantially ahead of the other four quintiles. This distinction is important for determining the4 CSDH (2008). Closing the gap in a generation: health equity through action on the social determinants of health. Final Reportof the Commission on Social Determinants of Health. Geneva, World Health Organization.5 Braveman, P. & Gruskin, S. (2003). Defining equity in health. Journal of Epidemiology and Community Health, 57, 254-258.6 Braveman, P. (2006). Health disparities and health equity: Concepts and measurement. Annual Review of Public Health, 27,167-194.7 Blas, E., & Kurup, A.S. (2010). Equity, social determinants and public health programmes. World Health Organization.Retrieved from: http://whqlibdoc.who.int/publications/2010/9789241563970_eng.pdf8

strategy that should be used to reduce inequities and the specific groups or individuals whoshould be targeted.One of the main drivers of inequities in health status between populations is people’s access toand utilization of health services. Populations that lack access to these services showconsistently worse health outcomes than populations with better access to health services. Forexample, in South Asia and sub-Saharan Africa, where fewer than 50% of women deliver with askilled birth attendant and less than half of pregnant women receive the WHO-recommendedfour antenatal visits from a skilled health provider, the risk of maternal mortality is nearly 200times greater than the risk in developed regions where access and use of health services is fargreater. 8Infant and child morbidity and mortality are also highly affected by access and use of healthservices, with those who live farther from health facilities and medically trained personnelfacing much higher risks of severe morbidity and mortality than those with better access. 9 TheUnited Nations Development Program (UNDP) stresses the importance of increasing access tohealth care as a key strategy for improving health. UNDP emphasizes that improving access toprimary health care, trained medical staff, and skilled birth attendants are the most promisingmethods for achieving the Millennium Development Goals of reducing child and maternalmortality. 10Geographic inequities contribute to lack of access, with people living in rural areas facingdisproportionate barriers in accessing health services compared with people in urban areas.The WHO reported in 2009 that although more than half of the world’s population lives in ruralareas, only 38% of the nursing workforce and less than 25% of the physicians’ workforce servethese areas. 11 A UNDP report on progress toward achieving the MDGs describes that urbanwomen in sub-Saharan Africa and South Asia are more than twice as likely to access skilledhealth personnel for childbirth as rural women. 128 UN Department of Public Information. (September, 2010). Fact Sheet: Goal 5 improve maternal and child health. Retrievedfrom http://www.un.org/millenniumgoals/pdf/MDG_FS_5_EN_new.pdf9 Frankenberg, E. (1994). The effects of access to health care on infant mortality in Indonesia. RAND Research, Working PaperSeries, Labor and Population Program.10 UN Department of Public Information. (September, 2010). Fact Sheet: Goal 4 reduce child mortality. Retrieved fromhttp://www.un.org/millenniumgoals/pdf/MDG_FS_4_EN.pdf11 Gupta, N., Zurn, P., Diallo, K., & Dal Poz, M.R. (2003). Uses of population census data for monitoring geographical imbalancein the health workforce: Snapshots from three developing countries. International Journal for Equity in Health, 2(11).12 United Nations. (2010). The Millennium Development Goals Report. Retrieved fromhttp://www.un.org/millenniumgoals/pdf/MDG%20Report%202010%20En%20r15%20-low%20res%2020100615%20-.pdf#page=329

3.2 Targeting and Phased Programming to Improve EquityPhased programming or targeting individuals or groups who are disadvantaged or have higherhealth risks with interventions and special health services is one approach that has been usedto improve equity and reduce maternal, newborn, and child mortality in low income countries.Targeting involves directing special resources or efforts for maternal and newborn care towardthose most in need.The Health Policy Initiative (HPI) has demonstrated that targeting efforts have successfullyimproved equity and increased use of health services. 15 Likewise, UNICEF has shown thatimproving targeting through equity-based approaches can accelerate progress towardsachieving the MDGs in a cost-effective manner, especially in low-income, high-mortalitycountries. 16Several methods have been used to identify vulnerable individuals or groups and addressspecific health problems that disproportionately affect them. Types of targeting of MNCHservices include:1. Individual/Household targeting 17 : Identifies individuals or households who are at anincreased risk of negative health outcomes. Persons can be targeted on the basis ofdemographics (e.g., age, parity), gender, health risks, or other characteristics. This type oftargeting requires knowledge of the risk factors for the principal health conditions thatlead to poor outcomes, and also the ability to intervene effectively to prevent theseoutcomes. Individual risk identification can be expensive per case-averted and can requirehighly trained and well-equipped personnel to determine the risks for each person.However, individual targeting can achieve high accuracy to reach the most vulnerableindividuals.2. Community-based targeting 18 : Communities, often through local leaders, are engaged toidentify vulnerable individuals and/or households on the basis of the community’s owndefinitions and perceptions. This form of targeting is generally less costly and allows forlocal definitions of need. However, local biases may exacerbate existing patters of socialexclusion or give preference to groups linked to leaders who may not be in need (i.e., elite15 Futures Group, Health Policy Initiative Task Order 1. Inequalities in the Use of Family Planning and Reproductive HealthServices: Implications for Policies and Programs. February 200716 UNICEF. Narrowing the Gap to Meet the Goals. September 201017 Bitrán, R. & Muñoz, C. Targeting Methodologies: Conceptual Approach and Analysis of Experiences. USAID Partnerships forHealth Reform (PHR) project, September 2000.18 Steinhardt LC and DH Peters. Targeting Accuracy and Impact of Community-Identified Waiver Card Scheme for Primary CareUser Fees in Afghanistan. International Journal for Equity in Health (Vol. 9:28). September 2010.11

