REQUEST FOR APPLICATIONS (RFA)

USAID KENYA & EAST AFRICA

REDUCING PLASTIC POLLUTION AND CREATING ECONOMIC OPPORTUNITIES FOR WOMEN IN EAST AFRICA

FUNDING OPPORTUNITY

The USAID Africa Trade and Investment (ATI) Activity is designed to bolster the U.S. Government’s ability to boost trade and investment to, from, and within the African continent. The continent-wide program is USAID’s flagship effort in support of the Prosper Africa initiative and will expand and accelerate two-way trade and investment between African nations and the United States.

Driven by market demand, ATI embraces innovative approaches to achieve its goals. ATI is designed as a small, core set of centrally coordinated technical and institutional support activities, and a large, flexible performance-based subcontracting and grants-under-contract facility designed to support the needs and opportunities that USAID Missions and the private sector identify.

USAID engaged ATI to facilitate private-sector partnerships that deliver development impact, bring value to the private sector, and position the continent for future growth.

As part of the Save Our Seas Initiative, USAID is partnering with organizations to combat ocean plastic pollution. Plastic waste is a major challenge in East Africa. In Kenya, it is estimated that 37 thousand tonnes of plastic leak into the ocean every year. In Tanzania, the estimate is 29,000 tons. This plastic waste leakage comes primarily from land-based sources due to weak solid waste management (SWM).  Investment in recycling has increased in the past five years.  However, more investment is needed to advance a circular economy for plastics in the region and reduce plastic waste and carbon emissions.

The backbone of plastics recycling in the region is the large number of  informal waste collectors, the majority of which are women.  Such workers are largely informal and face poor conditions and discrimination. Innovative private sector solutions are needed to both address the plastic crisis and create economic opportunities and better conditions for women - to promote a sustainable and socially responsible plastic recycling industry in East Africa and build resilience for vulnerable populations. 

USAID/KEA seeks innovative regional private sector solutions to reduce plastic pollution, advance the circular economy, and create economic opportunities and better conditions for women in the plastic value chain in East Africa (Kenya, Tanzania, Uganda, Rwanda, Burundi, and South Sudan). 

Priority focus areas:

• Improve solid waste management, collection, disposal, reuse, recycling, circular economy (CE)
• Improve the enabling environment (i.e. policies, regulations, etc.) for CE
• Increase investment in recycling and CE
• Reduce generation of plastic waste (via alternatives)
• Create opportunities for women in SWM
• Improve livelihoods of vulnerable populations associated with SWM and recycling

Results: Concepts must be able to demonstrate the following results in at least two East African countries within the two year period of performance:

• Decreased amount of plastic pollution leaking into the environment
• Increased number of jobs (especially formal jobs) in the plastics value chain, especially for women and youth

Other desired results include:

• Improved livelihoods of vulnerable populations.
• Promotion / implementation of circular economy policies.
• Reduction / mitigation of greenhouse gas emissions.

Grant Size and Type: ATI will issue performance-based grants ranging from $500,000 to $1,000,000 to establish partnerships with firms meeting the objectives stated in the RFA. 
 

Performance-Based Grants:

The preferred performance-based grant will be a Fixed Amount Award (FAA) agreement under USAID rules. Payment under FAA grants are made upon accomplishment of predetermined results, referred to as milestones. Milestones are agreed upon between ATI and the partner prior to the grant being awarded.

Although the FAA is the preferred grant mechanism under this APS, ATI will conduct capacity assessments of all potential grantees in which their mode of award will be determined based on the financial and administrative capabilities of the applicant. Other modalities of awards may include an in-kind grant, standard grant, simplified grant, or a combination of FAA and in-kind grants, but this is dependent on ATI’s determination of the potential grantee’s capacity.

If ATI’s assessment identifies weaknesses or deficiencies that call into question the applicant’s ability to manage the award, ATI may elect to remove the applicant from consideration under this funding opportunity or select a mechanism more appropriate for the applicant’s current financial, administrative and operational capacity. The applicant will agree to the metrics and verification methods of awards during the development of the full application, giving latitude to the partner on how it will accomplish the agreed objectives. DAI reserves the right to fund any or none of the applications submitted.

Leverage: The applicant is expected to invest an amount equal to or exceeding the amount requested from ATI. Leveraged amounts will be considered within the context of the applicant’s objectives and impact in the market(s) and sector(s) in which the applicant is operating. Preference will be given to applicants that propose to repay a portion of the grant if implementation is successful.

