June 12, 2008

Issuance Date:		June 12, 2008
Closing Date:		July 15, 2008
Closing Time:    	2:00 P.M./1400 Hours Lilongwe, Malawi Time 
Questions Due By:	June 25, 2008, 2:00 P.M./1400 Hours                     				Lilongwe, Malawi Time

Subject:	Request for Applications (RFA) No. 674-08-0024:
Foreign Assistance Framework Objective: Investing in People Program: Human Immunodeficiency Virus (HIV)/Acquired Immunodeficiency Syndrome (AIDS), Element: In support of the U.S. President’s Emergency Plan for AIDS Relief (PEPFAR), USAID/Malawi Seeks Assistance in Implementing Two Cooperative Agreements (CA) to Increase the Adoption of Safer Sexual Behaviors Among Adults In Malawi, In Order to Contribute to Reduced Incidence of HIV Infections; One Five-year, $25  Million CA to Promote Normative Change and to Increase Preventive Behaviors Among Adults in the General Population; and, a Five Year, $20 Million CA to Support a Comprehensive Package of Intensified Preventive Interventions Targeting Populations and Venues With High Prevalence of Risky Sexual Behavior

The United States Agency for International Development (USAID) Mission at Lilongwe, Malawi is seeking applications from an organization(s)/consortium(s) for funding programs to implement the delivery of services linked to increasing the adoption of safer sexual behaviors among adults in Malawi, in order to contribute to reduced incidence of HIV infections, and promote normative change and to increase preventive behaviors among adults in the general population;  In addition, provide support for a comprehensive package of intensified preventive interventions targeting populations and venues with high prevalence of risky sexual behavior.  The successful applicant will be responsible for ensuring achievement of the program objectives.  Please refer to the Program Description for a complete statement of goals and expected results.

The authority for this RFA is found in the Foreign Assistance Act of 1961, as amended.

Subject to the availability of funds, USAID intends to award two CAs, and provide approximately US$45 Million in total USAID funding to be allocated over a period of 5 years.  USAID reserves the right to fund any or none of the applications submitted.

The types of organizations or institutions eligible for award under the RFA, include, U.S. based international organizations, Malawian non-governmental organizations (NGO), private voluntary organizations (PVO), faith-based organizations (FBO), and community based organizations (CBO).  Pursuant to Chapter 22 U.S. Code of Federal Regulations Section 226 (22 CFR 226), it is USAID policy not to award profit under assistance instruments.  However, all reasonable, allocable, and allowable expenses, both direct and indirect, which are related to the assistance  program, and are in accordance with the applicable Cost Standards under 22 CFR 226, U.S. Office of Management and Budget (OMB) Circular A-122 for Non-Profit Organizations, OMB Circular A-21 for Universities, and the Federal Acquisition Regulation (FAR) Part 31, For-Profit Organizations, may be paid.
 
USAID will be substantially involved in the performance and implementation of the award, and the specific nature of our substantial involvement will be specified herein.  

The resulting award will be administered IAW OMB Circulars, 22 CFR 226, and USAID’s Automated Directives Systems (ADS) Chapter 303, “Grants and Cooperative Agreements with Non-Governmental Organizations”. These policies and regulations can be viewed or downloaded from USAID’s Web Site http://www.usaid.gov/pubs/ads/ 

Cost sharing (matching) is not required under this RFA, however, USAID policy nevertheless encourages cost sharing to the maximum extent practicable.  

The Authorized Geographic Code is 935 for the procurement of goods and services under the resulting award.

This RFA is being issued and consists of this cover letter and the following:

1.  Section A - Application Format and Instructions;
2.  Section B - Evaluation Criteria and Selection Process;
3.  Section C - Program Description;
4.  Section D - Certifications, Assurances, and Other Statements of Applicant/Grantee;

For the purposes of this RFA, the term "Grant" is synonymous with "CA"; "Grantee" is synonymous with "Applicant"; and "Grant Officer" is synonymous with "Agreement Officer (AO)".

If your organization decides to submit an application, it must be received by the closing date and time indicated at the top of this cover letter, and at the place designated below for receipt of applications.  Facsimile applications will not be considered; however, applications may be modified by written or facsimile notice, if that notice is received by the time specified for receipt of applications.  Applications and modifications thereof shall be submitted in sealed envelopes with the applicant’s name, contact information, RFA Number and Title (referenced above) inscribed thereon.

Applications are due on or before 2:00 P.M./1400 hours July 15, 2008 Malawi time to:

BY MAIL:

Mr. Waymon A. Carroll	 and,		Ms. Beatrice Lumande
Regional Agreement Officer  	A&A Specialist
USAID/Southern Africa			USAID/Southern Africa
100 Totius Street			P.O. Box 30455
P.O. Box 43				Lilongwe, Malawi
Groenkloof 0027				+27-12-452-2377/telephone
Pretoria, South Africa		+27-12-460-3177/facsimile
wcarroll@usaid.gov			blumande@usaid.gov	
   
	VIA GRANTS.GOV:

	The federal grant process is now web-enabled, allowing for applications to be received on-line on the grants.gov website. Cost/business and technical applications must be submitted in Microsoft Word or Microsoft Excel format.  USAID bears no responsibility for data errors resulting from transmission or conversion processes associated with electronic submissions.  If the grants.gov online option is chosen, in order to be eligible for award the applicant must provide all required information in its application, including the requirements found in any attachments to the grants.gov opportunity.  Applicants may or may not choose to use the grants.gov on-line option. 

NOTE: OTHER THAN VIA GRANTS.GOV, ELECTRONIC MAIL AND/OR FACSIMILE SUBMISSIONS OF APPLICATIONS IS NOT ALLOWED.

Issuance of this RFA does not constitute an award commitment on the part of the Government, nor does it commit the Government to pay for costs incurred in the preparation and submission of an application.  Further, the Government reserves the right to reject any or all applications received. 

In addition, final award of any resultant CA cannot be made until funds have been fully appropriated, allocated, obligated, and committed through internal USAID procedures.  While it is anticipated that these procedures will be successfully completed, potential applicants are hereby notified of these requirements and conditions for award. 

Applications are submitted at the risk of the applicant; should circumstances prevent award of a CA, all preparation and submission costs are at the applicant's expense.  

This RFA and any future amendments can be downloaded from the World Wide Web at http://www.grants.gov.  Receipt of this RFA via the INTERNET must be confirmed by e-mail notification to the contact person noted below indicating the contact name, organization, address, telephone and fax numbers and e-mail address.  The subject line should read “Notice of Interest” and should include the RFA Number (referenced above).  In addition to the original hard copies of applications, copies of applications saved on Compact Disks (CDs) will be accepted.

It is the responsibility of the applicant to ensure that the RFA has been received from the INTERNET in its entirety and USAID bears no responsibility for data errors resulting from transmission or conversion processes.  

Applicants shall acknowledge receipt of any amendment to this RFA by signing and returning the amendment.  USAID must receive the acknowledgement by the time specified for receipt of applications.

In the event of an inconsistency between the documents comprising this RFA, it shall be resolved by the following descending order of precedence:

1.	Section B - Evaluation Criteria and Selection Process;
2.	Section A - Application Format and Instructions;
3.	Section C - Program Description; and,
4.	This Cover Letter.

Questions concerning this RFA should be submitted or hand delivered to the two points-of-contact noted above not later than the date and time indicated above.  All answers to inquiries will be posted at the grants.gov Website as an amendment to this RFA.  The amendment may also be provided in hard copy, as necessary. 

Applicants should retain a copy of their application, and any enclosures thereto, for their records.

Sincerely,	

WAYMON A. CARROLL
Regional Agreement Officer
SECTION A - APPLICATION FORMAT AND INSTRUCTIONS

i.  special application guidelines
A.   Available Funding and Awards

Available Funding: This HIV Prevention RFA seeks competitive applications from eligible organizations seeking to partner with USAID/Malawi.  There are two Sectors available for which applicants may apply:  

SECTOR I:    A five-year, $25 million Cooperative Agreement (CA) to promote normative change and to increase preventive behaviors among adults in the general population; and, SECTOR II:  A five year, $20 million CA to support a comprehensive package of intensified preventive interventions targeting populations and venues with high prevalence of risky sexual behavior. One award is anticipated for each Sector discussed in this RFA.  

Applicants must submit a single/separate application for each Sector to which they choose to apply. Applicants, however, should be aware of the limitations that exist on the level of funding that can be awarded to a single-partner, and should carefully read the section below on “Single-Partner Award Limitations”.

The award ceiling indicated for each Sector has been established to reflect available fiscal year (FY) 2008 funding, and to accommodate any potential funding increases through PEPFAR II for HIV prevention activities in Malawi. Successful applicants should note that there is no guarantee that an award will be funded to the level of the ceiling, and yearly budgets are subject to funding availability.  The first year funding level is estimated at $2.3 million for Sector I and $1.5 million for Sector II.  Applicants should note that the first year funding levels are estimates. The actual funding level for the first year of the Sector 1 Agreement is subject to the acceptance of a request for a waiver (limited to Year 1) of the Single-Partner Award Limitation (described below).

B.  Single-Partner Award Limitations

PEPFAR seeks to promote sustainability for programs through the diversification of partners. To achieve this goal, the Office of the Global AIDS Coordinator (OGAC) establishes an annual funding guideline for grants and cooperative agreement planning. Within the annual PEPFAR country budget for Malawi, OGAC establishes a limit for the total amount of USG funding for HIV/AIDS activities provided to a single partner organization under all grant and cooperative agreements for that country. For FY 2008, the limit is not more than eight (8) percent of the Malawi's FY 2008 PEPFAR program funding (excluding U.S. Government management and staffing costs), or $2 million, whichever is greater. 

The total amount of funding received by a partner organization includes any PEPFAR funding provided to the partner, whether directly as prime partner or indirectly as sub‑grantee. In addition, subject to the exclusion for umbrella awards discussed below, all funds provided to a prime partner, even if passed through to sub-partners, are applicable to the limit. PEPFAR funds provided to an organization under contracts are not applied to the 8 percent/$2 million single partner ceiling.

PEPFAR publishes the single‑partner funding limits annually.  The current limit applicable to this RFA is $2 million. Please note that the current limit is based on an estimated Malawi Country Budget developed for planning purposes; thus, the limit is also an estimate and subject to change based on actual appropriations and the final approved country budget.

Exclusions from the 8 percent/$2 million single‑partner ceiling are made for (a) umbrella awards, (b) commodity/drug costs, and (c) Government Ministries and parastatal organizations. Grants officers will determine whether an organization is serving as an umbrella for purposes of exception from the cap on an award-by-award basis. Agreements for which the primary objective is for the organization to make sub-awards will be considered umbrellas and, therefore, exempted from the cap. Agreements that merely include sub-grants as one of many activities in implementation of the award will not be considered umbrellas, and the full amount of the award will count against the cap. All commodity/drug costs will be excluded from partners’ funding for the purpose of the cap. The remaining portion of awards, including all overhead/management costs, will be counted against the cap.

Applicants should be aware that evaluation of proposals will include an assessment of grant/cooperative agreement award amounts applicable to the applicant by Fiscal Year in Malawi. The combined budget for the two activities (Sectors) described in this RFA is expected to exceed the ceiling for any one partner for the PEPFAR Malawi program. While individual organizations may submit separate applications to carry out both activities, all prospective applicants should be aware that they will likely be ineligible to receive both awards since this would automatically place the recipient over the threshold. The U.S. Global AIDS Coordinator may approve an exception to the cap in appropriate circumstances. 

C. Substantial Involvement Understanding 

It is understood and agreed that USAID will be substantially involved during performance of this CA as set forth below:

1.  Approval of the recipient's Annual Work Plans, including planned activities for the following year, international travel plans, planned expenditures, event planning/management research studies/protocols, and changes to any activity to be carried out under the Agreement;

2.	Approval of, and any changes to specified Key Personnel;
	
3.	Agency and recipient joint participation, including: concurrence with the selection of advisory committee members, concurrence with the selection of sub-award recipients and substantive provisions of sub-awards, and coordination with other cooperating agencies; and, 

4.  Approval of Performance Monitoring Plan.

II.	PREPARATION GUIDELINES
 
A.	All applications received by the deadline will be reviewed for responsiveness to the specifications outlined in these guidelines and the application format.  Section II addresses the technical evaluation procedures for the applications.  Applications which are submitted incomplete run the risk of not being considered in the review process.  Late applications will not be considered for award. 
 
B.	Applications shall be submitted in two separate volumes: (a) Technical and (b) Cost or Business application.  The Technical portions of applications shall be submitted in an original and two (2) copies, and the cost portions of the applications in an original and two (2) copies.
 
C.	Applications should be prepared in accordance with (IAW) the structural format below.  Applications must be submitted no later than the date and time, and to the location indicated on the cover letter of this RFA.
 
D.	Applicants should retain for their records one copy of the application and all enclosures which accompany their application.  Erasures or other changes must be initialed by the person signing the application.  To facilitate the competitive review of the applications, USAID will consider only applications conforming to the format prescribed below.
III. INSTRUCTIONS FOR TECHNICAL APPLICATIONS
A.	Guiding Principles

Technical applications should be specific, complete and presented concisely.  The applications should demonstrate the applicant's capabilities and expertise with respect to achieving the goals of this program.  The applications should take into account the Technical Evaluation Criteria found in RFA, Section B.

Technical applications should include, at a minimum, the following:

1.	Strategy for achieving the program objective(s) that is reflective of the guiding principles, elaborates on the specific results to be achieved and provides specific performance indicators tied to meaningful impacts.

2.	An Implementation Plan, including a description of key activities, and how they are linked to benchmarks and results. The overall program should focus on the achievement of results.

3.	A draft Year One Workplan including benchmarks linked to planned results.

4.	A Monitoring and Evaluation (M&E) Plan that includes a proposed methodology for establishing baseline conditions and measuring each of the performance indicators, recommends performance indicators, proposes targets for performance indicators, and provides for external mid-term and final evaluations. The plan should show how M&E activities, lessons learned, and successful practices will be used as management tools.