capture). Community-based targeting works best where communities are clearly definedand cohesive, and where there is an independent system of verification.3. Geographical targeting 17 : Targeting is directed towards regions or areas that areidentified as disadvantaged or vulnerable. For example geographic targeting may involvefocusing on a province with high neonatal mortality rates or areas with low performingservices. While no vulnerable groups within the targeted area are excluded, nonvulnerablegroups may be inadvertently included (i.e., leakage) in those areas withconsiderable variations in living conditions, potentially resulting in higher program costs.Geographic targeting requires sufficiently detailed, disaggregated data to accuratelytarget areas in need.4. Self-targeting 17 : Services that are technically open to all are designed in such a way thatuptake is oriented to the vulnerable group in need. While easier and less costly toimplement, self-targeting may enhance the stigmatization of the targeted group.5. Special group targeting 17 : This involves designing services to meet the needs of aparticular group, thus increasing the demand for services and utilization by that group.This approach tailors interventions to be more culturally sensitive and clinicallyappropriate. However, the approach can be highly inaccurate, and significant leakageoften occurs to non-vulnerable groups.The extent to which these strategies are currently being implemented through interventions orprograms to improve equity in MNCH services and the success of and obstacles to these effortsis not well documented. Strategies to improve equity can be applied in many different ways,with success depending on the methods through which they are carried out.To better understand these methods for increasing equity and the extent to which these effortshave been successfully applied in maternal, newborn, and child health care, more systematicdocumentation and dissemination is necessary. Interventions or programs that are using novelmethods to improve equity through individual or group targeting of health services should beshared more widely to enable broader use of successful strategies and provide lessons learnedabout efforts that were not successful. Descriptive case studies are needed that describe thesteps taken to identify at-risk groups for targeted services and to estimate the magnitude of thepotential population impact on morbidity and mortality of these interventions, facilitatingfactors, barriers, and other factors influencing their implementation, the monitoring systemsput in place to examine coverage, and the outcomes that resulted from their implementation.These case studies will facilitate replication and scale-up of interventions to improve equity oridentify lessons learned that can be used to improve future efforts designed to reducematernal, newborn, and child mortality.12

1. A brief description of how the applicant’s program aligns with other efforts to improveequity and/or targeting of maternal, newborn, or child health services, nationally,regionally, or internationally.2. A rationale for selection of the study site in which the applicant’s current program orintervention is located, in relation to the equity profile in the local context.3. A description of the program/intervention being conducted related to equity and/orphased targeting of maternal, newborn, or child health services, including:a. Date of start and duration of the intervention or program;b. Current phase of the program, with respect to intended coverage, access,utilization, and quality;c. Size and geographic reach of the program;d. Program goals, objectives, and/or questions being addressed by the program;e. Key activities and strategies of the program;f. Role of national government, provincial, and district health or governmentofficials, civil society partners, private sector, and the community in theintervention or program;g. Participation of various stakeholders in different aspects or phases of theprogram;h. Monitoring and evaluation activities, including types of qualitative andquantitative data and the process and outcome indicators being collected;i. Known strengths, challenges, problems, and unanticipated consequences forprogram implementation;j. Description of any written reports and ongoing or published research focused onthe program/intervention, briefly noting the research or program design andmethods employed.4. Availability of Evidence/Data Sources: Description of the available data the applicantplans to use to carry out the case study of the program or intervention. This shouldinclude the evidence that supported the decision to implement the intervention as wellas available qualitative and quantitative data on process and outcome indicators fromthe program’s implementation. Availability of costing and impact information shouldalso be included if possible. Applicants should also provide information about potentialquantitative or qualitative data sources and the methods proposed to assess theparticipation and representativeness of the target group, the effectiveness of theintervention on outcomes (e.g., health care utilization, mortality or morbidity amongvulnerable populations), the percentage of facilities and health care workersparticipating if geographic targeting is being used, the quality of the services being15

delivered, satisfaction with services, and whether effects have been sustained overtime.5. The rationale for why the intervention or program is worthy of a case study analysis, andits potential relevance and feasibility for other settings or greater scale; or in the case ofless successful interventions, the potential relevance and feasibility for modification, reimplementation,or application of lessons learned to other programs or interventions.6. Plans and/or ideas for sustainability, scale-up, or future related work, including anyplans or ideas for how the implementation experience can be used to developguidelines, recommendations, and/or policy suggestions, or how the program can bemodified to produce more optimal results.4.4.3 Organizational Capacity (1 page maximum)This section should briefly describe the capacity of the applicant’s organization with respect to:1. Previous organizational experience designing, implementing, monitoring, andevaluating programs on related maternal, newborn, and child health topics, includingany relevant experience in developing case studies. The applicant should demonstratesufficient monitoring and evaluation capacity and qualitative and quantitative skills toanalyze the intervention or program, or must identify a partner with these capacities tosupport the case study development.In a separate appendix, if the applicant is partnering with another organization formonitoring and evaluation capacity to conduct the case study, the applicant should providea letters of commitment from the partner organization.In a separate appendix, if the prime applicant is NOT the lead implementer of the programor intervention to be studied, the applicant should provide a letter of commitment from thelocal partner who agrees to support the research.2. Key personnel experience and capability. Key personnel for this project include a PI orCo-PIs, a Study/Project Director, and any senior staff from the key prime andcollaborating partner(s) (please limit Key Personnel to no more than three people). TheStudy/Project Director is responsible for overseeing the administrative direction andfinancial oversight of the award. The PI is responsible for the technical implementationof the project. The Study/Project Director must be a full time employee of the primeapplicant organization. The same person may serve as both the PI and the Study ProjectDirector. If the roles of PI and Study/Project Director are assumed by two differentpeople, the PI may be a staff member from a sub-recipient partner of the primeorganization. Neither the PI nor the Study/Project Director need to be assigned full timeto the study.16