Applications submitted in response to this RFA must include the following information in line with ATI Objectives via the application form:

1. Project Description: The applicant must provide a detailed description of the project, specifying its goal, activities, and results. These should be in line with the overall objective of the grant. Sections should be structured as follows: detailed description of purpose/summary, background, project goals, and detailed description of anticipated activities/outcomes.

2. Monitoring (Results and Benchmarks):

The applicant should define, to the maximum extent possible at the application stage, results, and benchmarks for monitoring the performance towards attainment of program objectives. The selected applicant must include the following indicators to track performance:

• Number of jobs created, disaggregated by gender
• Number of people with increased income, disaggregated by gender
• And at least one of the following indicators:
  • Metric tons of plastic secured from leaking into the environment
  • Metric tons of material recovered and diverted from disposal
  • Amount of investment mobilized for solid waste management or reducing, reusing or recycling plastic.

Please explain how your organization will monitor the implementation and performance of the project and indicate additional indicators per activity that will be used to assess the progress and performance of the project, and the achievement of the expected results.

ATI will work closely with the selected private sector partner to develop a Monitoring, Evaluation and Learning (MEL) plan following existing ATI and USAID requirements for this grant. ATI will also work with the partner to use USAID’s Collaboration, Learning and Adaptation (CLA) approach to address implementation of activities and to measure results. The partners will be required to maintain all relevant data and report results on a quarterly basis as agreed with ATI. ATI will conduct data quality assessments, as necessary. The private sector partners must be willing to share results for at least a six-month period following the completion of their grant implementation for ATI and USAID to evaluate the results of this intervention.

3. Sustainability: The applicant should describe how the project, or its benefits will continue after grant funding ends. What measures are being put in place to ensure sustainability?

4. Leverage: The application should indicate the amount they plan to co-invest, and what those funds will be used for.  Where applicable, the application should note if they propose to repay a portion of the grant if implementation is successful.

5. Organizational Capability: The application shall include information that demonstrates the applicant's expertise and ability to meet or exceed the goals of this program.

Organizational capacity should include information on sound management systems, with regards to financial, administration, internal policies and procedures and controls that safeguard against fraud, abuse, and waste.

6. Personnel: The applicant should propose up to three key personnel and give a description of their roles and responsibilities. Each applicant demonstrates the key personnel’s ability to perform the duties outlined in the program description/statement of work and in accordance with the applicant’s approach. ATI will evaluate the CV to determine the individual’s knowledge, skills and abilities. Key personnel are those critical of implementation only and do not include administrative or support staff.

7. Past Performance: Applicants must present evidence of their experience in undertaking similar activities. Applicants may include descriptions of two (projects or other similar activities). ATI will request references that should include clients’ names and telephone numbers.

8. Budget: All proposals must include a completed budget in US dollars.

9. Milestones: the application must contain a table with milestones that the private sector partner and ATI will track during the implementation of this program.

The applications will be evaluated according to the evaluation criteria set forth below. To the extent necessary (if the award is not made based on initial applications), negotiations may be conducted with each applicant whose application, after discussion and negotiation, has a reasonable chance of being selected for award.  Award will be made to responsible applicants whose applications offer the best value.

Awards will be made based on the ranking of applications by the review panel according to the evaluation criteria and scoring system identified below:

• Application documents must include the following

• Complete Annex A. Application Form. This annex asks for information on the project description, applicant leverage (as applicable), monitoring and results, and other activity information. Responses should be specific, complete, and presented concisely.

• Complete Annex B. Workplan. The implementation plan should be detailed and include tasks, outputs, partners, and responsible persons. It may be no more than three years or extend past March 2026. Monitoring and evaluation efforts must also be included.

• Complete Annex C. Budget and Budget Notes. In the budget, request and explain the key cost items required for the support. Full instructions on budgeting are found in the annex on the first tab called Budget Instructions. You must submit cost verification documents for each budget line item to demonstrate that the amount you budgeted is based on actual cost or market price. 

•  Complete Annex D. Milestone Table. The Activity recommends a fixed amount award (FAA) as the best grant mechanism per the anticipated program description. This means you will be paid an agreed-upon amount for completed milestones. This annex asks you to propose those milestones, means of verification, due dates, and amount per milestone. 