5.	 A Management Plan that demonstrates the capability of the organization to manage, staff and administer this award, including the administrative, management and financial structures and systems proposed.  Critical to this are financial management procedures related to the management of any proposed sub-grants that demonstrate organizational capacity to assess sub-grant capabilities, approve budgets, monitor advances to sub-grantees and review and verify sub-grantee reimbursements.

6.	 A Staffing Plan that includes long and short-term technical assistance needs.  Exact titles, qualifications and scopes of work of long-term technical and professional support staff must be provided.  The use of local and regional technical expertise is desirable.

7.	 Subcontracting/Subrecipient Procedures/Methodology for selecting potential NGO sub-grantees, including geographic targeting, impact, comprehensiveness and intensity, and existing skills base of NGOs.  

8.	 A description of the applicant’s history, mission, international activities and past experience working in Southern Africa or other similar development environments.  Any U.S. Government support received in the past five years and experience in developing and managing similar programs of the type described in this RFA should be highlighted. If the applicant is a consortium, this information should be provided for each member of the consortium.

	a. USAID/Malawi recognizes the important role that gender and gender imbalances play in the HIV/AIDS epidemic.  Empowering women and promoting male responsibility and participation are themes that applicants must integrate into their applications;
	b. The applicant will demonstrate ability to absorb funds beyond the initial levels estimated for this RFA should USAID funding increase substantially over the period of the country strategy. Malawi is a focus country under the PEPFAR, and this RFA is funded under PEPFAR.
	c. Matching contributions from applicant, although not required, are encouraged. 
	d. The successful applicant shall submit a Branding Strategy and Marking Plan to be evaluated and approved by the Agreement Officer. 

B. Technical Application

The technical application should contain all of the elements specified below.  Using the Program Description as a framework, the applicant should fully elaborate its’ own Program Description which addresses each of these elements as it pertains to the applicant’s proposed program, respecting any page limit mentioned.

1.  Technical Approach
 
Proposed Approach and General Strategy:  The application must include a clear description of the approach and general strategy (i.e. activities, implementation, methodology, and techniques) proposed to implement the program. The applicant should describe its technical approach to implementing each of the components detailed in the Program Description and should propose realistic strategies which clearly link problems with achievable solutions. The applicant will demonstrate a thorough understanding of the implementing environment and reflect it at all stages of design, implementation and evaluation, including:

	(a.)  Gender mainstreaming in all activities to empower women, promote male responsibility, promote ownership among both men and women at the community level, and ensure gender issues are considered at the central/policy level.
	(b.)  Flexibility to respond to changes in the epidemic and the environment in Malawi.

	(c.)  Outline a strategy and activities for improving the quality of core HIV/AIDS services, strengthening the linkages between HIV/AIDS and other key health services for women and their families, such as family planning services, anti-retroviral therapy, TB services, opportunistic infections treatment, etc., informing policy decisions to support improved quality; and addressing research requirements and how research results and lessons learned will be continually incorporated to increase project impact.

	(d.) Present an approach to supporting the roll out and provision of care and treatment for children living with HIV and AIDS, including an approach to advocacy and policy development.  

(e.) Sub-agreements: Applicants shall identify and describe any sub-recipients and/or sub-contractors indicating the extent of utilization intended, and the tasks/functions they will perform.  Describe how those organizations were selected and how they will effectively contribute to the implementing team.  Technical application information for proposed sub-recipients and/or sub-contractors should follow the same format as that submitted by the applicant.

Applicants must clearly identify which inputs (especially staff) will be provided by sub-grantees or contractors. Applicants shall describe their plans, systems, resources and prior experience in coordinating and managing sub-agreements.

C.  	Other Program Design Guidance

The applicant will be expected to mobilize within thirty days of signing the award, including having senior staff in place and an office established in Lilongwe, Malawi.

All activities to be funded under this award will form part of Malawi’s program under PEPFAR. Funding levels, guidance and parameters for PEPFAR priorities and management are evolving and will continue to evolve over the life of the award. The applicant will be expected to maintain a degree of flexibility, and to work with USAID in designing, prioritizing, implementing and evaluating its' PEPFAR activities.

III.	TECHNICAL APPLICATION FORMAT

A.	Unnecessarily elaborate brochures or other presentations beyond those sufficient to present a complete and effective application in response to this RFA are not desired and may be construed as an indication of the applicant's lack of cost consciousness.  Elaborate art work, expensive paper and bindings, and expensive visual and other presentation aids are neither necessary nor wanted.

B.	Technical applications should contain the following information and conform to the guidelines detailed below.

1.	Table of Contents listing all page numbers and attachments 

2.	Project Abstract beginning on page 1 not to exceed a one page description 

3.	Technical applications are limited to 35 pages (12 point single-spaced Courier New font, and a minimum of 1 inch margins all around) not including the cover page, executive summary, appendices, and certain graphics as specified.  Pages should be paginated at the bottom. Graphics and charts specifically requested in this technical application will not count against the page limit for the application, and may be included either in the application or in attachments.  Shorter applications are encouraged.	

4.	This section of application will become a major component of the program description for the award if made, therefore focus should be on the results to be achieved.  Corporate qualifications and discussions should be minimized.  Curriculum vitae, letters of commitment and other supporting documentation not integral to the technical application may be attached to the application and will not count against the 35 pages.
 
5.	Attachments should be lettered (e.g. Attachment A), and should include the resumes/CVs of key personnel, letters of support, letters from public entities, and other supporting documents. 

IV.	COST APPLICATION FORMAT

There is no page limitation on the Cost Application, but applicants are encouraged to be concise.  The application must include the following: 
A.	Standard Forms
Applicants must complete and submit the following required forms: 
1.	SF 424 Application for Federal Assistance; 
2.	SF 424A Budget Information - Non-Construction Program; and, 
3.	SF 424B, Assurances-Non-Construction Programs.  
These forms may be downloaded from the following website:  http://www.usaid.gov/procurement_bus_opp/procurement/forms/SF-424/
4.	Self-Certification of the management systems/major business systems with a cognizant audit agency.
B.	Financial Plan/Budget 
1.	The financial plan should be fully supported by adequate cost data to establish the reasonableness of proposed program costs.  At a minimum, the financial plan shall contain the following:  
a.	A Summary Budget page of total costs;
b.	A Detailed Budget of cost inputs;
c.	Associated costs to outputs, i.e., results or tasks or milestones, which will enable USAID to determine cost effectiveness and best value, and 
d.	Detailed budget notes and supporting justification of all proposed budget line items in the categories listed below. 
i.	Home Office Direct Labor (if applicable), number of units and cost;
ii.	Local office direct labor, number of units and cost;
iii.	Consultants, number of units and cost;
iv.	Subcontractor/sub-awardee labor, number of units and cost;
v.	Equipment and supplies;
vi.	Travel (destinations, numbers of trips, approximate cost) and associated per diem;
vii.	Other related costs (explain in general terms related to the activity or task and give estimates - these may vary by task) 
2.	Detailed budgets and supporting notes and justifications should include the following, as applicable, for the prime and sub-awardee, if any: 
a.	The name, annual salary, fringe benefits and expected level of effort of each position charged directly to the program, including consultants;
b.	Details of all home office support to be provided;
c.	Fringe Benefits. If charged as a percentage, please provide a breakout if not included in the indirect cost rate agreement negotiated with the U.S. Government, specify the applicable fringe benefit rates for each category of employee, and all benefits covered by the rate;
d.	Allowances, expatriate and local, which should be broken down by specific type and by person and must be in accordance with the applicants’ policies.  All salaries, benefits and allowances must be based on written compensation policies of the employer organization;
e.	Travel, per diem and other transportation expenses should be detailed in the financial plan to include number of international trips, from where to where, number of per diem days and rates.  Per diem and other travel allowances must be based on written travel policies of the employer organization;
f.	Other direct costs:  Provide a breakdown of proposed workshop expenses, visas, passports, equipment, and supplies and other general costs. Explain basis for cost, number of units, etc;
g.	Cost Sharing (if proposed):  provide narrative information, in addition to the percentage and total dollar amount of the proposed cost-share contribution. Cost-share, once accepted becomes a condition of payment of the federal share;
h.	Indirect Costs:  Applicants must provide a copy of the most recent indirect cost rate agreement negotiated with its cognizant U.S. Government agency, if applicable.  Non-US applicants not possessing a NICRA that plan to levy an administrative fee are requested to provide the basis of that fee in accordance with the “Guidelines for Financial Audits Contracted by Foreign Recipients” found at the following website: http://www.usaid.gov/pubs/ads/500/rcapguid.doc;
i.	Applicants with no previous experience with USAID programs will be requested to submit evidence of financial capability which shall consist of financial audits for the past three years; personnel, travel, purchasing, and property management policies; and past performance references (at least three).  If copies have already been submitted to the U.S. Government, the applicant should advise which Federal Office has a copy.

C.	Required Certifications and Representations are found in Section D of this RFA.

SECTION B - EVALUATION CRITERIA AND SELECTION PROCESS
I.	GENERAL INFORMATION

A.	USAID may award a CA without discussions with applicants.  To the extent they are necessary, negotiations will be conducted with the top-ranked and/or best qualified applicants.  

B.	The selection criteria have been tailored to the requirements of this RFA to enable USAID/Malawi to select the highest quality application.  These criteria identify significant areas that applicants should address in their applications and serve as the standard against which all applications will be evaluated.
II.	TECHNICAL EVALUATION CRITERIA

The criteria presented below, have been tailored to the requirements of this particular RFA, however some requirements are unique to a specific Sector, and therefore each of the sectors is separately addressed.  The number of points assigned indicates the relative importance of each criterion.  Applicants should note that these criteria (a) serve to identify significant themes, which should be addressed in the application, and (b) set the standard against which all applications will be evaluated.  A maximum total of 100 points is possible in each of the Sectors.
A.  SECTOR I:  PREVENTION FOR ADULTS IN THE GENERAL POPULATION

I.  Technical Understanding and Approach    	Total: 40 Points	

Overall Approach	   10 Points	

1. Overall merit (clarity, analytical depth, state-of-the-art technical knowledge, and responsiveness) and feasibility of approach and strategies to achieve the project’s strategic objective and project results;
2. In-depth understanding of the interrelationships of the strategic objective, strategic principles, and program objectives, as well as the social, cultural, and behavioral drivers of the HIV epidemic in Malawi;  
3. Careful consideration of the trade-offs between coverage, intensity and cost-effectiveness in the choice/mix of proposed interventions;
4. Integration and application of the strategic principles throughout all activities and approaches;
5. A clear approach for addressing gender dynamics and norms in Malawi that increase vulnerability to HIV infection; and
6. Thorough understanding of the importance of formative research in informing the design and implementation of program interventions. 

Program Objective 1	    5 Points	

1. Proposed activities that are appropriate, comprehensive, feasible, creative, and incorporate state-of-the-art technical knowledge and/or best practice, and sufficiently integrate the strategic principles;  
2. Provided rationale and illustrative messages that exhibit insight into the Malawian social/cultural context, available data, underlying gender norms, and current best practice;
3. Described activities designed to address underlying gender dynamics and norms that increase vulnerability to HIV infection for both men and women;
4. Demonstrated understanding of the challenges and barriers to achieving normative change in Malawi and solutions to the challenges are feasible and innovative;
5. Demonstrated understanding of the interaction between national and local mass media, community mobilization, and interpersonal communication interventions and how to link them effectively while targeting specific populations with tailored messages;
6. Demonstrated knowledge of strategies for involving local level leaders and groups with moral and social authority; and  
7. Proposed results, indicators and targets for results to be achieved in this project objective that are challenging and appropriate.

Program Objective 2   	    5 Points 	

1. Proposed activities that are appropriate, comprehensive, feasible, efficient, innovative, and incorporate state-of-the-art technical knowledge and/or best practice, and sufficiently integrate the strategic principles;
2. Presented approaches, rationale, and illustrative messages that demonstrate clear understanding and application of proven interpersonal communication strategies and other behavior change interventions to increase risk perception and self-efficacy, as well as, the behavioral drivers of HIV in Malawi;
3. Clearly articulated approaches for ensuring that interpersonal communication messages and mass media messages are complementary and harmonized;
4. Described role of local partners clearly and appropriate to achieving program objective and developing local and indigenous capacity; and,
5. Proposed results, indicators and targets for results to be achieved in this project objective that are challenging and appropriate.

Program Objective 3 	    5 Points	

1. Demonstrated understanding of how technical leadership and coordination of implementing partners contributes to the strategic objective; 
2. Provided a comprehensive approach to knowledge sharing and transfer, identifying and leveraging the comparative advantages of partners, and harmonizing messages among partners;
3. Proposed activities that reflect understanding of the diverse nature of relationships and partnerships that need to be fostered, and identify appropriate mechanisms and activities for collaboration with other USG partners and Malawian institutions, including governmental structures at all levels that are implementing NAC grants; 
4. Demonstrated a thorough understanding of institutional strengthening needs relating to HIV/AIDS in the proposed coordination and harmonization activities; and,
5. Proposed results, indicators and targets for results to be achieved in this project objective that are challenging and appropriate.

Program Objective 4  	    5 Points	

1. Proposed approaches that represent best practice, state-of-the-art technical knowledge, and appropriate application of strategic principles; 
2. Clearly articulated a strategy for integration of prevention with other services, including appropriate prioritization of efforts given limited resources; 
3. Described appropriate mechanisms and activities for integrating prevention activities into other clinic-based HIV and health services in Malawi, based on this strategy;
4. Demonstrated understanding of the messages appropriate to and necessary for promoting service linkages for specific populations; 
5. Described the role of local partners clearly and appropriate to achieving program objective and developing local and indigenous capacity; 
6. Exhibited knowledge of the barriers to service integration and offers reasonable solutions; and,
7. Proposed results, indicators and targets for results to be achieved in this project objective that are challenging and appropriate.

Geographic Focus	    5 Points	

1.  Proposed a plan for allocation of resources and effort that reflects epidemiological priorities and the contextual situation in Malawi; and,
2.  Proposed an approach that maximizes the population coverage and potential impact of program interventions, given limited resources.  