In a separate appendix, the applicant should provide CVs and letters of commitment ofkey personnel.4.4.4 Appendices to the Technical ApplicationThe following appendices should be submitted in the same document with the technicalproposal:1. A letter of commitment from a local partner in each country that the research is beingconducted who agrees to support the research (if the prime applicant is NOT the leadimplementing organization);2. Letters of commitment from proposed sub-awardees or partners (if any);3. CVs from key personnel;4. Letters of commitment from key personnel;5. Optionally, any relevant reports, proposals, links, references, letters, or other materialsthat will help reviewers understand the programs or research described in theapplicant’s proposal can be included as separate appendices.4.5 Cost Application InstructionsThe Cost Application must be submitted in a separate document in Microsoft Excel format (withformulas) at the same time the technical application is submitted. The applicant should proposea line item budget submitted according to the instructions and template in Appendix C of thisRFA. The detailed budget, once negotiated and approved, will be the successful applicant’sbudget to manage the project. If there are sub-awards to other organizations, the applicant’sbudget should include a subtotal line for each sub-award. Specifically, the budget shouldinclude a detailed estimate of costs involved in:1. Preparing for and attending a two-day case study training and skills developmentworkshop (the applicant should budget for travel, per diem, and salary/wage costs forone or two key personnel to attend the workshop, which is anticipated to be held in theapplicant’s geographic region);2. Conducting the descriptive case study, including the associated salaries and wage costsof project personnel; and3. Preparing for and participating in a one-day dissemination seminar (the applicant shouldbudget for travel, per diem, and salary/wage costs for one or two key personnel toattend a regional dissemination seminar).The proposed budget cannot exceed USD 50,000. There will be no profit/fee allowed for thisaward.The Budget Narrative should include a description of costs and how they were determined orcalculated for each line item in the budget. Applicants should review and confirm that all17

amounts and formulas are correct and in US dollars and state the exchange rate (if applicable)for the day of submission.4.6 Submission InstructionsApplications must be submitted in English to tracapply@urc-chs.com by 5:00pm EST on theSubmission Date on the cover page of this RFA.1. The application must be divided into two parts, the Technical Application and the CostApplication.2. The Technical Application should be typed in a 12 point font and not exceed 9 pages(not including Cover Page, Table of Contents, List of Acronyms, Executive Summary, orAppendices).3. The Technical Application and Appendices should be submitted as a single document inMicrosoft Word or PDF format.4. The Cost Application should be sent as a Microsoft Excel document.5. A Budget Narrative should be typed in a 12 point font, not exceed 6 pages, and besubmitted in Microsoft Word or PDF format. It should be sent together with the CostApplication.6. An Application Checklist can be found in Appendix B with further specifications forsubmission.7. Incomplete submissions that do not include the items required in this RFA and anyamendment/modification or late submissions may be excluded from furtherconsideration.8. Modifications to the RFA may be made at any time prior to the Application submissiondeadline. Deadline for submission may be extended depending on the scope of amodification. All modifications will be posted on the websitehttp://www.tractionproject.org. Modifications after the deadline for applications will becommunicated only to those applicants who submitted applications. All prospectiveapplicants are encouraged to visit the web site regularly, and URC will not have anyresponsibility if an applicant is not aware of a posted modification or an update.4.6.1 What can be fundedAllowable costs within the award related to the development of the case study include:1. Expenses for meetings required for project purposes, including: required staff training,review of program documentation, production or printing of documents;2. Expenses for data collection, analysis, and write-up;3. Computer supplies and software specifically required for the case studies;18

4. Salaries or other compensation for staff;5. Telecommunications related to the development of the case studies;6. Rental of driver services with vehicles; and7. Local travel and per diem for study purposes, provided that any such reimbursement ispaid at the Host Country Government rate, US government rate, or on an actual costreimbursement basis.4.6.2 What cannot be fundedOperating costs of a program such as health care provider salary supplements or stipends,pharmaceuticals, transportation of patients for referrals, and purchase of vehicles cannot befunded. TRAction funds cannot be used to pay for the implementing costs of the intervention,or for any financial or non-financial incentives. This list is not all-inclusive, and additionalquestions on eligibility of items and costs should be addressed to tracapply@urc-chs.com priorto the deadline for questions noted on the cover page of this RFA.5. APPLICATION REVIEW AND SELECTION PROCESS5.1 Evaluation Criteria for Technical ProposalsThe complete technical application will be reviewed by a Technical Review Panel (TRP)convened by TRAction and evaluated against the following criteria:1. (35 points) Availability of documented data and evidence of program implementationand approach to inform case study developmento Description of past program data collection and analysis;o Costing and impact information;o Quantitative and qualitative data sources2. (25 points) Strength of description of applicant’s ongoing research or program including:o Alignment with other regional, national, and international equity and targetingefforts;o Documentation of the evidence base that led to program implementation;o Rationale for selection of the study site and context for the program in terms of theequity profile;o Clarity and description of the elements and scale of the program or interventionbeing conducted;o Degree to which the equity based targeted approach is novel/innovativeo Evidence of program success; or in the case of a less successful program, evidencethat lessons learned can inform a successful program.19

3. (20 points) Potential for the applicant’s program or intervention to have wider programapplicability for scale-up, guidelines, recommendations, and/or policies; or in the case ofless successful programs, potential for lessons learned to be applied to improve otherequity-based targeting programs or interventions.4. (20 points) Capability of the applicant organization, proposed key personnel, andpartners (if any) to conduct the study.5.2 Evaluation Criteria for Cost ApplicationAfter the Technical Application is evaluated by the Technical Review Panel, TRAction will reviewthe Cost Application. There will be no points given for the Cost Application. TRAction will assesswhether the proposed budget is realistic and feasible given the items and activities described.TRAction may contact applicants to revise budgets if any issues or questions are identified.6. ADMINISTRATION OF AWARD6.1 Post-Submission Supporting DocumentsAfter initial review of the applications, before making the final award decisions, TRAction willask the top applicants to provide several additional supporting documents. These do not needto be provided in the initial application:1. References for two prior contracts, grants and/or cooperative agreements, which theapplicant organization has received. Where feasible, references for USAID or other USGfinanced projects are preferred. Also preferred are references for projects on subjectmatter related to this RFA. The format for these references is shown in Appendix A.2. Two references for each partner proposed as a sub-awardee. The references shouldinclude the name of the activity funded, its scope of work, and the current contactinformation for each reference (complete name, institution/affiliation, email addressesand telephone numbers). Where feasible, references for USAID or other USG financedprojects are preferred. Also preferred are references for projects on subject matterrelated to this RFA. References should not exceed 2 pages each. The format for thesereferences is shown in Appendix A.3. Performance Monitoring Plan (PMP) consisting of:a) A table detailing the main categories of research activities and specific activities tobe carried out in each category, which will be described in a report at the end ofeach quarter in which the activity is taking place or to be completed;b) The research timeline;c) Study milestones; andd) Study deliverables.20