• Applications must be submitted in English

• Page Limitation: Applications should be specific, complete, presented concisely and shall not exceed 10 pages (exclusive of annexes). 

 In accordance with ADS303.6, DAI is required to establish the applicant organization’s nationality to determine its eligibility to receive the requested grant. Complet Appendix A. Grantee Nationality Self Certification Form.

Submission Instructions:

To apply for funding interested applicants must submit all applications (including all annexes) via the RFA-22-USAID KEA Reducing Plastic Pollution and Creating Economic Opportunities for Women in East Africa (Application Submission). 

Late Applications 

All applications received by the deadline will be reviewed for responsiveness and programmatic merit according to the specifications outlined in these guidelines and the application format.  Applications which are submitted late or are incomplete run the risk of not being considered in the review process.

Please note that while the Grants Team will explain rules and requirements to each awardee, the
following award requirements will apply:

a) Administration of Award

Awards to U.S. organizations will be administered in accordance with 2 CFR 200 Subpart E, ADS 303 and
USAID Standard Provisions for U.S. non-governmental organizations. For non-U.S. organizations, USAID
Standard Provisions for non-U.S. non-governmental organizations apply. Applicants may obtain copies of
the referenced material at the following websites:

• 2 CFR 200 - https://www.ecfr.gov/cgi-bin/text-idx?SID=0a5b7fee6378930cce72564449dd8bb7&mc=true&node=sp2.1.200.d&rgn=div6
• Standard Provisions for US Nongovernmental Recipients - https://www.globalhealthlearning.org/sites/default/files/page-files/french-PLGHA-Standard-Provisions-US-Nongovernment-Organizations.pdf
• Standard Provisions for Non-US Nongovernmental Recipients -                https://www.usaid.gov/sites/default/files/2022-12/303mab.pdf