Planning, Monitoring, and Reporting 	    5 Points	

1. Provided a complete and feasible illustrative performance monitoring and evaluation plan to monitor project progress, output and impact;  
2. Proposed indicators and target of the performance monitoring plan that are ambitious and achievable; and,
3. Presented a comprehensive and feasible approach to data quality assurance.

II.  Key Personnel 	   25 Points 	

1. Proposed key personnel have requisite experience and expertise and meet or exceed requirements specified in Section IV. They have breadth and depth in technical expertise and experience in leadership, management, design and implementation of complex programs, and,
2. Individually and collectively, proposed key personnel show evidence of strong leadership skills and ability to build collaborative relationships. (Expertise and attributes will be verified in part on references provided in appendixes, and may be verified through interviews, at the discretion of the technical review panel).		

III.  Management Approach  	   15 Points	

1. Proposed management and administrative arrangements for implementation of the program including organizational structure, staffing pattern, decision-making authority as presented in an organizational chart; procurement of goods and services; and dissemination of publications are well thought out, cost-effective, efficient and appropriate for this project;  
2. Proposed processes are appropriate for interaction with USAID Mission, Government of Malawi and other in-country partners; 
3. Proposed plans for rapid start-up of the project are feasible;
4. Proposed approach for financial management includes: how applicant will contain costs; how financial disbursement to in-country partners – if any - will be managed; and how the applicant will assure timely and accurate financial reporting of funding streams; 
5. The staffing pattern and the number and type of positions proposed are responsive to technical requirements and principal challenges;
6. A strong pool of relevant technical experts is available to support in-country project staff; and,
7. Proposed staffing pattern represents an optimal configuration for efficiency and cost containment.

IV.  Institutional Capability 	   10 Points 	

1. Institutional expertise and experience that is responsive to the scope of the RFA;
2. Institutional capability to plan, implement, and support complex programming and the range of activities outlined in the RFA; to produce results and innovations in behavior and normative change; to work with multiple in-country partners and to report results to USAID;  
3. Capacity to manage the proposed institutional relationships including the ability to identify subcontractors and sub-grantees, if necessary; and to minimize non-productive costs;  
4. A track record of working effectively with and building the capacity of local organizations; 
5. Experience implementing programs in generalized HIV/AIDS epidemics, particularly those in Southern Africa; and,  
6. Capability to undertake a similar or related project, in both complexity and diversity, as covered in the RFA.  

V.  Past Performance	10 Points	
As required by RFA, applicants are required to provide past performance references for itself, and each proposed major sub-recipient expected to contribute a substantial amount of effort under this RFA.  It is desirable that the past performance information be relevant to the requirements noted under this RFA, and are based on recently performed work. Relevant past performance information includes a contractor's/ recipient’s record of conforming to contract and or Agreement requirements and to standards of good workmanship; record of forecasting and controlling costs, general adherence to timelines, including administrative aspects of performance; history of reasonable and cooperative behavior and commitment to customer satisfaction; and, the business-like concern for the interest of the customer, and the competency of key personnel who worked on a given activity.  Applicants should demonstrate their successful experience and past performance in executing similar assignments.  Their application should  highlight project management, implementation, knowledge management and client relations.   Of particular importance, is the applicant’s past experience in managing complex programs where implementation required the applicant to work closely with other partners to coordinate program implementation.  If appropriate, the applicant should consider describing past consortia involvement and, if appropriate, how they used partners under the consortia. The applicant should discuss and demonstrate how this coordination was accomplished and what impact it had on successful performance.  Proven successful track record in management of a grants program, and providing administrative support (particularly important to PEPFAR HIV/AIDS Program Support Services).

SUMMARY OF TECHNICAL EVALUATION CRITERIA FOR SECTOR I		

Technical Understanding and Approach		40   Points	
Key Personnel	25   Points	
Management Approach 	15   Points	
Institutional Capability		10   Points	
Past Performance	10   Points	
TOTAL						100 Points	

B.  SECTOR II: PREVENTION FOR POPULATIONS AND SETTINGS WITH HIGH RISK BEHAVIORS

I.  Technical Understanding and Approach 	Total: 40 Points	

Overall Approach	   10 Points	
1. Overall merit (clarity, analytical depth, state-of-the-art technical knowledge, and responsiveness) and feasibility of approach and strategies to achieve the project’s strategic objective and project results; 
2. In-depth understanding of the interrelationships of the strategic objective, strategic principles, and program objectives, as well as the social, cultural, and behavioral drivers of the HIV epidemic in Malawi; 
3. Integration and application of the strategic principles throughout all activities and approaches; designed to address.
4. Clear approach for addressing underlying gender dynamics and norms that increase vulnerability to HIV infection for both men and women; and, 
5. Thorough understanding of the importance of formative research in informing the design and implementation of program interventions. 

Project Result 1	    5 Points	

1.  Proposed a mapping methodology that is feasible and incorporates state-of-the-art technical knowledge and/or best practice;
2.  Clearly articulated a strategy for using mapping and other data to inform prioritization of high-risk populations and locales, and to develop prevention activities that maximize the impact of available resources;
3.  Demonstrated comprehension of current gaps in knowledge of high-risk groups and proposed research that is feasible and relevant;
4.  Displayed a thorough understanding of potential barriers and proposed solutions are feasible, innovative and responsive; and,
5.  Proposed results, indicators and targets for results to be achieved in this project objective that are challenging and appropriate.

Project Result 2   	    10 Points              	

1. Selected activities and interventions that are clearly presented and are feasible, comprehensive, innovative and appropriate for high-risk populations and venues; 
2. Demonstrated comprehensive knowledge of best practices in targeted outreach and interpersonal communication interventions for higher-risk populations in the Malawian context;
3. Demonstrated how the design of the proposed activities has taken into account underlying gender dynamics and norms in Malawi that contribute to the spread of HIV. 
4. Demonstrated a clear understanding of relevant ongoing activities and opportunities for complementarity and addressing gaps in coverage;
5. Described role of local partners clearly and appropriate to achieving program objective and developing local and indigenous capacity;
6. Addressed and incorporated strategic principles appropriately and realistically;
7. Exhibited a thorough understanding of potential barriers, and proposed solutions are feasible and responsive; and,
8. Proposed results, indicators and targets for results to be achieved in this project objective that are challenging and appropriate.

Project Result 3 	     5 Points	
 
1.  Proposed activities for expanding distribution, sale and promotion of subsidized condoms to the general population that are clearly presented, feasible, comprehensive, and innovative, and include appropriate demand generation;
2. Proposed activities for expanding distribution, sale and promotion of subsidized condoms to the general population that represents an efficient and cost-effective use of resources;
3. Proposed activities and interventions for increasing coverage and penetration of subsidized condoms in high-risk populations and settings that are clearly presented and are comprehensive and appropriate;
4. Presented approaches to linking targeted outreach efforts to social marketing of condoms in high-risk populations and settings are appropriate and innovative;
5. Demonstrated a clear understanding of relevant ongoing activities and opportunities for complementarity and addressing gaps in coverage;
6. Described role of local partners clearly and appropriate to achieving program objective and developing local and indigenous capacity;
7. Addressed and incorporated strategic principles appropriately and realistically;
8. Demonstrated a thorough understanding of potential barriers and proposed solutions are feasible and responsive; and,
9. Proposed results, indicators and targets for results to be achieved in this project objective that are challenging and appropriate.

Project Result 4  	     5 Points	

 1.  Proposed clear, feasible and innovative approaches to integrating or linking prevention services for at-risk populations with other HIV and health services, including bringing those services to the locales where these populations live and/or work;
2.  Effectively addressed issues of ensuring service quality;
3.  Demonstrated a clear understanding of relevant ongoing activities and opportunities for complementarities and addressing gaps in coverage;
4.  Described role of local partners clearly and appropriate to achieving program objective and to developing local and indigenous capacity;
5.  Addressed and incorporated strategic principles appropriately and realistically;
6.  Demonstrated a thorough understanding of potential barriers and proposed solutions are feasible and responsive; and,
7.  Proposed results, indicators and targets for results to be achieved in this project objective that are challenging and appropriate.

Planning, Monitoring, And Reporting 	    5 Points	

1.  Provided a complete and feasible illustrative performance monitoring and evaluation plan to monitor project progress, output and impact; 
2.  Proposed indicators and targets for the performance monitoring and evaluation plan are ambitious and achievable; and,
3.  Presented a comprehensive and feasible approach to data quality assurance.

II.  Key Personnel 	   25 Points 	

1.  Proposed key personnel have requisite experience and expertise and meet or exceed requirements specified in Section IV. They have breadth and depth in technical expertise and experience in leadership, management, design and implementation of complex programs; and,
2.  Individually and collectively, proposed key personnel show evidence of strong leadership skills and ability to build collaborative relationships. (Expertise and attributes will be verified in part on references provided in appendixes, and may be verified through interviews, at the discretion of the technical review panel).	

III.  Management Approach  	   15 Points	
1.  Proposed management and administrative arrangements for implementation of the program including organizational structure, staffing pattern, decision-making authority as presented in an organizational chart; procurement of goods and services; and dissemination of publications are well thought out, cost-effective, efficient and appropriate for this project;  
2.  Proposed processes are appropriate for interaction with USAID Mission, Government of Malawi and other in-country partners; 
3.  Proposed plans for rapid start-up of the project are feasible;
4.  Proposed approach for financial management includes: how applicant will contain costs; how financial disbursement to in-country partners – if any - will be managed; and how the applicant will assure timely and accurate financial reporting of funding streams; 
5.  The staffing pattern and the number and type of positions proposed are responsive to technical requirements and principal challenges;
6.  A strong pool of relevant technical experts is available to support in-country project staff; and,
7.  Proposed staffing pattern represents an optimal configuration for efficiency and cost containment.

IV.  Institutional Capability 	   10 Points 	

1.  Institutional expertise and experience that is responsive to the scope of the RFA;
2.  Institutional capability to plan, implement, and support complex programming and the range of activities outlined in the RFA; to produce results and innovations in behavior and normative change; to work with multiple in-country partners and to report results to USAID;
3.  Capacity to manage the proposed institutional relationships including the ability to identify subcontractors and sub-grantees, if necessary; and to minimize non-productive costs;  
4.  A track record of working effectively with and building the capacity of local organizations; 
5.  Experience implementing programs in generalized HIV/AIDS epidemics, particularly those in Southern Africa; and,
6.  Capability to undertake a similar or related project, in both complexity and diversity, as covered in the RFA.  
 
V.  Past Performance 	10 Points	
As required by RFA, applicants are required to provide past performance references for itself and each proposed major sub-recipient expected to contribute a substantial amount of effort under this RFA.  It is desirable that this past performance information is relevant to this requirement and is based on recently performed work. Relevant past performance information includes a contractor's/recipient’s record of conforming to contract and or Agreement requirements and to standards of good workmanship; record of forecasting and controlling costs, general adherence to timelines, including administrative aspects of performance; history of reasonable and cooperative behavior and commitment to customer satisfaction; and, the business-like concern for the interest of the customer, and the competency of key personnel who worked on a given activity.  Applicants should demonstrate their successful experience and past performance in executing similar assignments.  Their application should  highlight project management, implementation, knowledge management and client relations.  Of particular importance, is the applicant’s past experience in managing complex programs where implementation required the applicant to work closely with other partners to coordinate program implementation.  If appropriate, the applicant should consider describing past consortia involvement and, if appropriate, how they used partners under the consortia. The applicant should discuss and demonstrate how this coordination was accomplished and what impact it had on successful performance.  Proven successful track record in management of a grants program, and providing administrative support (particularly important to PEPFAR HIV/AIDS Program Support Services).

SUMMARY OF TECHNICAL EVALUATION CRITERIA FOR SECTOR II		

Technical Understanding and Approach		40   Points	
Key Personnel	25   Points	
Management Approach 	15   Points	
Institutional Capability		10   Points	
Past Performance	10   Points	
TOTAL						100 Points	

III.	COST EVALUATION 

While there are no assigned points for the cost evaluation criteria, the review of the cost application shall entail cost realism analysis.  This will consist of a review of the cost portion of an applicant's response to determine if the overall costs proposed are realistic for the work to be performed, if the costs reflect the applicant's understanding of the requirements, and if the costs are consistent with the technical application.  

The cost realism analysis is intended to meet the following three goals: 

1. 	Verify the applicant's understanding of the requirements and regulations; 
2. 	Assess the degree to which the cost application reflects the approaches in the technical application; and, 
3. 	Assess the degree to which the costs included in the cost application accurately represents the work effort included in the technical application.

IV.	Award/Selection Process

Award will be made to the responsible applicant whose application offers the best value, considering technical merit and other factors as described above.  Applications that do not meet these criteria may risk not being considered for award.  In the event that applications are equally or closely ranked technically, the award decision will be made on the basis of the best value to the government, including cost considerations. 

SECTION C - PROGRAM DESCRIPTION

A.  Summary

In support of PEPFAR, USAID/Malawi seeks assistance in implementing CAs under two Sectors to increase the adoption of safer sexual behaviors among adults in Malawi, in order to contribute to reduced incidence of HIV infections.  The Cooperative Agreement for Sector I will be a five-year, $25 million effort promote normative change and to increase preventive behaviors among adults in the general population.  In Sector II the five-year, $20 million cooperative agreement will support a comprehensive package of intensified preventive interventions targeting populations and venues with high prevalence of risky sexual behavior.

B.  Background 
	
(a)  Epidemic Context

Data Sources:  A wealth of data is available on the HIV epidemic in Malawi, and data collection methods and the range and quality of data available continue to improve.  Data sources include the 2004 Malawi Demographic and Health Survey (MDHS) which incorporates population-based HIV sero-prevalence; routine sentinel surveillance of pregnant women attending antenatal care; and the 2004 Behavioral Surveillance Survey (BSS) of selected at-risk populations.  Results will soon be available for the 2006 BSS with biomarkers including prevalence of syphilis and HIV.  Many ethnographic studies relating to HIV have also been undertaken in Malawi, especially by the Malawi Diffusion and Ideational Change Project (MDICP) in the South.  In 2006, the National AIDS Commission (NAC) initiated a “triangulation” process to synthesize data on epidemic trends and on the reach and intensity of prevention efforts, to help guide HIV programming. 