The first left column of the table should list the main categories of activities and specificactivities in each category, the second column should list the indicators (e.g. expectedoutputs/products) for each activity, and the third column should show the expecteddate of completion or delivery of the output/product. Please include any time provisionfor obtaining an IRB approval, if required. This will be used by the applicant, TRAction,and USAID to monitor project performance in relation to expectations.4. Certifications and Representations as elaborated in Appendix F.6.2 Reporting RequirementsOnce the award is made, the applicant/awardee must provide TRAction with:1. Work plan and Budget: Within 30 days of award, the awardee must provide a work plandescribing the activities to be undertaken. A corresponding revised line item budgetshould also be provided for any sub-awardees of lower tier, if changes from the originalare anticipated. Any changes in major categories of line items exceeding 10% of thetotal budget need to be approved by TRAction. However, the revised budget must notexceed the award amount.2. Quarterly Technical Progress Reports describing progress made and any problemsencountered. These reports will consist of an annotated update of progress on theactivities listed in the approved PMP. The awardee will list the activities to be completedduring the quarter, whether they occurred according to the original schedule and, if not,why not. The Quarterly Technical Reports must be submitted within 20 days followingthe end of each quarter.3. Quarterly Financial Reports showing funds obligated, budgets, expenditures and fundsremaining for the awardee and for each sub-awardee of lower tier within 20 daysfollowing end of each quarter.4. Advance copies of any abstracts, publications or presentations of the case studies shallbe submitted to TRAction for review (not approval) as early as possible, but at least 3weeks prior to submission of an abstract or article to a journal or conference. Applicantsare encouraged to publish their case studies and findings in an open access, highimpact,peer-reviewed journal, preferably jointly with other awardees where feasible.5. Final Case Study Report within 60 days of completion of the data collection activities,detailing the processes used to conduct the case study and describing the innovativeprogram or intervention, including the methods and tools used to identify vulnerablepopulations, barriers preventing these populations from accessing care, how thesebarriers were addressed to improve equity through a targeting intervention, strategies21

and methods used to implement and monitor the intervention, the coverage obtainedand outcomes of the intervention, additional scaling-up of the intervention, and theimportant lessons learned. This report will also include the recommendations and policyimplications for implementing similar interventions. Finally, the report will describe anydissemination activities completed, including any publications and suggested futuredissemination strategies.6.3 USAID Health Research Information Tracking System:The awardee and/or lower tier sub-awardees will respond to periodic requests from TRActionand/or USAID for specific data and study documentation (e.g. protocols, updates, policy briefs,presentations, draft manuscripts, and publications) to be entered into the web-based HealthResearch Information tracking system (HRIT): http://hrit.aimglobalhealth.org/login.aspx6.4 NIH Public Access PolicyThe awardee and lower tier sub-awardees will agree to adhere to the NIH Public Access Policy.Please see http://publicaccess.nih.gov/FAQ.htm6.5 Data SharingData sharing is essential for expedited translation of research results into knowledge, products,and procedures to improve human health. URC/TRAction and USAID endorses the sharing ofstudy designs and final research data to serve these and other important scientific goals.URC/TRAction and USAID expects and supports the timely release and sharing of final data fromUSAID-supported studies for use by other researchers and public health programs. As studiesare developed, with support from URC/TRAction, the awardee and sub-awardees of lower tierare expected to develop plans and timetables for release and sharing of data in conjunctionwith the protocol development process or at that time communicate to URC/TRAction anacceptable rationale why data sharing will not be possible or appropriate.6.6 Fiscal controlsThe award will be cost-reimbursable and involve incremental funding. Appropriate accountingfor expenditures is required with adherence to USAID regulations for eligible costs. Any furthersub-award is subject to URC’s prior written approval. Awardees will be responsible fordisbursement of funds to any lower tier sub-awardees or sub-contractors and for theircompliance with standard accounting procedures and with USAID regulations.6.7 Substantial Involvement of USAID and TRAction1. The selected awardee will be responsible for the development of a work plan and budget,which will be reviewed for approval by URC/TRAction, and the USAID TRAction AOR. Theawardee will also be responsible for getting IRB and other government clearances, when22

needed, before initiating any case study activities. No work will be initiated before theapproved start date of the sub-agreement.2. TRAction approval of the awardee’s work plans, including: planned activities, travel plans,planned expenditures, knowledge management plans, event planning/management,studies/protocols, and changes to any activity to be carried out under the Cooperative Sub-Agreement.3. TRAction and USAID monitoring to permit specified kinds of direction or redirection becauseof interrelationships with other projects as described in the TRAction program description,including approval of:o The initial Performance Monitoring Plan (PMP), or later substantive changeso Any changes to specified key personnelo Any substantive changes in the research plano Any sub-agreements from the awardee to sub-awardees of lower tiero A USAID branding strategy and marking plan (guidance to be provided post-award).4. In addition to URC/TRAction, the USAID/TRAction AOR (Agreement Officer’s Representative)will closely monitor the progress of the case studies and at times may ask URC/TRAction toconsult with the PIs to request additional information or to suggest or require changes inthe plan or activities.7. MANAGEMENT ISSUES AND POLICIES1. Issuance of this RFA does not constitute an award commitment on the part of URC nor doesit commit URC/TRAction or the US government to pay for costs incurred in the submissionof an application. Furthermore, URC reserves the right to reject any and all applications, orto award a grant without further discussion or negotiations if it is considered to be in thebest interests of USAID and TRAction.2. Any awards made in response to this RFA will be funded incrementally and are subject tothe availability of US government funds.3. The applicant must commit to initiate implementation within thirty (30) days of the award.4. Any reports or publications produced with funding from TRAction must follow the BrandingStrategy and Marking Plan, which will be provided to the awardee upon award.5. The awardee must obtain a valid DUNS number prior to award and provide it to URC.Requirements for DUNS number can be found here:http://transition.usaid.gov/policy/ads/300/302sao.pdf23