b) Important USAID Compliance Information

• Certifications, Assurances, Other Statements of the Recipient and Solicitation Standard Provisions - In accordance with ADS 303.3.8, ATI will require awarded grant partners to submit signed copies of required certifications and assurances. ADS 303 may be found at the following website: usaid.gov/sites/default/files/documents/303.pdf.
• Unique Entity ID (SAM) - Effective April 4, 2022, entities doing business with the federal government will use the Unique Entity Identifier (SAM) created in (sam.gov). The Unique Entity ID (SAM) is a 12-character alphanumeric value managed, granted, and owned by the U.S. government. This allows the government to streamline the entity identification and validation process, making it easier and less burdensome for entities to do business with the federal government. All foreign organizations which receive a grant with a value of USD 25,000 and above and all U.S. organizations which receive a grant of any value are required to obtain a Unique Entity ID (SAM) and complete full www.sam.gov registration. Organizations are exempt from this requirement if the gross income received from all sources in the previous tax year was under USD 300,000. DAI requires that grant applicants sign the self-certification statement if the applicant claims exemption for this reason.
• Branding and Marking - All USAID-sponsored assistance awards are required to adhere to branding and marking requirements in accordance with ADS 320. ADS 320 may be found at the following website: https://www.usaid.gov/about-us/agency-policy/series-300/320. ATI’s Branding and Marking Plan allows for co-branding with the grantee and USAID. The Activity must approve all communications materials produced under this grant before printing or publication. Grantees must follow the guidelines set forth in the USAID Graphic Standards Manual and accompanying Prosper Africa Graphic Standards Manual: USAID Graphic Standards Manual and Partner Co-Branding Guide | Branding | U.S. Agency for International Development and Prosper Africa Graphic Standards Manual | Prosper Africa | U.S. Agency for International Development (usaid.gov)
• Environmental Procedures - The impact of USAID’s activities on the environment and environmental sustainability must be a central consideration when designing and implementing an activity. Potential environmental impacts of the grant must be identified prior to a final decision to proceed and appropriate environmental safeguards must be adopted for all activities The grantee must comply with host country environmental regulations unless otherwise directed in writing by USAID. In case of conflict between the host country and USAID regulations, the latter will govern. No activity funded under this grant will be implemented unless an environmental threshold determination, as defined by 22 CFR 216, has been reached for the grant, is properly documented, and signed by the Bureau Environmental Officer (BEO). ADS 200 may be found at the following website: https://www.usaid.gov/environmental-procedures/laws-regulations-policies/22-cfr-216
• Reporting Requirements - Project implementation reporting will be determined based on the planned activities and the delineation of roles and responsibilities. There will be milestone reporting, quarterly progress reports, environmental reporting, and a final grant report. A Performance Monitoring and Evaluation Plan with indicators and targets will also be agreed upon. Grant recipients will be expected to facilitate monitoring during and beyond the life of the grant through June 2026 by making relevant information available to ATI staff.
• Payments and Use of Funds - The Activity will make grant payments in local currency. The grant recipient must use the funds provided exclusively for activities specified in the Program Description. Diversion of grant funds to other uses will result in the cancellation of award and retrieval of funds disbursed to the grant recipient.
• Permitted Uses of Program Income - The grantee will be expected to account for program income in accordance with 2 CFR 200.307. In accordance with 2 CFR 200.307 (e)(2), program income earned under this award will be added to funds committed by ATI and the recipient to the project or program and used to further eligible project or program objectives. Additionally, in accordance with 2 CFR 200.307(e)(3), program income may be used to finance the non-Federal share of the project or objectives.
• ATI funds will not support construction. All construction activities will be resourced through grantee leverage.
• Prohibited Countries - The US Government does not do business with, i.e., purchase goods or services from, prohibited source, nationality, and country of origin. The current list of countries under comprehensive sanctions include Cuba, Iran, North Korea, and Syria.
• Ineligible Goods, Restrictions, and Unallowable Costs - The grant funds provided under the terms of this agreement must not be used to finance any of the following:
  • Goods or services which are to be used primarily to meet military requirements or to support police or other law enforcement activities,
  • Surveillance equipment,
  • Equipment, research and/or services related to involuntary sterilization or the performance of abortion as a method of family planning,
  • Gambling equipment, supplies for gambling facilities or any hotels, casinos or accommodations in which gambling facilities are or are planned to be located,
  • Activities which significantly degrade national parks or similar protected areas or introduce exotic plants or animals into such areas, or
  • Establishment or development of any export processing zone or designated area where the labor, environmental, tax, tariff, and/or safety laws of the country in which such activity takes place would not apply.
  • Pharmaceuticals or pesticides (may be allowable with written approval)
  • Logging equipment,
  • Luxury goods (including alcoholic beverages and jewelry),
  • Establishing or expanding any enterprise that will export raw materials that are likely to be in surplus in world markets at the time such production becomes effective and that are likely to cause substantial injury to U.S. producers,
  • Activities which would result in the loss of forest lands due to livestock rearing, road construction or maintenance, colonization of forest lands or construction of dams or other water control structures,
  • Activities which are likely to have a significant adverse effect on the environment, including any of the following (to the extent such activities are likely to have a significant adverse impact on the environment):
    • Activities which may lead to degrading the quality or renewability of natural resources;
    • Activities which may lead to degrading the presence or health of threatened ecosystems or biodiversity;
    • Activities which may lead to degrading long-term viability of agricultural or forestry production (including through use of pesticides);
    • Activities which may lead to degrading community and social systems, including potable water supply, land administration, community health and well-being or social harmony.
  • Activities which are likely to involve the loss of jobs in the United States due to the relocation or expansion outside of the United States of an enterprise located in the United States, or
  • Activities which the Grantee is aware are reasonably likely to contribute to the violation of internationally or locally recognized rights of workers,
  • Bad debts
  • Contributions or donations
  • Deferred Research and Development Costs
  • Entertainment costs or lobbying costs
  • Fines or penalties
  • Goodwill
  • Interest (Interest on taxes, issuing stock rights, Cost of financing or refinancing capital)
  • Public Relations and Advertising Costs
  • Company holiday parties or picnics
  • Taxes (such as income/profit tax) and PROFIT
  • Bribes
  • Goods or services from vendors or individuals with active exclusions on SAM.gov
  • Goods or services with source, origin, transported through, or nationality from a Prohibited Country – currently Iran, North Korea, Syria, and Cuba.
  • Costs that are being paid for by another donor or funding source, including other US government funding, (i.e., disproportion allocation of costs amongst multiple donors)
  • Costs purchased from vendors, employees, or other sources with Conflicts of Interest.
  • Payments to government officials

Issuance of this RFA does not constitute an award commitment on the part of ATI, nor does it commit ATI to pay for costs incurred in the preparation and submission of an application.  Further, ATI reserves the right to reject any or all applications received.  Applications are submitted at the risk of the applicant.  All preparation and submission costs are at the applicant's expense.