Patterns of HIV Prevalence:  As in other Southern African countries, the HIV epidemic in Malawi is generalized and is spread primarily through heterosexual intercourse.  While urban HIV prevalence appears to have declined somewhat in recent years and national and rural prevalence appear to have stabilized, Malawi continues to experience a severe HIV epidemic. The 2004 MDHS found overall HIV prevalence to be 12% for adults aged 15-49 (13% for women, 10% for men.)  The 2007 HIV sero-survey in antenatal clinics (ANC) also estimated national prevalence at 12%, for a total of roughly 900,000 Malawians living with HIV in a population of 13 million. HIV rates in pregnant women at ANC sites in 2007 ranged from 2% to 38%. 

Malawi exhibits significant geographic differences in HIV prevalence.  Although prevalence is significantly higher in urban areas, 80% of the population lives in rural areas and the epidemic in these areas remains a concern.  In the South, where roughly half the population resides, HIV rates in both urban and rural areas are much higher than in other regions.  

Age-specific HIV rates point to a need for prevention efforts to include a significant focus on adult populations.  In the MDHS 2004, HIV prevalence among women was consistently high across the age range 20-44 years; HIV rates for males were highest among men over age 30.  As in other African countries, HIV prevalence is much higher in young women aged 15-24 than among men the same age. In the MDHS 2004, about half of Malawian women aged 20-49 years were married by age 18, and 73% by age 20, suggesting that marriage may increase HIV risk for young women, particularly in scenarios of high interspousal age gaps.

The MDHS 2004 found that 10% of all couples were in sero-discordant partnerships.  Yet, at the time of the survey, 83% of Malawians had never been tested for HIV.  (The total number of persons ever tested has increased significantly since that time.)  In 60% of discordant couples, the male partner was HIV-positive.  Widowed, divorced and separated persons, especially women, had strikingly higher rates of HIV. As in many countries, higher levels of education and income are associated with increased HIV prevalence for men; for women, education and HIV status do not appear to be related.  

Limited sentinel sero-surveillance of higher-risk populations has been conducted in recent years.  The 2004 Behavioral Surveillance Survey gathered data from sex workers, border traders, the police, teachers and other at-risk populations.  The survey highlights a lack of comprehensive HIV knowledge, high rates of multiple partnering, low risk perception and low rates of condom use in commercial and casual sex.  In many of the risk groups studied, fewer than half the respondents had ever been tested for HIV.  Preliminary data from the new 2006 BSS, which includes biomarkers for selected at-risk populations, show similar patterns coupled with HIV prevalence ranging from 5% to 39% for most of the populations studied.  Female sex workers had HIV prevalence of 68% and syphilis prevalence of 10%.  These data highlight the need to intensify prevention efforts for at-risk populations, with special attention to female sex workers.   

Social and Cultural Context:  The social and cultural context in Malawi likely facilitates HIV transmission.  Perhaps because marriages in some parts of Malawi have historically been polygamous unions, there appears to be widespread social acceptance, and even encouragement, of pervasive multiple and concurrent extramarital partnerships. In the MDHS 2004, about 27% of men and 8% of women reported sex with a non-marital, non-cohabiting partner in the last year.  Among sexually-active 15-24 year olds, 62% of men and 14% of women engaged in sex with a non-marital, non-cohabiting partner; however, significant age differences in sexual partnerships were less common.  A study on Likoma Island found that 65% of adults were connected in a single, decentralized sexual network.  Within a generalized AIDS epidemic, the prevalence of multiple and concurrent partnerships that connect large numbers of people in a few large, sexual networks puts many individuals, and women especially, at risk.  

The ethnographic literature also highlights the relative disempowerment of women, and widespread poverty and food insecurity that contribute to women’s vulnerability and to high levels of transactional sex.  Although formal sex work exists, studies suggest that transactional sex in Malawi is primarily informal in nature, with women entering into sexual partnerships with men both to secure basic necessities like food, as well as to obtain additional luxuries beyond what their husbands can provide.  HIV prevalence is notably highest in urban manufacturing zones, border areas and large rural plantations in the South, where men with disposable income appear to be a key driver of the epidemic.  The economy relies heavily on migrant workers who leave home for extended periods, and who create a demand for casual sex partners while they are away from home.  

Ethnographic research also highlights the normative influence of the patron-client culture that is pervasive in Malawi, in which an element of exchange of goods or favors exists in almost every relationship.  This research suggests that transactional sex can be viewed simply as one manifestation of this patron-client culture, and that efforts to reduce transactional sex will need to differentiate the exchange of sex for money and/or gifts from other aspects of the patron-client relationship.

In addition, traditional cultural practices specific to certain ethnic groups, such as polygamy, wife inheritance, and sexual cleansing rituals, are believed to contribute to HIV transmission.  Initiation rites for adolescents, for example, where an experienced adult male is hired to perform sexual rites with several newly initiated girls, also appear to be associated with earlier sexual activity and to potentially increase the risks of HIV transmission.  The extent of these cultural practices and their relative contribution to HIV transmission remain unclear.  Prevalence of male circumcision is low, at 21%.

Attitudes towards condoms remain negative among both the general population and at-risk groups, and there is considerable misinformation about condoms at the community-level.  Condoms are generally associated with commercial sex and distrust of one’s partner, and perceived to diminish sexual pleasure.  Latent beliefs suggest that condoms are ineffective or even increase the risk of transmission.  However, condoms appear to be becoming more acceptable in extramarital relationships.  Condom use at last high-risk sex increased among males in the DHS, from 39% in 2000 to 47% in 2004.  However, levels of condom use at last higher-risk sex remain low, at 47% for men and 30% for women.  Levels of use within marriage are very low at about 3 percent.  
 
(b)  Government of Malawi Response
 
The Government of Malawi (GoM) is strongly committed to addressing HIV.  The Malawi Growth Development Strategy (MGDS) is a prime GoM document that seeks to address issues of HIV/AIDS.  The GoM is currently implementing the second national HIV/AIDS National Action Framework (NAF) 2005-2009.  The Office of the President and Cabinet provides leadership for this effort, while the NAC provides overall coordination and serves as a secretariat.  The NAF is a comprehensive framework that includes eight priority areas: (i) prevention and behavior change; (ii) treatment, care and support; (iii) economic and psychosocial impact mitigation; (iv) mainstreaming, partnerships and capacity building; (v) monitoring and evaluation; (vi) research; (vii) resource mobilization, tracking and utilization; and (viii) national policy coordination and program planning.  Recently, the GoM has made impressive strides in expanding access to anti-retroviral therapy (ART).  

In the past, GoM prevention efforts primarily emphasized biomedical approaches such as prevention of mother-to-child transmission (PMTCT) and HIV counseling and testing.  More recently, the GoM has increased attention to prevention of sexual transmission.  The 2003 national HIV/AIDS policy and the 2002 Behavior Change Intervention Strategy provide an overall framework to guide prevention efforts. Initial Malawian applications for assistance from the Global Fund to Fight AIDS, Tuberculosis and Malaria (GFATM) emphasized support for treatment and bio-medical interventions.  However, in 2007, Malawi applied for, and was awarded, a Round 7, five-year, $36 million grant with a primary focus on prevention of sexual transmission among young people aged 10-24.  

NAC has also recently initiated the process of developing a comprehensive National Prevention Strategy, with an emphasis on behavior change for prevention of sexual transmission.  The USG along with other international donors has made a commitment to work together under the leadership of each national government to support the principle of “the Three Ones”—ONE national AIDS strategy that integrates the work of all partners, ONE national coordinating authority to manage that strategy across all sectors, and ONE national monitoring and evaluation system.  Any awards pursuant to this RFA will need to maintain sufficient flexibility to respond to the prevention priorities identified by the GoM in its new prevention strategy.

(c)  U.S. HIV/AIDS Assistance 

USG PEPFAR Program: All United States Government (USG) HIV/AIDS assistance worldwide is now incorporated within the President’s Emergency Plan for AIDS Relief (PEPFAR).  PEPFAR is a five-year, $15 billion program providing comprehensive support to prevention, care and treatment in 15 designated “focus” countries as well as other countries receiving USG bilateral HIV/AIDS assistance.  PEPFAR five-year goals for the focus countries are to initiate antiretroviral therapy for 2 million people living with HIV; to provide care and support for 10 million infected and affected individuals; and to prevent 7 million new HIV infections. 

In supporting prevention of sexual transmission of HIV, the USG emphasizes a comprehensive “ABC” approach (Abstinence, Be Faithful, consistent and correct Condom Use).  Currently, PEPFAR funds prevention of sexual transmission under two different program areas, “Abstinence and Be Faithful” (AB) and “Condoms and Other Prevention” (OP).  PEPFAR recognizes that many populations require some mix of “AB” and “C” messages, and that the appropriate balance of A, B and C approaches will vary depending on the populations/individuals and their behaviors.  Accordingly, individual PEPFAR prevention partners are encouraged to support programs that provide complementary and comprehensive approaches across the AB and OP program areas, with the mix and balance of approaches tailored to specific target populations. (See http://www.state.gov/documents/organization/57241.pdf for “ABC Guidance #1 for United States Government In-Country Staff and Implementing Partners Applying the ABC Approach to Preventing Sexually Transmitted HIV Infections Within the President’s Emergency Plan for AIDS Relief.”)

PEPFAR in Malawi:  The USG supports HIV/AIDS activities in Malawi across the continuum of prevention, care and treatment.  The USG program is implemented on an inter-agency basis by the U.S. Embassy, the U.S. Agency for International Development (USAID), the Centers for Disease Control and Prevention (CDC), Peace Corps, and Department of Defense (DoD).  The USG is a major donor providing direct support to programs to prevent sexual transmission of HIV in Malawi.  The following are the major prevention activities currently funded by the USG.

1	The BRIDGE project, funded by USAID and implemented by the Johns Hopkins University Center for Communication Programs (JHU/CCP), promotes changes in individual knowledge, attitudes and behaviors and an enabling social environment for such changes.  BRIDGE supports a national multi-media campaign, Nditha (“I Can” in Chichewa) that emphasizes individual action to prevent HIV, and a radio program to address stigma that involves individuals living with HIV.  Media activities are complemented by community mobilization and interpersonal approaches, including use of a “Hope Kit” to stimulate discussion of “ABC” as options for managing HIV risk.  Community outreach activities focus on eight districts: Balaka, Chikwawa, Kasungu, Mangochi, Mulanje, Mzimba, Ntcheu and Salima.  BRIDGE is anticipated to end in early 2009.

2	USAID also supports the Enhanced HIV/AIDS Prevention and Improved Family Health Project (EHP-IFHP) implemented by Population Services International (PSI). EHP-IFHP supports social marketing of Chishango (“shield”) condoms nationally through retail and NGO networks; intensified condom marketing in “hot zones” where bars and other high risk venues are concentrated; and targeted outreach to key populations engaging in high risk sexual behavior. PSI also supports a branded, youth-focused communications program, which includes Youth Alert Mix! (YAM!), Malawi’s top-ranked youth radio program, and the “Real Man/Real Woman” campaign, which promotes delay of first sex as a strategy for completing school and achieving goals for the future.  Media activities are linked to YAM! Listeners’ Clubs in 200 secondary schools.  EHP-IFHP is also anticipated to end in early 2009.  

3	Pact Malawi’s Community REACH HIV/AIDS program receives funding from USAID to provide grants management and capacity building for indigenous organizations providing HIV/AIDS prevention, care and support services.  Pact currently supports several non-governmental organization (NGO) subpartners that provide some limited prevention services, including community mobilization, youth prevention, high-risk group prevention, and integration of prevention for positives into care and support for people living with HIV.  Pact has recently issued a solicitation to identify additional grantees, with a major emphasis on prevention of sexual transmission.  

1	Peace Corps has “mainstreamed” HIV prevention across its programs in health, education and environment.  It has also developed a “Crisis Corps” of more experienced volunteers dedicated to strengthening prevention capacity at the district level.  Peace Corps Volunteers use the Hope Kit developed by BRIDGE with community-based organizations (CBOs) and schools to deliver HIV prevention messages, and have been active in supporting events such as National HIV Counseling and Testing Day. 

2	The DoD partners with the Malawian Defense Force to educate troops and their families about HIV; in 2007, DoD made an award to PSI to expand its work with the military.  

3	Through the American Institutes for Research, USAID supports school-based prevention clubs in Kasungu and Mzimba South Districts to promote healthy behaviors and HIV-related life skills through an age-appropriate, “AB” program.

4	Using the Hope Kit, Catholic Relief Services (CRS) is integrating prevention education into its “I-Life” economic and food security activities involving grass-roots groups at the community level.

5	Malawi is participating in the recently awarded PEPFAR centrally-funded Vulnerable Girls Initiative, implemented by JHU/CCP, to test creative new approaches to reaching girls and young women at highest risk of acquiring HIV.                                                                                                                                                                                                                                                                                                                                                                                                                                                 

6	Through CDC, the USG is also providing technical assistance to NAC to assess the acceptability and feasibility of male circumcision as a strategy for HIV prevention.  

7	Management Sciences for Health (MSH) is integrating HIV/AIDS prevention into its family planning and reproductive health activities in eight districts where it works to strengthen child health and family planning services.   

The two awards proposed under this RFA will serve as central components of the USG HIV prevention portfolio for the next five years. They will be expected to build on prevention tools and approaches that have been developed and implemented in Malawi. The new awards also are expected to advance current mass media, community mobilization, interpersonal communications, condom social marketing and targeted outreach activities, and to complement and coordinate with other USG-funded partners. The USG encourages applications from all partners who can demonstrate technical excellence and the capacity to provide high quality assistance in HIV prevention programming.  The USG seeks partners who are cost-effective and innovative, and committed to local ownership, capacity strengthening and sustainability.