6. URC may be required to report on names and executive compensation of the awardee’s fivemost highly compensated executives for the awardee's preceding completed fiscal year, if(i) In the awardee’s preceding fiscal year, the awardee received - (a) 80 percent or more ofits annual gross revenue from Federal procurement contracts (and subcontracts) andFederal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320(and subawards); and (b) $25,000,000 or more in annual gross revenues from Federalprocurement contracts (and subcontracts), and Federal financial assistance subject to theTransparency Act (and subawards); and (ii.) The public does not have access to informationabout the compensation of the executives through periodic reports filed under section 13(a)or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 ofthe Internal Revenue Code of 1986. Applicability of this requirement will be determinedupon award.8. APPENDICES TO THIS RFAAppendix A: Format for Organizational ReferencesAppendix B: Application ChecklistAppendix C: Cost Application/ Budget InstructionsAppendix D: Legal Authority for the Administration of GrantsAppendix E: Template of the Subaward AgreementAppendix F: Certifications and Representations9. REFERENCES1. Case study definition from Yin, R.K. Case Study Research Design and Methods. (2009)2. Yin, R.K. Case Study Research Design and Methods. (2009). Fourth Edition. Applied SocialResearch Methods Series, Volume 5, Sage Publications Inc.3. Tanahashi, T. (1978). Health service coverage and its evaluation. Bulletin of the WorldHealth Organization, 56(2), 295-303.4. CSDH (2008). Closing the gap in a generation: health equity through action on the socialdeterminants of health. Final Report of the Commission on Social Determinants of Health.Geneva, World Health Organization.5. Braveman, P. & Gruskin, S. (2003). Defining equity in health. Journal of Epidemiology andCommunity Health, 57, 254-258.24

6. Braveman, P. (2006). Health disparities and health equity: Concepts and measurement.Annual Review of Public Health, 27, 167-194.7. Blas, E., & Kurup, A.S. (2010). Equity, social determinants and public health programmes.World Health Organization. Retrieved from:http://whqlibdoc.who.int/publications/2010/9789241563970_eng.pdf8. UN Department of Public Information. (September, 2010). Fact Sheet: Goal 5 improvematernal and child health. Retrieved fromhttp://www.un.org/millenniumgoals/pdf/MDG_FS_5_EN_new.pdf9. Frankenberg, E. (1994). The effects of access to health care on infant mortality in Indonesia.RAND Research, Working Paper Series, Labor and Population Program.10. UN Department of Public Information. (September, 2010). Fact Sheet: Goal 4 reduce childmortality. Retrieved from http://www.un.org/millenniumgoals/pdf/MDG_FS_4_EN.pdf11. Gupta, N., Zurn, P., Diallo, K., & Dal Poz, M.R. (2003). Uses of population census data formonitoring geographical imbalance in the health workforce: Snapshots from threedeveloping countries. International Journal for Equity in Health, 2(11).12. United Nations. (2010). The Millennium Development Goals Report. Retrieved fromhttp://www.un.org/millenniumgoals/pdf/MDG%20Report%202010%20En%20r15%20-low%20res%2020100615%20-.pdf#page=3213. WHO and UNICEF. (2010). Countdown to 2015 decade report (2000-2010): Taking stock ofmaternal, newborn and child survival. Retrieved fromhttp://whqlibdoc.who.int/publications/2010/9789241599573_eng.pdf14. Futures Group, Health Policy Initiative Task Order 1. Inequalities in the Use of FamilyPlanning and Reproductive Health Services: Implications for Policies and Programs.February 200715. UNICEF. Narrowing the Gap to Meet the Goals. September 201016. Bitrán, R. & Muñoz, C. Targeting Methodologies: Conceptual Approach and Analysis ofExperiences. USAID Partnerships for Health Reform (PHR) project, September 2000.17. Steinhardt LC and DH Peters. Targeting Accuracy and Impact of Community-IdentifiedWaiver Card Scheme for Primary Care User Fees in Afghanistan. International Journal forEquity in Health (Vol. 9:28). September 2010.25

APPENDIX A: FORMAT FOR ORGANIZATIONAL REFERENCES*NOTE: This does not need to be submitted with the initial application; TRAction will directly asktop applicants to provide this information after initial review of applications.PERFORMANCE REPORT – SHORT FORMPART I: Award Information (to be completed by applicant)1. Name of Awarding Entity2. Award Number:3. Award Type:4. Award Value (TEC): (if sub-agreement, sub-agreement value)5. Problems: (if problems are encountered on this award, explain corrective action taken):6. Contacts: (Name, Telephone Number and email addresses)6a. Agreement Officer:6b. Agreement Officer’s Representative (AOR):6c. Other:7. Recipient:8. Title/Brief Description of Product/Service Provided:9. Information Provided in Response to RFA:PART II: Performance Assessment (to be completed by Agency)1. Quality of product or service, including consistency in meeting goals and targets, andcooperation and effectiveness of the applicant in fixing problems. Comment:2. Cost control, including forecasting costs as well as accuracy in financial reporting. Comment:3. Timeliness of performance, including adherence to agreement schedules and other timesensitiveproject conditions, and effectiveness of home and field office management to makeprompt decisions and ensure efficient operation of tasks. Comment:4. Customer satisfaction, including satisfactory business relationship to clients, initiation andmanagement of several complex activities simultaneously, coordination among subcontractorsand developing country partners, prompt and satisfactory correction of problems, andcooperative attitude in fixing problems. Comment:5. Effectiveness of key personnel including: effectiveness and appropriateness of personnel forthe job; and prompt and satisfactory changes in personnel when problem with clients whereidentified. Comment:26

APPENDIX B: APPLICATION CHECKLISTI. Technical ApplicationA. Format Requirements1. Written in English2. Typed in a Microsoft Word compatible program, single-spaced with a 12 point font andone inch margins3. Maximum of 9 pages not including cover page, table of contents, list of acronyms,executive summary, cost application, and appendices4. Saved and submitted by email as one document in .PDF or Word format5. Labeled with page numbers, the RFA number and the name of the applicantorganization on every pageB. Content Requirements1. Cover Page2. Table of Contents3. List of Acronyms4. Executive Summary5. Technical Application6. Appendices to the Technical Applicationa. A letter of support from a local partner in each country that the research is beingconducted who agrees to support the research (if the prime applicant is NOT thelead implementing organization);b. Letters of commitment from proposed sub-awardees or partners (if any);c. CVs from key personnel;d. Letters of commitment from key personnel;e. Optionally, any relevant reports, proposals, links, references, letters, or othermaterials that will help reviewers understand the programs or research described inthe applicant’s proposal.II.Cost Application1. Summary Budget in Excel for applicant and any proposed sub-awardees. Please be sureto review and confirm that all amounts and formulas are correct and in US dollars.Please state the exchange rate for the day of submission.2. Budget Narrative.3. NICRA (if applicable) or other documentation to support indirect cost rates (if theapplicant does not have a NICRA, all costs should be directly billable).27