C.  Strategic Objective and Rationale  

Strategic Objective:
Increased adoption of safer sexual behaviors by Malawian adults

Twenty-five years after the first AIDS case was diagnosed in Malawi, there is an urgent need to expand and strengthen current limited prevention efforts.  While initial treatment efforts have shown positive results, expanded and intensified prevention programs are essential both to prevent the continued spread of HIV and related suffering, and to mitigate an expanding and increasingly unsustainable need for treatment and care.   

Emphasis on Sexual Transmission of HIV for Adults:  The two awards proposed under this RFA are complementary: both will contribute to the single strategic objective: “Increased adoption of safer sexual behaviors by Malawian adults.”  Since heterosexual intercourse is estimated to account for almost 90% of HIV transmission in Malawi, reducing risky sexual behavior is key to decreasing new HIV infections.  
The main focus of the program, especially the activity targeting the general population, will be on adults.  Since the GFATM Round 7 grant is providing substantial resources for youth-related prevention activities, and since USG HIV/AIDS funding in Malawi is limited, the USG seeks to provide support that is complementary, in order to maximize the impact of PEPFAR funds.  A focus on adults also reflects the pattern of HIV infection in Malawi; the majority of people living with HIV are over age 25, and most new infections probably occur in this age group.  

Rationale for two separate awards:  The decision to make two separate awards reflects the need to adopt distinct prevention strategies for the general population and for population segments and venues with high prevalence of risky sexual behavior: 

1	In a generalized epidemic such as in Malawi, there is a high average risk of infection through sexual intercourse and a need for HIV prevention programs among virtually all population segments.  A key challenge is to mobilize local communities to adopt fundamental changes in social, cultural, and gender norms and in the environments in which sexual behavior occurs.  Such large-scale normative change, especially relating to multiple and concurrent partners, is key to support changes in individual behavior.
  
2	At the same time, increased availability and promotion of condoms, as well as intensified risk reduction counseling, are needed for those population subgroups and settings with very high levels of risk behavior.  These include, but are not limited to, women engaging in commercial and informal transactional sex; men in mobile occupations with disposable income; and the venues where they go to meet sexual partners.  

D.  Strategic Principles  

The two new activities should incorporate a set of cross-cutting strategic principles:

1	Scale and Coverage:  The level of USG HIV/AIDS assistance in Malawi is modest relative to Malawi’s population size and geographic area, and the severity of its epidemic.  The choice of programmatic strategies needs to take into account the need to deploy these modest resources strategically for the greatest possible impact on HIV transmission, including maximizing geographic and population coverage.  

2	Epidemiological Relevance:  Both new prevention programs should develop programmatic strategies and target resources based on relevant quantitative and qualitative data about the AIDS epidemic in Malawi.  This should include a sharp focus on the populations, geographic areas and behavioral drivers most salient to the epidemic.  The program for adults in the general population should incorporate a greater emphasis on reducing multiple partners and concurrency, while also providing education about consistent and correct condom use.  The program targeting high-risk behaviors should incorporate a stronger emphasis on condoms, with the emphasis on and content of partner reduction interventions tailored to specific audiences. 

3	Best Practice Interventions:  The activities should incorporate basic principles of high quality behavior change programming.  Interventions should be data-driven and based on formative research and behavioral theory.  They should have sufficient flexibility to allow for modification over the life of the project based on new epidemiological and program monitoring data as well as implementation experience.  To the extent feasible, programs should adapt and replicate evidence-based program models from similar settings.  Behavior change activities should incorporate linked, multi-level interventions with systematic approaches to providing adequate “dose” and “intensity.”  Especially for the general population, the emphasis should be on changing social norms as well as individual behaviors.

4	Integration and Linkages:  Activities should strengthen referrals between prevention and services such as HIV counseling and testing (CT) and post-exposure prophylaxis (PEP).  Prevention education should also be integrated into other HIV and health services, such as prevention of mother to child transmission (PMTCT), care and support, and anti-retroviral therapy (ART) where appropriate.  Integration into other services should be tailored to different audiences—e.g., discordant couples, HIV positive and negative individuals, etc.   

5	Alcohol and Other Substance Abuse:  Prevention interventions for the general population should integrate sensitization to the role of alcohol and other substance abuse in disinhibition and increased risk behavior.  More intensified counseling about alcohol and substance use will be needed with higher risk populations, such as patrons of bars, shebeens, and nightclubs.  The program should explore the potential to create safer environments through innovative structural interventions with local communities and national authorities.  

6	HIV-Related Stigma and Discrimination:  Strategies to reduce stigma and discrimination against people living with HIV should be integrated across the range of proposed approaches.  The most effective and sustainable responses to HIV/AIDS foster open dialogue and participation at the personal and community levels. Activities should incorporate an emphasis on strengthening involvement of persons living with HIV, and the organizations that represent them, in both advocacy and implementation—a particularly effective strategy in confronting stigma.  

7	Gender:  Societal expectations and norms about appropriate male and female behaviors, characteristics, and roles profoundly shape the epidemic in Malawi. Interventions should be designed to address underlying gender dynamics and norms that increase vulnerability to HIV infection for both men and women.

8	In-Country Partnerships:  Both programs are expected to work in partnership with Malawian organizations and to strengthen the technical capacity of in-country partners to implement effective prevention interventions. Such partners include district assemblies, local governments, civil society, faith-based organizations (FBOs), the private sector, traditional leaders, etc. Opportunities to leverage resources and increase coverage through public-private partnerships are encouraged. Approaches to developing technical expertise should emphasize newer partnership models between peer organizations with a shared vision and experience.  The programs should mentor selected centers of excellence to assume a technical leadership role at the national level.  

These principles will be integrated across the technical approaches supported under each of the two cooperative agreements.  These interventions and expected outcomes are further elaborated in the following sections.  In these sections, the RFA refers to the activity to address prevention for adults in the general population as “Sector I,” and to the activity to address populations and settings with higher risk behavior as "Sector II".  The Sector-specific Program Description information is as follows:

Sector I:  Prevention for Adults in the General Population

A.  Program Objectives and Technical Interventions

Behavior change communication is most effective when it goes beyond a focus on the individual to address normative and contextual factors and to create a supportive social environment, especially if such changes are to be sustained over time.  In Malawian society, where multiple and concurrent sexual partnerships are widely socially accepted, communities need to collectively recognize the risks associated with these partnerships, and to reaffirm the protection conferred by mutual faithfulness to partners who are both HIV-negative.  There is also a need in Malawi to strengthen the quality of prevention interventions—and ensure consistency of messaging by different partners—to maximize the potential to bring about measurable normative and behavioral change, as well as reductions in HIV transmission.  

In an epidemic with high rates of HIV prevalence and discordant partnerships, prevention programs also need to promote the importance of knowing one’s own and one’s partner’s sero-status, and to strengthen referrals to other HIV and health services, especially HIV counseling and testing (CT).  Moreover, to take advantage of every opportunity to promote preventive behaviors, other HIV and health services need to more systematically integrate and strengthen prevention counseling, with messages tailored to specific settings and individual circumstances.  

Accordingly, the prevention program for adults in the general population will adopt the  following, mutually supportive strategies: (1) influencing social norms, attitudes, and values that contribute to the spread of HIV; (2) deepening individual understanding of HIV risk and self-efficacy to prevent HIV infection; (3) strengthening Malawian capacity to lead the national response and to harmonize the delivery of high-quality HIV prevention services at scale; and (4) linking HIV prevention interventions with other HIV and health services.  Collectively, these will contribute to the over-arching strategic objective: Increased adoption of safer sexual behaviors by Malawian adults.

The applicant should focus proposed strategies on the program objectives and associated activities described below.  

Program Objective 1 
Communities mobilized to adopt social norms, attitudes, and values that reduce vulnerability to HIV                                
To effect change in Malawian social, cultural, and gender norms that contribute to HIV transmission, the Sector I program will support a comprehensive, multi-level approach that combines linked, mutually reinforcing, national and local mass media, community mobilization, and interpersonal communication interventions.  These efforts will also be informed by a robust agenda of formative research.  The primary thrust of these media campaigns should be to discourage multiple and concurrent partnerships and affirm the benefits of mutual monogamy for partners who both test negative.  Media programs will give special emphasis to male norms and attitudes that drive high rates of partner change.  

Sector I will also reach women, particularly those vulnerable to poverty, with tailored messages that emphasize the risks intrinsic to transactional sexual relationships.  It will address the barriers to avoiding and ending such relationships, including power dynamics and inequitable gender norms.  Complementary media themes will include the importance of knowing one’s own and one’s partner’s HIV status; accurate information about condoms; the benefits of condom use for sero-discordant couples; information about where condoms can be obtained; sensitization to the role of alcohol and other substance abuse in disinhibition; and reducing stigma and discrimination.  

Media activities will be closely linked to community mobilization activities that further reinforce these normative messages (and to interpersonal communication strategies addressed under Program Objective #2.)  The Sector I program will engage local chiefs, religious leaders and faith-based groups, and other influential individuals in the community as sources of normative authority and train them in advocacy for prevention.  The program will support and involve these opinion leaders in structured prevention interventions, drawing on proven models from other settings for possible adaptation and replication.  The program should also build on existing networks and structures at the community level, such as men’s and women’s groups associated with faith-based institutions or other social groups (e.g., farmers’ clubs, women’s clubs, etc.) to stimulate dialogue about HIV prevention at the community level.  

Stigma reduction will be another area of emphasis for efforts to promote normative change.  In addition to media approaches, the Sector I program will raise awareness and galvanize action at the community level by employing people living with HIV as spokespeople and peer educators.  Community mobilization efforts will also reduce stigma towards those living with HIV by stimulating open dialogue about such concepts as positive living, staying healthy, and reducing onward transmission of HIV.  

Formative research regarding the frequency, extent, and risk of traditional cultural practices such as wife inheritance and sexual cleansing will be used as a basis for developing targeted messages and community outreach activities to discourage practices found to be especially risky.  Sector I will also support advocacy and policy development activities targeting national and community leaders, including traditional leaders, to discourage these practices along with sexual coercion and violence.

Program Objective 2 
Individual perception of HIV risk and self-efficacy to prevent HIV infection strengthened

Malawians demonstrate high awareness of the modes of HIV transmission and the risks associated with extra marital partners, yet for the most part, do not show corresponding reductions in risky behavior.  Rather, they attempt to manage these risks by being more selective in their choice of additional partners, opting for those whom they perceive as unlikely to have HIV.  The most frequent reason for not using a condom cited in behavioral surveys is that the respondent trusts his/her partner and does not think that he/she has HIV.  Studies also indicate that Malawians espouse a fatalistic attitude, believing that they will acquire HIV regardless of whether they engage in high-risk sex or adopt safer practices. 

In addition to promoting normative change, the Sector I program will employ proven interpersonal communication strategies such as peer education, as well as innovative new approaches, to increase individual risk perception.  Particular emphasis should be placed on promoting openness and the discussion of sexual behavior within both marriage and casual sexual partnerships, as well as dispelling notions that certain populations are at low risk of having HIV.  To address the fatalistic attitudes many Malawians have towards HIV, the Sector I program will develop concrete tools and identify specific actions that individuals can take to prevent HIV infection.  Individual behavior change approaches should be complementary to and use messages that harmonize with the community and national level campaigns surrounding partner reduction and condom use.  

Based on experience in other Southern African countries, alcohol and substance use likely play a significant role in HIV transmission in Malawi.  The program will carry out formative research on alcohol use and other drugs (especially marijuana) in Malawi.  This research will be used to develop interventions to sensitize individuals to the effects of substance use in increasing risk behavior. 

Formative research on key segments within the adult population (e.g. men, women, married couples, different occupational groups, divorced and widowed individuals, etc.) should be the basis for developing systematic community-level interventions with focused messages tailored to different populations.  The program should explore varied strategies for reaching diverse adult populations with HIV prevention education.  These could potentially include: deepening collaboration with faith-based organizations and other community structures; collaboration with family planning, antenatal and child health services to reach women of reproductive age; and expanding workplace interventions to reach men with comprehensive education about mutual monogamy and consistent condom use.  The program will also ensure that condoms are readily available to these populations.

The program should test innovative ways to reach and support persons living with HIV and discordant couples, including counseling about consistent condom use.  Prevention education and income earning opportunities for widows and divorced women should be additional priorities.  Where feasible, the program should establish links to other development programs that promote alternative livelihoods for women.

Program Objective #3 
Malawian institutions supported to lead the national response to HIV prevention and to harmonize high quality HIV prevention services at scale 

Provision of technical leadership and coordination of implementing partners are hallmarks of strong national prevention programs.  Technical leadership is essential to strengthen the quality and robustness of behavior change interventions (i.e., that they incorporate evidence-based approaches, established best practices, sufficient dose and intensity, etc.)  This in turn is critical to the effectiveness of prevention programs.  Close coordination of HIV prevention activities is important to ensure consistency of prevention messages across partners, and to exploit potential synergies between mass media and interpersonal communications.  Coordination is also important to ensure adequate coverage of priority populations and geographic areas, to avoid duplication and overlap, and to ensure the efficient use of available resources.  

As the USG/Malawi prevention portfolio expands, the Sector I program will support the USG country team in involving prevention partners in a community of practice to share knowledge, skills and experience.  The program will promote synergies across USG-funded prevention partners by ensuring high quality programming and unified messaging.  The program will provide technical leadership, for example, promoting the use of internationally-established best practices in such areas as peer education and workplace programs.  It will facilitate sharing of quality program tools and materials, and promote collaboration across USG partners at the national, district and community level.  

The program should also support key Malawian institutions in providing leadership and coordination for prevention efforts.  This role could potentially involve such tasks as helping to convene partners on a regular basis in order to harmonize prevention messages, and to exchange implementation successes, challenges and lessons learned.  Particularly, the program should coordinate with the District Assemblies who are engaged in implementing NAC grants, including the sharing of tools and best practices and building capacity at the district level. Engagement with the private sector should be explored, including workplace prevention strategies.  The program could assist in mapping prevention interventions relative to epidemic priorities, and develop networks of service delivery organizations at the local level to facilitate cross-referrals.  The Sector 1 program could also disseminate new epidemiological data, formative research and evaluation findings to prevention partners.  

Program Objective #4  
HIV prevention interventions strategically linked with other HIV and health services

In Malawi, the rapid scale up of HIV care and treatment services creates opportunities to integrate prevention messages within other HIV services such as PMTCT, care and support, anti-retroviral therapy, and HIV counseling and testing (CT).  More nuanced messages are also needed for different audiences; for example, different counseling strategies may resonate with HIV-positive and HIV-negative individuals, and men and women.  Prevention counseling in clinical settings, especially with services such as counseling and testing that involve a one-time contact with a health facility, also needs reinforcement at the community level.  

To support messaging about the importance of testing and knowing one’s sero-status, the Sector I program will establish strong linkages to CT services.  For example, it could work more closely with USG CT partners to conduct joint testing and prevention activities.  The USG is also supporting several NGOs who are engaged in activities such as PMTCT, home-based care and support teams, and post-test support clubs.  The Sector I program should support these NGOs in incorporating robust prevention counseling and best practice interpersonal communications into their programs, especially activities for prevention with positives (PWP) and discordant couples.  The program should also establish effective referral systems where capacity for true integration of services is limited.

USG sub-partners providing clinic-based services, often with community linkages, also provide a vehicle to broaden access to prevention technologies.  In particular, they have the potential to increase knowledge, availability and use of prophylaxis for HIV-positive pregnant women, and post-exposure prophylaxis (PEP) for key target populations such as rape victims and sex workers.  The Sector I program should develop strong linkages with these partners and work to broaden access to new prevention technologies.

B.  Geographic Focus

The mass media component of the Sector I prevention program is expected to be national in scope.  Since USG resources are probably insufficient to provide national coverage of more intensive (and high cost) community outreach and interpersonal approaches, the Sector I program will need to focus these activities in selected geographic areas.  Applicants should propose how they plan to use USG resources strategically, given resource limitations and epidemic patterns, in order to achieve the broadest possible coverage and impact.  Criteria for selecting geographic areas of focus should include localities with the highest HIV prevalence, especially the urban and rural South and urban areas in other regions; rural and peri-urban areas where data show a rising trend in HIV prevalence; localities currently lacking prevention interventions; and areas where partners can effectively build on current USG-funded efforts.    

C.  Program Management and Key Personnel

(a)   Program Management

The Cognizant Technical Officer (CTO) at USAID/Malawi will provide oversight and direction for the Sector I program, including approval of annual work plans and international travel.  S/he will be the primary USAID contact for the implementing partner.  The workplans will form the basis for joint annual management reviews by USAID and project staff to review program directions, achievement of the prior year work plan objectives, major management and implementation issues, and to make recommendations for any changes as appropriate.  USAID will conduct a mid-term assessment or process evaluation to review overall progress, assess the continuing appropriateness of the program design, and identify any factors impeding effective implementation.  This assessment will be used to make changes if necessary, and to help determine appropriate future directions.  

(b)  Key Personnel 

The Sector I program for prevention among adults in the general population will have expertise in and access to specialists in behavior change programming in high prevalence settings to support the program objectives highlighted in the RFA.  The staffing pattern will reflect the minimum number of highly experienced technical staff sufficient to manage and implement Sector I prevention activities under this award.  USAID’s intent is to have a sufficient but small core of full-time project staff in-country responsible for planning, implementing and assessing programs.  These staff should be supplemented by technical experts who can support in-country staff in the identification and application of best practice and innovative program models. The staffing level and pattern may be modified over time as necessary to provide effective support to the Sector I program as it evolves.

A total of up to four (4) key personnel are envisioned: Project Director; Deputy Project Director (optional); Behavior Change Communications Advisor; and Monitoring, Evaluation and Research Advisor.  Each key personnel position requires USAID approval, as noted in the substantial involvement provisions.  All key personnel should be full-time positions, resident in Malawi. A required attribute for all key personnel includes strong management, interpersonal, communication and facilitation skills, and the ability to work closely as a team and to network with a wide range of stakeholders.  Detailed descriptions of Key Personnel can be found in Section IV: Application and Submission Instructions.

D.  Planning, Monitoring and Reporting 

Start-up and Transition Plan:  Within the first two weeks of notification of the award, the Sector I implementing partner (with its sub-partners if any) will prepare and submit a start-up and transition plan for USAID approval.  This plan should describe a schedule for mobilizing and staffing the project over the initial three months following the award, as well as a strategy to ensure a smooth transition for existing USG-funded prevention activities.  

Annual Work Plans:  Prior to the end of that three-month period, and annually thereafter, the partner will submit an annual work plan, and a detailed budget estimate associated with that plan, for USAID approval.  This work plan will identify the activities to be carried out and results to be achieved in the coming year, the associated level of effort, and funding sources to be used for that work.  It will also describe how the Sector I program plans to work with other USG-funded projects in-country as well as with other donors and in-country partners.   The time-frame for annual work plans will be synchronized with the USG fiscal year and PEPFAR planning and reporting cycle, October 1 to September 30.  In the first and last years of the project, the partner will develop a partial year workplan that is still synchronized with the PEPFAR planning and reporting time-frame, but also reflects the start and end dates of the project. 

Performance Monitoring Plan:  In addition, prior to the end of the first three-month mobilization period, the partner will submit for USAID approval a performance monitoring plan (PMP) covering the life-of-the project, which includes specific, detailed plans to document, monitor and evaluate program performance. The PMP will establish specific, quantifiable performance indicators and targets for the overall objectives included in the original proposal and activities in annual work plans; describe the establishment of monitoring systems to measure project progress against overall objectives; and present a plan for data collection and measurement of overall project outcomes and results, including collection of baseline data, and for the use of data collected by the project to improve program planning and performance.  

The implementer will not be expected to report on biological outcomes, but will be expected to measure changes in knowledge, attitudes, norms and behaviors.  At the outcome level, in geographic areas of focus, the PMP should pay special attention to measuring changes in social norms at the collective level as well as changes in individual knowledge, attitudes and behaviors.  The connections between Sector I activities and these outcomes and impacts should be explicitly identified in the life-of-project PMP.  

The PMP should demonstrate understanding of PEPFAR indicators and reporting requirements, including how data will be collected, verified and reported to document project progress.  Data quality is a critical component of the Emergency Plan, and applicants must develop systems to ensure data quality and be prepared for data quality audits.  

Reporting:  The implementing partner will report semi-annually and annually in relation to the annual work plan and the originally submitted proposal.  Again, the reporting cycle will be synchronized with the PEPFAR reporting cycle.  Semi-annual reports should cover the period October 1 to March 31 and be submitted no later than April 20.  Annual reports should cover the period October 1 to September 30 and should be submitted no later than October 20.  

Implementing partners must report on the required indicators relevant to their program area, as laid out by the Office of the Global AIDS Coordinator (OGAC).  These indicators are discussed in the document “The President’s Emergency Plan for AIDS Relief: Indicators Reference Guide, FY 2007 Reporting/FY 2008 Planning,” dated July 2007, available at http://www.pepfar.gov/documents/organization/81097.pdf.   Since the USG is now revisiting these indicators in preparation for the second phase of PEPFAR, applicants should expect revisions in required program indicators and reporting requirements during the lifetime of the award.

The global indicators should however be considered a minimum reporting requirement.  The PMP should specify more comprehensive and complementary indicators that better capture program outputs and outcomes specific to the Sector I program.  

Implementing partners must provide periodic updates on project status through regular face-to-face meetings with the project CTO on a schedule to be agreed upon by the Project Director and the CTO. 

All financial reporting will follow standard USAID guidelines for reporting expenditures associated with all activities under the program.  
Sector II: Prevention for Populations and Settings with High Risk Behaviors

A.   Program Objectives and Technical Interventions

Even in highly generalized epidemics, some population sub-groups and localities contribute disproportionately to HIV transmission.  These sub-populations often represent a significant source of new infections, and historically served to ‘bridge’ transmission to the general population.  Intensified HIV prevention activities targeting populations and venues where high risk sexual behavior is occurring complement interventions for the general population, and are a critical component of a comprehensive prevention program. 

In the Malawian context, it is important to move beyond just a traditional definition of ‘most at-risk populations’ to include a broader sub-set of the general population that are at increased risk of HIV transmission due to unsafe sexual behavior.  For example, there exist other important but more difficult to demarcate groups such as women engaging in transactional sex and ‘men with money’ who may be missed opportunities in terms of targeted programming.  Subsequent reference to high-risk or at-risk populations in this RFA will include this broader definition of sub-groups engaging in high risk sexual behaviors. 

In Malawi, the populations assumed to be at greatest risk for HIV exposure include mobile populations (migrant workers, long-distance truck drivers, etc.), the uniformed forces (including the police), fishermen, teachers, sex workers and others.  The average HIV prevalence for the high-risk groups identified in the draft 2006 BSS is 25%.  Prevalence ranged from 5% among female estate workers to 68% among female sex workers. The data confirm the need for systematic, data-driven prioritization of target groups. In particular, intensified prevention coverage of female sex workers should be a critical component of HIV prevention efforts.  Moreover, there has been no data-driven estimation of size or characterization of prevention coverage for these groups.  The contribution of men who have sex with men (MSM) to HIV transmission in Malawi is also unclear.  There has been minimal systematic research and discourse about this population, and MSM were not included in the most recent draft BSS. 

Interventions targeting high-risk groups have been clearly linked to decreases in HIV prevalence in the general population in some countries in Asia.  The impact of such interventions on overall HIV prevalence is less clear in the generalized epidemics in Southern Africa.  However, targeted outreach has demonstrated success in raising awareness of risk and reducing risky behavior; in particular, it has been associated with increased condom use, and to some extent, with decreases in incidence of sexually-transmitted infections.

To ensure effective prevention, it is imperative that interventions are implemented with appropriate coverage and intensity, targeting the populations and locales where exposure is highest. Accordingly, the Sector II prevention program targeting high risk populations and settings will adopt the following, mutually supportive strategies: (1) conducting mapping and other analytical work to identify population sub-groups and venues with high levels of risk behavior and to understand their underlying dynamics; (2) expanding and intensifying targeted outreach to these populations and venues to promote condom use and provide risk reduction counseling; (3) supporting social marketing of condoms to ensure their wide availability, together with targeted condom distribution to at-risk populations and venues; and (4) linking prevention interventions for these populations to comprehensive HIV and health services.  Collectively, these will contribute to the over-arching strategic objective: Increased adoption of safer sexual behaviors by Malawian adults.

The applicant should focus proposed strategies on the program objectives and associated activities described below.  

Program Objective 1 
Populations and settings with high prevalence of risky sexual behaviors and their dynamics identified

A high priority is to systematically identify, characterize and prioritize populations that have high levels of risky behavior, and the settings where they go to actively seek out new sexual partners.  In a generalized epidemic, it is important to go beyond geographic prevalence patterns and to adapt prevention efforts to the target groups.  For example, interventions directed towards female sex workers will differ from those targeting women engaging in transactional sex with regards to locales, underlying social factors and social acceptance.  For effective matching of interventions to specific risk behavior patterns, it is also critical to understand the dynamics that motivate these interactions.  

At the outset of the project, the Sector II program should carry out a mapping exercise.  These data should be analyzed in concert with the growing body of quantitative and qualitative HIV data in Malawi that contributes to overall understanding of the epidemic, especially data on higher-risk populations in the 2006 BSS.  Given limited USG resources, systematic mapping and identification of coverage gaps is critical for setting prevention priorities.  Mapping should be supplemented by formative research to fill gaps in knowledge, for example, to better understand MSM behavior in Malawi.

Methodologies for mapping venues where people gather and meet new sexual partners are available from other countries.  One such example, developed by MEASURE Evaluation, is the PLACE (Priorities for Local AIDS Control Efforts) method, which has been used in many countries, including in some generalized epidemics, and two Malawian districts.  PLACE is a rapid assessment tool to locate and characterize settings where people meet partners, followed up with site visits to gather data on partnership formation rates; dynamics of partnership formation; coverage of prevention activities, including the availability of condoms; and clientele willingness to participate in HIV/AIDS programs.  Other organizations have also developed methodologies/tools for characterizing, mapping and estimating the size of target groups in various contexts and these should be explored for possible adaptation to Malawi.  Several resources to support these types of exercises are available including Estimating the size of Populations at Risk for HIV: Issues and Methods (UNAIDS/WHO Working Group on HIV/AIDS/STI Surveillance, 2003), Evaluating Programs for HIV/AIDS Prevention and Care in Developing Countries: A Handbook for Program Managers and Decision Makers (Family Health International, 2001) and others.
 
The mapping exercise, together with an understanding of the dynamics of sexual behavior, should be the basis for planning program interventions.  The mapping process should be repeated periodically to assess coverage of program interventions and to update the information.  The exercise should create a framework for more responsive programming in high-transmission settings. 

Program Objective 2
Targeted condom promotion and risk reduction counseling for high risk populations and venues expanded

Few HIV prevention interventions are typically found at venues that promote risky sexual behavior, resulting in many missed opportunities to prevent HIV transmission.  Systematic mapping of population sub-groups and sites presents an opportunity to capture specific populations whose behaviors put them at an increased risk of HIV infection. Targeted outreach and interpersonal communication activities should be expanded and intensified to respond to the entire continuum of risk involving mobile populations, men with money, women engaging in informal transactional sex and, in particular, formal sex work.

The draft BSS 2006 shows that condom use continues to be low and inconsistent among groups engaging in sex with multiple, concurrent partners. A frequent reason given for lack of consistent condom use is trust of the partner, failure to see the need for condoms, and dislike of condoms. Therefore, prevention programs targeting these populations should provide comprehensive and tailored HIV education including promotion of consistent condom use, partner reduction, and more realistic risk perception. Condom use should be promoted through improved self-efficacy, including skills relating to condom negotiation and use. Both interpersonal and mass media interventions need to address misconceptions and distrust about the effectiveness of condoms.  Risk reduction counseling should also discuss the role of alcohol and other substance use in disinhibition and increased risk behavior, especially with patrons of nightclubs, bars and shebeens. 