APPENDIX C: BUDGET INSTRUCTIONS AND TEMPLATE1. Provide a Summary Budget in US dollars in EXCEL format with the following categories:1. Applicant Personnel2. Applicant Fringe Benefits3. Applicant Travel and Per Diem4. Equipment5. Other Direct Costs6. Sub-awards or Sub-contracts, if any7. Indirect Costs (if supported by NICRA)*8. Total costs9. Cost SharePlease be sure to review and confirm that all amounts and formulas are correct and in US dollars.Please state the exchange rate for the day of submission.*Note: If the applicant does not have a NICRA, all costs should be directly billable.2. Provide a Detailed Line Item Budget in US dollars as follows:Personnel: Please list each person separately, including their title/position. The personnel line itemmust clearly indicate that person’s salary or daily rate and their anticipated level of effort (LOE) byyear. LOE is the number of work days or percentage of overall work time that will be dedicated andcharged to the sub-grant. While proposed daily rates must be in accordance with the actual level ofcompensation for proposed individuals, compensation of these rates shall not be in excess of theUSAID Contractor Salary Threshold rate, currently $635.76.Fringe Benefits: Fringe benefits are additional personnel costs that are either required by local lawor are provided according to common practice and your organization’s written policies applicable toall staff. Examples include mandatory contributions to the national health and social insurancefund; severance pay accruals; private health and accident insurance; expatriate staff allowances.The fringe benefits may be shown as a percent of labor costs, e.g., the approved NICRA fringebenefit rate.Consultants: Please list all consultants, local, and international, in this line item.Travel: Please include all costs for travel to be charged to the sub-agreement as well as anylodging/per diem to be provided to staff and consultants while traveling. Local in-country travel andper diem should also be included in this section. Travel and per diem rates must be consistent withyour organizations’ policies applicable to all projects and may not exceed the Department of Staterates found at http://aoprals.state.gov/content.asp?content_id=184&menu_id=81.Equipment and Supplies: URC/TRAction defines equipment as having a useful life of more than oneyear and a unit price of US$500 or more. Supplies are those items valued at less than US$500 andconsumed directly for the operation of the program, e.g., furniture, stationery, etc. If needed forthe project purposes, applicants shall budget for supplies and equipment.28

Sub-awards: A separate detailed line item budget for each sub-awardee must be provided andlisted in the applicant’s budget. Please list each sub-grant separately. The detailed sub-awardbudgets should provide the same level of detail as the applicant’s budget, and include line items forthe same categories. Please include the name of the sub-awardee and the total amount of theanticipated sub-award by year and over the life of the research. If other sub-awards are anticipatedbut not known at this time, the applicant should estimate the amount and list the name of the subawardeeas To Be Determined (TBD).Other Direct Costs: Other direct costs of the program include banking fees, printing costs, postage,and a reasonable proportion of office costs (rent, utilities, security, email access) to be charged tothe project, if not covered by the indirect cost charges. For the proportion of office costs, applicantsmust specify the method they used to determine how much was allocable to the project (e.g., apercentage based on the proportion the budget represents of the organization’s total budget; or onstaff time devoted to the project as a proportion of the organization’s total staff time on allprojects). Sub-contracts for services (e.g., translation, printing) should be budgeted under “OtherDirect Costs”.Indirect Costs: Please include any indirect charges (e.g. fringe benefits, overhead or General andAdministrative (G&A)) showing the rate(s) and the base to which the rates are applied. Pleaseinclude how the indirect rates were determined (e.g., USG approved NICRA rates). If you haveapproved NICRA rates, these must be used and the NICRA must be submitted in the CostApplication. If the applicant does not have a NICRA, all costs should be directly billable and includedin the appropriate line items in the budget for direct costs.Cost Share: The applicant should provide the amount of cost share to be contributed (must beat least 5%), the research cost items to be shared and the sources of the cost share. The totalamount can be provided on a line under the budget total costs, and then described in moredetail in the budget narrative.3. Provide a Budget Narrative as follows:Describe for each line item: The costs, how they were determined or calculated, and whether theyare based on actual costs, prior experience, or a recently received quote.A budget template is attached for your use.29

1. AuthorityAPPENDIX D: LEGAL AUTHORITY FOR THE ADMINISTRATION OF GRANTSThe authority for these awards is found in the Foreign Assistance Act of 1961, as amended, and redelegatedto University Research Co., LLC under Cooperative Agreement No. GHS-A-00-09-00015-00with the U.S. Agency for International Development.2. Policy and ProvisionsAwards will be administered in accordance with the USAID policies and procedures.Awards will be administered in accordance with the cost principles contained in OMB Circular A-122and USAID Standard Provisions for Non-U.S. and Non-governmental Organizations. Thesedocuments are available at the below websites.OMB Circular A-122 – http://www.whitehouse.gov/omb/circulars/a122/a122.htmlStandard Provisions – http://www.usaid.gov/policy/ads/300/303mab.pdf30

APPENDIX E: TEMPLATE OF THE SUB-AGREEMENTAttached Separately31

APPENDIX F: CERTIFICATIONS AND REPRESENTATIONS*NOTE: This does not need to be submitted with the initial application; TRAction will directly asktop applicants to provide this information after initial review of applications.PART I - Certifications, Assurances, and Other Statements of Applicant1. Assurance Of Compliance With Laws And Regulations Governing Non-Discrimination InFederally Assisted Programs (This assurance applies to Non-U.S. organizations, if any part of theprogram will be undertaken in the U.S. Otherwise – put “Not Applicable”)(a) The recipient hereby assures that no person in the United States shall, on the bases set forthbelow, be excluded from participation in, be denied the benefits of, or be otherwise subjected todiscrimination under, any program or activity receiving financial assistance from USAID, and thatwith respect to the grant for which application is being made, it will comply with the requirementsof:(1) Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352, 42 U.S.C. 2000-d), which prohibitsdiscrimination on the basis of race, color or national origin, in programs and activities receivingFederal financial assistance;(2) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which prohibits discriminationon the basis of handicap in programs and activities receiving Federal financial assistance;(3) The Age Discrimination Act of 1975, as amended (Pub. L. 95-478), which prohibitsdiscrimination based on age in the delivery of services and benefits supported with Federalfunds;(4) Title IX of the Education Amendments of 1972 (20 U.S.C. 1681, et seq.), which prohibitsdiscrimination on the basis of sex in education programs and activities receiving Federalfinancial assistance (whether or not the programs or activities are offered or sponsored by aneducational institution); and(5) USAID regulations implementing the above nondiscrimination laws, set forth in Chapter II ofTitle 22 of the Code of Federal Regulations.(b) If the recipient is an institution of higher education, the Assurances given herein extend toadmission practices and to all other practices relating to the treatment of students or clients of theinstitution, or relating to the opportunity to participate in the provision of services or other benefitsto such individuals, and shall be applicable to the entire institution unless the recipient establishesto the satisfaction of the USAID Administrator that the institution's practices in designated parts orprograms of the institution will in no way affect its practices in the program of the institution forwhich financial assistance is sought, or the beneficiaries of, or participants in, such programs.32

(c) This assurance is given in consideration of and for the purpose of obtaining any and all Federalgrants, loans, contracts, property, discounts, or other Federal financial assistance extended afterthe date hereof to the recipient by the Agency, including installment payments after such date onaccount of applications for Federal financial assistance which were approved before such date. Therecipient recognizes and agrees that such Federal financial assistance will be extended in relianceon the representations and agreements made in this Assurance, and that the United States shallhave the right to seek judicial enforcement of this Assurance. This Assurance is binding on therecipient, its successors, transferees, and assignees, and the person or persons whose signaturesappear below are authorized to sign this Assurance on behalf of the recipient.2. Certification Regarding LobbyingThe undersigned certifies, to the best of his or her knowledge and belief, that:(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of theundersigned, to any person for influencing or attempting to influence an officer or employee of anyagency, a Member of Congress, an officer or employee of Congress, or an employee of a Member ofCongress in connection with the awarding of any Federal contract, the making of any Federal grant,the making of any Federal loan, the entering into of any cooperative agreement, and the extension,continuation, renewal, amendment or modification of any Federal contract, grant, loan, orcooperative agreement.(2) If any funds other than Federal appropriated funds have been paid or will be paid to any personfor influencing or attempting to influence an officer or employee of any agency, a Member ofCongress, an officer or employee of Congress, or an employee of a Member of Congress inconnection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shallcomplete and submit Standard Form-LLL, "Disclosure of Lobbying Activities,” in accordance with itsinstructions.(3) The undersigned shall require that the language of this certification be included in the awarddocuments for all sub awards at all tiers (including subcontracts, sub grants, and contracts undergrants, loans, and cooperative agreements) and that all sub recipients shall certify and discloseaccordingly.This certification is a material representation of fact upon which reliance was placed when thistransaction was made or entered into. Submission of this certification is a prerequisite for makingor entering into this transaction imposed by section 1352, title 31, United States Code. Any personwho fails to file the required certification shall be subject to a civil penalty of not less than $10,000and not more than $100,000 for each such failure.3. Statement for Loan Guarantees and Loan InsuranceThe undersigned states, to the best of his or her knowledge and belief, that: If any funds have beenpaid or will be paid to any person for influencing or attempting to influence an officer or employee33

of any agency, a Member of Congress, an officer or employee of Congress, or an employee of aMember of Congress in connection with this commitment providing for the United States to insureor guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, "DisclosureForm to Report Lobbying," in accordance with its instructions. Submission of this statement is aprerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S.Code. Any person who fails to file the required statement shall be subject to a civil penalty of notless than $10,000 and not more than $100,000 for each such failure.4. Certification Regarding Terrorist Financing, Implementing Executive Order 13224By signing this Subagreement, the recipient provides the certification set out below:A. The Recipient, to the best of its current knowledge, did not provide, within the previous tenyears, and will take all reasonable steps to ensure that it does not and will not knowingly provide,material support or resources to any individual or entity that commits, attempts to commit,advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit,facilitated, or participated in terrorist acts, as that term is defined in paragraph 3.B. The following steps may enable the Recipient to comply with its obligations under paragraph 1:a. Before providing any material support or resources to an individual or entity, theRecipient will verify that the individual or entity does not (i) appear on the master list of SpeciallyDesignated Nationals and Blocked Persons, which is maintained by the U.S. Treasury’s Office ofForeign Assets Control (OFAC), or (ii) is not included in any supplementary information concerningprohibited individuals or entities that may be provided by USAID to the Recipient.b. Before providing any material support or resources to an individual or entity, theRecipient also will verify that the individual or entity has not been designated by the United NationsSecurity (UNSC) sanctions committee established under UNSC Resolution 1267 (1999) (the “1267Committee”) [individuals and entities linked to the Taliban, Osama bin Laden, or the Al-QaidaOrganization]. To determine whether there has been a published designation of an individual orentity by the 1267 Committee, the Recipient should refer to the consolidated list available online atthe Committee’s Web site: http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm.c. Before providing any material support or resources to an individual or entity, theRecipient will consider all information about that individual or entity of which it is aware and allpublic information that is reasonably available to it or of which it should be aware.d. The Recipient also will implement reasonable monitoring and oversight procedures tosafeguard against assistance being diverted to support terrorist activity.C. For purposes of this Certification -a. “Material support and resources” means currency or monetary instruments or financialsecurities, financial services, lodging, training, expert advice or assistance, safehouses, falsedocumentation or identification, communications equipment, facilities, weapons, lethal substances,34