The Sector II program should utilize both innovative and proven strategies to deploy these interventions in venues where at-risk groups work and meet sexual partners.  Coverage and intensity of efforts among female sex workers should be improved.  Since groups such as male clients of sex workers and migrant workers serve as a bridge for HIV transmission to the general population, interventions tailored to at-risk men should be strengthened.  Special consideration should be given to mobile interventions that could potentially better respond to the lifestyles and prevention needs of migrant workers, long-distance truck drivers and other mobile populations. The program should engage local and national authorities in dialogue about the potential for structural interventions to create safer environments (regulating hours for bars, etc.).

It is essential that these efforts be developed in partnership with local organizations, especially NGOs that represent, reach and serve at-risk and hard-to-reach populations.  The program should build their capacity to scale up outreach and interpersonal communications that are sensitive to the needs of these populations, and to the contextual factors that influence their behaviors.  Peer education, a successful strategy for reaching high-risk groups in a variety of settings, has not been fully exploited in Malawi and should be expanded.  Involvement of peer leaders and networks in designing and promoting prevention interventions, and systematic training of members of these groups as peer educators and outreach workers, can improve the relevance of prevention efforts, enhance access to these populations, and establish trust.  

Program Objective 3
Availability of condoms expanded for both the general population and for high risk populations and venues 

A key priority in promoting safer sexual behavior is ensuring availability of affordable and easily accessible condoms.  Condoms in Malawi are available free through the Ministry of Health.  Two different condoms are also marketed at subsidized prices by PSI and another, non-USG-funded NGO.  The true commercial market appears very small.  

Public sector condoms are procured by the United Nations Population Fund (UNFPA) and the GFATM, as well as by USAID.  Over the last five years, the supply of free condoms distributed by the MOH has increased from 7-8 million to almost 50 million condoms annually.  These condoms are distributed at health facilities as well as venues where HIV transmission is assumed to be high. The USG supplies PSI’s socially marketed condoms, which are primarily sold to 15-24 year olds through retail outlets and NGO networks; sales increased to 10 million pieces in 2006.  PSI socially-marketed condoms continue to meet a need for condoms that are affordable and widely available through convenient retail networks.  However, demand appears to be stagnating owing to the plentiful supply of free MOH condoms.  A pilot project funded by UNFPA to include social marketing of female condoms has also begun, targeting family planning clinics.

The Sector II program will be a two pronged approach. First, the program will continue the distribution, sale and promotion of subsidized condoms through retail outlets and NGOs, and expand these activities to underserved areas.  Condom supplies will be separately procured by USAID and are not included in Sector II funding, but the Sector II program will pay for repackaging, promotion and distribution costs of these condoms.  Social marketing of condoms will include promotional and media efforts that build on demand generation and behavior change activities at all levels. In addition to sales promotion, media activities should consider non-brand-specific campaigns to address misconceptions and negative attitudes towards condoms.  In light of limited resources, the Sector II program should focus on streamlining distribution channels for subsidized condoms, while prioritizing targeted outreach to increase condom use and intensified condom distribution in high-risk settings.

Second, making condoms readily available in the places where people meet sexual partners is critical to increase the probability that people will use them, particularly for high-risk subgroups.  Based on the systematic mapping of high-transmission areas, the behavioral determinants of high-risk subgroups, and identification of venues, the Sector II program should expand the reach of targeted condom sales and increase their penetration in high-risk settings.  Condom social marketing should also be linked to outreach activities promoting consistent condom use and realistic risk perception and partner reduction, as well as alcohol and drug abuse (see Program Objective 2).  

To the extent that condoms are stigmatized by their close association with high risk populations, special consideration should be given to mitigating this stigma.  One potential strategy to achieve this may be brand segmentation of condoms for different populations, in particular, developing a new condom brand targeting couples in the general population.  

The introduction of a large number of free condoms on its own is not enough to influence the demand for and use of condoms. The influx of free public sector condoms provides an opportunity to use marketing capacity to make these condoms more attractive to persons engaging in high-risk behaviors.  Although current social marketing efforts are distributing condoms in 18 ‘hot spots’ throughout Malawi, linking condom availability to targeted outreach and education has been more difficult, and new efforts should be undertaken in this area.  The effectiveness of strategies for distributing socially-marketed female condoms should also be evaluated, and strategies developed to increase their availability and acceptability, particularly among at-risk female populations.

Program Objective 4
Linkages and referrals to comprehensive HIV and health services established and strengthened for high risk populations 

Prevention services for populations engaging in risky behaviors should be part of a more comprehensive package of services, including management of sexually-transmitted infections (STIs), CT, referral to care and treatment, and family planning and reproductive health.  These services could be provided by way of integration on-site or through strong referral linkages to other facilities, but should be accessible to the targeted populations where they live and/or work.  Attention should be given to strategies to decrease health services provider biases and stigma when working with populations engaging in high-risk behaviors.

The Sector II program should also explore mobile HIV testing in priority locales as a strategy to bring services closer to their clientele.  Availability and quality of STI services, and options for expanding and improving these services and their accessibility to high-risk populations, should also be assessed.  In developing linkages to comprehensive services, the Sector II program should give special attention to local faith-based organizations (FBOs) and community-based organizations (CBOs) that provide health and social services, and that may already have established relationships with priority populations.  In addition, since economic vulnerability puts women in a fragile position to negotiate condom use, women who engage in transactional sex should be linked to alternative livelihood strategies and self-efficacy interventions.

B.   Geographic Focus

The condom social marketing component of the Sector II prevention program, involving the distribution, sale and promotion of subsidized condoms through retail outlets and NGOs, is expected to be national in scope.  In addition, resources permitting, the expectation of the USG is that more targeted outreach to provide condom promotion and risk reduction counseling will expand to cover priority population segments engaging in high-risk behaviors, venues and hot spots in the country, and that the quality of this outreach will also be strengthened.  Applicants should propose how they plan to use USG resources strategically, given resource limitations and epidemic patterns, in order to achieve the broadest possible coverage and impact.  These plans may need to be modified based on findings from the initial mapping of high risk populations and venues.  

C.  Program Management and Key Personnel

(a)   Program Management

The Cognizant Technical Officer (CTO) at USAID/Malawi will provide oversight and direction for the Sector II program, including approval of annual work plans and international travel.  S/he will be the primary USAID contact for the implementing partner.  The workplans will form the basis for joint annual management reviews by USAID and project staff to review program directions, achievement of the prior year work plan objectives, major management and implementation issues, and to make recommendations for any changes as appropriate.  USAID will conduct a mid-term assessment or evaluation to review overall progress, assess the continuing appropriateness of the program design, and identify any factors impeding effective implementation.  This assessment will be used to make changes if necessary, and to help determine appropriate future directions.  

(b)  Key Personnel 

The Sector II program will have expertise in and access to specialists in programming for populations and venues where high risk behaviors take place, in order to support the program objectives highlighted in the RFA.  The staffing pattern will reflect the minimum number of highly experienced technical staff sufficient to manage and implement Sector II prevention activities under this award.  USAID’s intent is to have a sufficient but small core of full-time project staff in-country responsible for planning, implementing and assessing programs.  These staff should be supplemented by technical experts who can support in-country staff in the identification and application of best practice and innovative program models. The staffing level and pattern may be modified over time as necessary to provide effective support to the Sector II program as it evolves.  

A total of up to five (5) key personnel are envisioned: Project Director; Deputy Project Director (optional); Social Marketing Advisor; Targeted Outreach Advisor; and Monitoring, Evaluation and Research Advisor.  Each key personnel position requires USAID approval, as noted in the substantial involvement provisions.  All key personnel should be full-time positions, resident in Malawi. A required attribute for all key personnel includes strong management, interpersonal, communication and facilitation skills, and the ability to work closely as a team and to network and communicate with a wide range of stakeholders.  Detailed descriptions of the key personnel can be found in Section IV: Application and Submission Instructions.

D.   Planning, Monitoring and Reporting 

Start-up and Transition Plan:  Within the first two weeks of notification of the award, the Sector II implementing partner (with its sub-partners if any) will prepare and submit a start-up and transition plan for USAID approval.  This plan should describe a schedule for mobilizing and staffing the project over the initial three months following the award, as well as a strategy to ensure a smooth transition for existing USG-funded social marketing and high-risk group prevention activities.  

Annual Work Plans:  Prior to the end of that three-month period, and annually thereafter, the partner will submit an annual work plan, and a detailed budget estimate associated with that plan, for USAID approval.  This work plan will identify the activities to be carried out and results to be achieved in the coming year, the associated level of effort, and funding sources to be used for that work.  It will also describe how the Sector II program plans to work with other USG-funded projects in-country as well as with other donors and in-country partners.  The time-frame for annual work plans will be synchronized with the USG fiscal year and PEPFAR planning and reporting cycle, October 1 to September 30.  In the first and last years of the project, the partner will develop a partial year workplan that is still synchronized with the PEPFAR planning and reporting time-frame, but also reflects the start and end dates of the project.

Performance Monitoring Plan:  In addition, prior to the end of the first three-month mobilization period, the partner will submit for USAID approval a performance monitoring plan (PMP) covering the life-of-the project, which includes specific, detailed plans to document, monitor and evaluate program performance. The PMP will establish specific, quantifiable performance indicators and targets for the overall objectives included in the original proposal and activities in annual work plans; describe the establishment of monitoring systems to measure project progress against overall objectives; and present a plan for data collection and measurement of overall project outcomes and results, including collection of baseline data, and for the use of data collected by the project to improve program planning and performance.  

The implementer will not be expected to report on biological outcomes, but will be expected to measure changes in knowledge, attitudes and behaviors.  At the outcome level, the PMP should pay special attention to measuring changes in individual knowledge, attitudes and behaviors.  The connections between Sector II activities and these outcomes and impacts should be explicitly identified in the life-of-project PMP.  

The PMP should demonstrate understanding of PEPFAR indicators and reporting requirements, including how data will be collected, verified and reported to document project progress.  Data quality is a critical component of the Emergency Plan, and applicants must develop systems to ensure data quality and be prepared for data quality audits.  

Reporting:  The implementing partner will report semi-annually and annually in relation to the annual work plan and the originally submitted proposal.  Again, the reporting cycle will be synchronized with the PEPFAR reporting cycle.  Semi-annual reports should cover the period October 1 to March 31 and be submitted no later than April 20.  Annual reports should cover the period October 1 to September 30 and should be submitted no later than October 20.

Implementing partners must report on the required indicators relevant to their program area, as laid out by the Office of the Global AIDS Coordinator (OGAC). These indicators are discussed in the document “The President’s Emergency Plan for AIDS Relief: Indicators Reference Guide, FY 2007 Reporting/FY 2008 Planning,” dated July 2007, available at http://www.pepfar.gov/documents/organization/81097.pdf.   Since the USG is now revisiting these indicators in preparation for the second phase of PEPFAR, applicants should expect revisions in required program indicators and reporting requirements during the lifetime of the award.

The global indicators should however be considered the minimum reporting requirement.  The M&E plan should specify more comprehensive and complementary indicators that better capture program outputs and outcomes specific to the Sector II program.  

Implementing partners must provide periodic updates on project status through regular face-to-face meetings with the project CTO on a schedule to be agreed upon by the Project Director and the CTO. 

All financial reporting will follow standard USAID guidelines for reporting expenditures associated with all activities under the program. 

 
SECTION D - REPRESENTATIONS/CERTIFICATIONS REQUIRED FOR COOPERATIVE AGREEMENT TO U.S. NGO

_______________________________________________
CERTIFICATIONS, ASSURANCES, AND OTHER STATEMENTS OF THE RECIPIENT (MAY 2006)
 
NOTE: When these Certifications, Assurances, and Other Statements of Recipient are used for cooperative agreements, the term "Grant" means "Cooperative Agreement". 

PART I - CERTIFICATIONS AND ASSURANCES

1.  ASSURANCE OF COMPLIANCE WITH LAWS AND REGULATIONS GOVERNING NON-DISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS

Note: This certification applies to Non-U.S. organizations if any part of the program will be undertaken in the United States.
  
     (a)   The recipient hereby assures that no person in the United States shall, on the bases set forth below, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under, any program or activity receiving financial assistance from USAID, and that with respect to the Cooperative Agreement for which application is being made, it will comply with the requirements of:
  
       (1)  Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352, 42 U.S.C. 2000-d), which prohibits discrimination on the basis of race, color or national origin, in programs and activities receiving Federal financial assistance;
  
       (2)  Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which prohibits discrimination on 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 prohibits discrimination based on age in the delivery of services and benefits supported with Federal funds;
  
       (4)  Title IX of the Education Amendments of 1972 (20 U.S.C. 1681, et seq.), which prohibits discrimination on the basis of sex in education programs and activities receiving Federal financial assistance (whether or not the programs or activities are offered or sponsored by an educational institution); and
  
       (5)  USAID regulations implementing the above nondiscrimination laws, set forth in Chapter II of Title 22 of the Code of Federal Regulations.
  
     (b)  If the recipient is an institution of higher education, the Assurances given herein extend to admission practices and to all other practices relating to the treatment of students or clients of the institution, or relating to the opportunity to participate in the provision of services or other benefits to such individuals, and shall be applicable to the entire institution unless the recipient establishes to the satisfaction of the USAID Administrator that the institution's practices in designated parts or programs of the institution will in no way affect its practices in the program of the institution for which financial assistance is sought, or the beneficiaries of, or participants in, such programs.
  
     (c)  This assurance is given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts, property, discounts, or other Federal financial assistance extended after the date hereof to the recipient by the Agency, including installment payments after such date on account of applications for Federal financial assistance which was approved before such date.  The recipient recognizes and agrees that such Federal financial assistance will be extended in reliance on the representations and agreements made in this Assurance, and that the United States shall have the right to seek judicial enforcement of this Assurance.  This Assurance is binding on the recipient, its successors, transferees, and assignees, and the person or persons whose signatures appear below are authorized to sign this Assurance on behalf of the recipient.
    
2.  CERTIFICATION REGARDING LOBBYING
  
 The 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 the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal Cooperative Agreement, 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, or cooperative agreement.
  
   (2)  If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities,"  in accordance with its instructions.
  
   (3)  The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
  
 This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, United States Code.  Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
  
 Statement for Loan Guarantees and Loan Insurance
  
 The undersigned states, to the best of his or her knowledge and  belief, that:  If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. Submission of this statement is a prerequisite 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 not less than $10,000 and not more than $100,000 for each such failure.

3.  Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206)
  
 USAID reserves the right to terminate this Agreement, to demand a refund or take other appropriate measures if the Grantee is found to have been  convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140. The undersigned shall review USAID ADS 206 to determine if any certifications are required for Key Individuals or Covered Participants.
  
 If there are COVERED PARTICIPANTS: USAID reserves the right to terminate assistance to or take other appropriate measures with respect to, any participant approved by USAID who is found to have been convicted of a narcotics offense or to have been engaged in drug trafficking as  defined in 22 CFR Part 140.

4. CERTIFICATION REGARDING TERRORIST FINANCING IMPLEMENTING EXECUTIVE ORDER 13224
  
By signing and submitting this application, the prospective recipient provides the certification set out below:

1. The Recipient, to the best of its current knowledge, did not provide, within the previous ten years, 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.

2. 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, the Recipient will verify that the individual or entity does not (i) appear on the master list of Specially Designated Nationals and Blocked Persons, which list is maintained by the U.S. Treasury’s Office of Foreign Assets Control (OFAC) and is available online at OFAC’s website : http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf, or (ii) is not included in any supplementary information concerning prohibited 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, the Recipient also will verify that the individual or entity has not been designated by the United Nations Security (UNSC) sanctions committee established under UNSC Resolution 1267 (1999) (the “1267 Committee”) [individuals and entities linked to the Taliban, Usama bin Laden, or the Al Qaida Organization]. To determine whether there has been a published designation of an individual or entity by the 1267 Committee, the Recipient should refer to the consolidated list available online at the Committee’s website: http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm.

c. Before providing any material support or resources to an individual or entity, the Recipient will consider all information about that individual or entity of which it is aware and all public 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 to safeguard against assistance being diverted to support terrorist activity.

3. For purposes of this Certification-

a. “Material support and resources” means currency or monetary instruments or
financial securities, financial services, lodging, training, expert advice or assistance, safehouses, false documentation or identification, communications equipment, facilities, weapons, lethal substances, explosives, personnel, transportation, and other physical assets, except medicine or religious materials.”

b. “Terrorist act” means-

(i) an act prohibited pursuant to one of the 12 United Nations Conventions and Protocols related to terrorism (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 targets by subnational groups or clandestine agents; or

(iii) any other act intended to cause death or serious bodily injury to a civilian, or to any other person not taking an active part in hostilities in a situation of armed conflict, when the purpose of such act, by its nature or context, is to intimidate a population, or to compel a government or an international organization to do or to abstain from doing any act.

c. “Entity” means a partnership, association, corporation, or other organization, group or subgroup.

d. References in this Certification to the provision of material support and resources shall not be deemed to include the furnishing of USAID funds or USAID-financed commodities to the ultimate beneficiaries of USAID assistance, such as recipients of food, medical care, micro-enterprise loans, shelter, etc., unless the Recipient has reason to believe that one or more of these beneficiaries commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated or participated in terrorist acts.

e. The Recipient’s obligations under paragraph 1 are not applicable to the
procurement of goods and/or services by the Recipient that are acquired in the ordinary course of business through contract or purchase, e.g., utilities, rents, office supplies, gasoline, etc., unless the Recipient has reason to believe that a vendor or supplier of such goods and services commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated or participated in terrorist acts.

This Certification is an express term and condition of any agreement issued as a result of this application, and any violation of it shall be grounds for unilateral termination of the agreement by USAID prior to the end of its term.

5.  CERTIFICATION OF RECIPIENT
  
By signing below the recipient provides certifications and assurances for (1) the Assurance of Compliance with Laws and Regulations Governing Non-Discrimination in Federally Assisted Programs, (2) the Certification Regarding Lobbying, and (3) the Certification Regarding Terrorist Financing Implementing Executive Order 13224 above.

 RFA/APS No.         ________________________________
  
 Application No.     ______________________________
  
 Date of Application ______________________________
  
 Name of Recipient   _______________________________
  
 Typed Name and Title __________________________________
 
  Signature           _____________________________________

 Date                 _______________

 
PART II - KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING
  
 I hereby certify that within the last ten years:
  
   1. I have not been convicted of a violation of, or a conspiracy to violate, any law or regulation of the United States or any other country concerning narcotic or psychotropic drugs or other controlled substances.
  
   2. I am not and have not been an illicit trafficker in any such drug or controlled substance.
  
   3. I am not and have not been a knowing assistor, abettor, conspirator, or colluder with others in the illicit trafficking in any such drug or substance.
  
 Signature: 		____________________________
  
 Date: 			____________________________
  
 Name: 			____________________________
  
 Title/Position: 	____________________________
  
 Organization: 	     ____________________________

 Address: 		     ____________________________
    
          			____________________________
  
 Date of Birth: 	     ____________________________
  
 NOTICE:
  
   1. You are required to sign this Certification under the provisions of 22 CFR Part 140, Prohibition on Assistance to Drug Traffickers. These regulations were issued by the Department of State and require that certain key individuals of organizations 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.

PART III - PARTICIPANT CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING

   1. 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 the United States or any other country concerning narcotic or psychotropic drugs or other controlled substances.
  
     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 the illicit 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 above conduct 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 on Assistance to Drug Traffickers. These regulations were issued by the Department of State and require 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.

PART IV -  CERTIFICATION OF COMPLIANCE WITH THE STANDARD PROVISIONS ENTITLED “CONDOMS” AND “PROHIBITION ON THE PROMOTION OR ADVOCACY OF THE LEGALIZATION OR PRACTICE OF PROSTITUTION OR SEX TRAFFICKING.”

Applicability: This certification requirement only applies to the prime recipient. Before a U.S. or non-U.S. non-governmental organization receives FY04-FY08 HIV/AIDS funds under a grant or cooperative agreement, such recipient must provide to the Agreement Officer a certification substantially as follows:

“[Recipient's name] certifies compliance as applicable with the standard provisions entitled “Condoms” and “Prohibition on the Promotion or Advocacy of the Legalization or Practice of Prostitution or Sex Trafficking” included in the referenced agreement.”

RFA/APS No.		_______________________________
  
Application No.	 	_______________________________
  
Date of Application	_______________________________
  
Name of Applicant/Subgrantee _________________________
  
Typed Name and Title	_______________________________

  				_______________________________

Signature 			_______________________________
PART V - SURVEY ON ENSURING EQUAL OPPORTUNITY FOR APPLICANTS

Applicability:  All RFA’s must include the attached Survey on Ensuring Equal Opportunity for Applicants as an attachment to the RFA package. Applicants under unsolicited applications are also to be provided the survey. ( While inclusion of the survey by Agreement Officers in RFA packages is required, the applicant’s completion of the survey is voluntary, and must not be a requirement of the RFA. The absence of a completed survey in an application may not be a basis upon which the application is determined incomplete or non-responsive. Applicants who volunteer to complete and submit the survey under a competitive or non-competitive action are instructed within the text of the survey to submit it as part of the application process.)

PART VI - OTHER STATEMENTS OF RECIPIENT

1.  AUTHORIZED INDIVIDUALS
  
 The recipient represents that the following persons are authorized to negotiate on its behalf with the 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 effectively connected with the conduct of activities in the U.S. or has an office or a place of business or a fiscal paying agent in the U.S., please indicate the recipient's TIN:
  
 TIN: ________________________________
  
3.  DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER
  
     (a)  In the space provided at the end of this provision, the recipient should supply the Data Universal Numbering System (DUNS) number applicable to that name and address.  Recipients should take care to report the number that identifies the recipient's name and address exactly as stated in the proposal.
  
     (b)  The DUNS is a 9-digit number assigned by Dun and Bradstreet Information Services.  If the recipient 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 the recipient.  The recipient should be prepared to provide the following information:
  
       (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 the local Dun and Bradstreet Information Services office from the Internet Home Page at http://www.dbisna.com/dbis/customer/custlist.htm. If an offeror is unable to locate a local service center, 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) NUMBER
  
 If the recipient has an existing Letter of Credit (LOC) with USAID, please indicate the LOC number:
  
 LOC:  _________________________________________

5.  PROCUREMENT INFORMATION
  
     (a)  Applicability.  This applies to the procurement of goods and services planned by the recipient (i.e., contracts, purchase orders, etc.) from a supplier of goods or services for the direct use or benefit of the recipient in conducting the program supported by the grant, and not to assistance provided by the recipient (i.e., a subgrant or subagreement) to a subgrantee or subrecipient in support of the subgrantee's or subrecipient's program.  Provision by the recipient of the requested information does not, in and of itself, constitute USAID approval.
  
     (b)  Amount of Procurement.  Please indicate the total estimated dollar amount of goods and services which the recipient plans to purchase under the grant:
  
      $__________________________
  
     (c) Nonexpendable Property.  If the recipient plans to purchase nonexpendable equipment which would require the approval of the Agreement Officer, please indicate below (using a continuation page, as necessary) the types, quantities of each, and estimated unit costs. Nonexpendable equipment for which the Agreement Officer's approval to purchase is required is any article of nonexpendable tangible personal property charged directly to the grant, having a useful life of more than one year and an acquisition cost of $5,000 or more per unit.
 
 TYPE/DESCRIPTION(Generic)             QUANTITY       ESTIMATED UNIT COST
   
     (d)  Source, Origin, and Componentry of Goods.  If the recipient plans to purchase any goods/commodities which are not of U.S. source and/or U.S. origin, and/or does not contain at least 50% componentry, which are not at least 50% U.S. source and origin, please indicate below (using a continuation page, as necessary) the types and quantities of each, estimated unit costs of each, and probable source and/or origin, to include the probable source and/or origin of the components if less than 50% U.S. components will be contained in the commodity.  "Source" means the country from which a commodity is shipped to the cooperating country or the cooperating country itself if the commodity is located therein at the time of purchase.  However, where a commodity is shipped from a free port or bonded warehouse in the form in which received therein, "source" means the country from which the commodity was shipped to the free port or bonded warehouse.  Any commodity whose source is a non-Free World country is ineligible for USAID financing.  The "origin" of a commodity is the country or area in which a commodity is mined, grown, or produced.  A commodity is produced when, through manufacturing, processing, or substantial and major assembling of components, a commercially recognized new commodity results, which is substantially different in basic characteristics or in purpose or utility from its components.  Merely packaging various items together for a particular procurement or relabeling items do not constitute production of a commodity.  Any commodity whose origin is a non-Free World country is ineligible for USAID financing.  "Components" are the goods, which go directly into the production of a produced commodity. Any component from a non-Free World country makes the commodity ineligible for USAID financing.
  
 TYPE/DESCRIPTION   QUANTITY   ESTIMATED   GOODS  PROBABLE  GOODS        PROBABLE(Generic) UNIT COST COMPONENTS SOURCE COMPONENTS   ORIGIN
    
      (e)  Restricted Goods.  If the recipient plans to purchase any restricted goods, please indicate below (using a continuation page, as necessary) the types and quantities of each, estimated unit costs of each, intended use, and probable source and/or origin.  Restricted goods are Agricultural Commodities, Motor Vehicles, Pharmaceuticals, Pesticides, Rubber Compounding Chemicals and Plasticizers, Used Equipment, U.S. Government-Owned Excess Property, and Fertilizer.
  
 TYPE/DESCRIPTION  QUANTITY  ESTIMATED  PROBABLE  INTENDED USE
    (Generic)      UNIT COST   SOURCE    ORIGIN  
  
     (f)  Supplier Nationality.  If the recipient plans to purchase any goods or services from suppliers of goods and services whose nationality is not in the U.S., please indicate below (using a continuation page, as necessary) the types and quantities of each good or service, estimated costs of each, probable nationality of each non-U.S. supplier of each good or service, and the rationale for purchasing from a non-U.S. supplier.  Any supplier whose nationality is a non-Free World country is ineligible for USAID financing.
  
 TYPE/DESCRIPTION   QUANTITY   ESTIMATED   PROBABLE SLUPPIER   NATIONALITY   RATIONALE   (Generic) UNIT COST   (Non-US Only)                   for NON-US  
  
     (g)  Proposed Disposition.  If the recipient plans to purchase any nonexpendable equipment with a unit acquisition cost of $5,000 or more, please indicate below (using a continuation page, as necessary) the proposed disposition of each such item.  Generally, the recipient may either retain the property for other uses and make compensation to USAID (computed by applying the percentage of federal participation in the cost of the original program to the current fair market value of the property), or sell the property and reimburse USAID an amount computed by applying to the sales proceeds the percentage of federal participation in the cost of the original program (except that the recipient may deduct from the federal share $500 or 10% of the proceeds, whichever is greater, for selling and handling expenses), or donate the property to a host country institution, or otherwise dispose of the property as instructed by USAID.
  
 TYPE/DESCRIPTION(Generic)   QUANTITY   ESTIMATED UNIT COST   PROPOSED   DISPOSITION

6.  PAST PERFORMANCE REFERENCES
  
On a continuation page, please provide past performance information requested in the RFA.

7.  TYPE OF ORGANIZATION
  
 The 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 the State of, [ ] an individual, [  ] a partnership, [  ] a nongovernmental nonprofit organization, [  ] a state or loc al governmental organization, [  ] a private college or university, [  ] a public college or university, [  ] 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, [  ] a nongovernmental nonprofit organization, [  ] a nongovernmental educational institution, [ ] a governmental organization, [ ] an international organization, or [ ] a joint venture.

8.  ESTIMATED COSTS OF COMMUNICATIONS PRODUCTS
  
 The following are the estimate(s) of the cost of each separate communications product (i.e., any printed material [other than non- color photocopy material], photographic services, or video production services) which is anticipated under the grant.  Each estimate must include all the costs associated with preparation and execution of the product.  Use a continuation page as necessary.