explosives, personnel, transportation, and other physical assets, except medicine or religiousmaterials.”b. “Terrorist act” means -(i) an act prohibited pursuant to one of the 12 United Nations Conventions and Protocols related toterrorism (see UN terrorism conventions Internet site:http://untreaty.un.org/English/Terrorism.asp); or(ii) an act of premeditated, politically motivated violence perpetrated against noncombatant targetsby subnational groups or clandestine agents; or(iii) any other act intended to cause death or serious bodily injury to a civilian, or to any otherperson not taking an active part in hostilities in a situation of armed conflict, when the purpose ofsuch act, by its nature or context, is to intimidate a population, or to compel a government or aninternational organization to do or to abstain from doing any act.c. “Entity” means a partnership, association, corporation, or other organization, group orsubgroup.d. References in this Certification to the provision of material support and resources mustnot be deemed to include the furnishing of USAID funds or USAID-financed commodities to theultimate beneficiaries of USAID assistance, such as recipients of food, medical care, microenterpriseloans, shelter, etc., unless the Recipient has reason to believe that one or more of thesebeneficiaries commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, orhas committed, attempted to commit, facilitated or participated in terrorist acts.e. The Recipient’s obligations under paragraph 1 are not applicable to the procurement ofgoods and/or services by the Recipient that are acquired in the ordinary course of business throughcontract or purchase, e.g., utilities, rents, office supplies, gasoline, etc., unless the Recipient hasreason to believe that a vendor or supplier of such goods and services commits, attempts tocommit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted tocommit, facilitated or participated in terrorist acts.This Certification is an express term and condition of any agreement issued as a result of thisapplication, and any violation of it will be grounds for unilateral termination of the agreement byUSAID prior to the end of its term.5. Prohibition On Assistance To Drug Traffickers For Covered Countries And Individuals (Ads 206)USAID reserves the right to terminate this [Agreement/Contract], to demand a refund or take otherappropriate measures if the [Grantee/ Contractor] is found to have been convicted of a narcoticsoffense or to have been engaged in drug trafficking as defined in 22 CFR Part 140. The undersignedshall review USAID ADS 206 to determine if any certification is required for Key Individuals orCovered Participants.35

If there are COVERED PARTICIPANTS: USAID reserves the right to terminate assistance to, or take ortake other appropriate measures with respect to, any participant approved by USAID who is foundto have been convicted of a narcotics offense or to have been engaged in drug trafficking as definedin 22 CFR Part 140.PART II - OTHER STATEMENTS OF RECIPIENT1. AUTHORIZED INDIVIDUALSThe recipient represents that the following persons are authorized to negotiate on its behalf withthe Government and to bind the recipient in connection with this application or grant:Name Title Telephone No. Facsimile No.__________________________________________________________________________________________________________________________________________________________________________________________________________________________________________2. TAXPAYER IDENTIFICATION NUMBER (TIN)If the recipient is a U.S. organization, or a foreign organization which has income effectivelyconnected with the conduct of activities in the U.S. or has an office or a place of business or a fiscalpaying agent in the U.S., please indicate the recipient's TIN:TIN: ________________________________3. CONTRACTOR IDENTIFICATION NUMBER - DATA UNIVERSAL NUMBERING SYSTEM (DUNS)NUMBER(a) In the space provided at the end of this provision, the recipient should supply the Data UniversalNumbering System (DUNS) number applicable to that name and address. Recipients should takecare to report the number that identifies the recipient's name and address exactly as stated in theproposal.(b) The DUNS is a 9-digit number assigned by Dun and Bradstreet Information Services. If therecipient does not have a DUNS number, the recipient should call Dun and Bradstreet directly at 1-800-333-0505. A DUNS number will be provided immediately by telephone at no charge to therecipient. The recipient should be prepared to provide the following information:36

(1) Recipient's name.(2) Recipient's address.(3) Recipient's telephone number.(4) Line of business.(5) Chief executive officer/key manager.(6) Date the organization was started.(7) Number of people employed by the recipient.(8) Company affiliation.(c) Recipients located outside the United States may obtain the location and phone number of thelocal Dun and Bradstreet Information Services office from the Internet Home Page athttp://www.dbisna.com/dbis/customer/custlist.htm. If an offeror is unable to locate a local servicecenter, it may send an e-mail to Dun and Bradstreet at globalinfo@dbisma.com.The DUNS system is distinct from the Federal Taxpayer Identification Number (TIN) system.DUNS: ________________________________________4. LETTER OF CREDIT (LOC) NUMBERIf the recipient has an existing Letter of Credit (LOC) with USAID, please indicate the LOC number:LOC: _________________________________________5. TYPE OF ORGANIZATIONThe recipient, by checking the applicable box, represents that -(a) If the recipient is a U.S. entity, it operates as [ ] a corporation incorporated under the laws of theState of, [ ] an individual, [ ] a partnership, [ ] a nongovernmental nonprofit organization, [ ] a stateor local governmental organization, [ ] a private college or university, [ ] a public college oruniversity, [ ] an international organization, or [ ] a joint venture; or(b) If the recipient is a non-U.S. entity, it operates as [ ] a corporation organized under the laws of_____________________________ (country), [ ] an individual, [ ] a partnership, [ ] a37

nongovernmental nonprofit organization, [ ] a nongovernmental educational institution, [ ] agovernmental organization, [ ] an international organization, or [ ] a joint venture.6. PARTICIPANT CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING1. I hereby certify that within the last ten years:a. I have not been convicted of a violation of, or a conspiracy to violate, any law or regulation of theUnited States or any other country concerning narcotic or psychotropic drugs or other controlledsubstances.b. I am not and have not been an illicit trafficker in any such drug or controlled substance.c. I am not or have not been a knowing assistor, abettor, conspirator, or colluder with others in theillicit trafficking in any such drug or substance.2. I understand that USAID may terminate my training if it is determined that I engaged in the aboveconduct during the last ten years or during my USAID training.Signature: ___________________________________Name: ______________________________________Date: ______________________________________Address: ______________________________________________________________________Date of Birth: _____________________________NOTICE:1. You are required to sign this Certification under the provisions of 22 CFR Part 140, Prohibition onAssistance to Drug Traffickers. These regulations were issued by the Department of State andrequire that certain participants must sign this Certification.2. If you make a false Certification you are subject to U.S. criminal prosecution under 18 U.S.C.1001.38