Request for Applications (RFA): Africa-U.S. Higher Education Initiative Planning Grants
Date Issued: November 19, 2008
Closing Date: February 2, 2009
Higher Education for Development (HED) anticipates making twenty (20) awards of up to $50,000 for a five-month period, contingent on the approval of funding by the United States Agency for International (USAID). These awards are intended to support planning for long-term partnerships to strengthen the capacity of African higher education institutions in the areas of (1) agriculture, environment and natural resources, (2) health, (3) science and technology, (4) engineering, (5) education and teacher training/preparation, and (6) business, management and economics and increase the engagement of U.S. higher education institutions in Africa.
For clarification or questions regarding this RFA, please contact program officer Dr. Teshome Y. Alemneh at (202) 243-7684 or talemneh@HEDprogram.org.
Background
Context
Planning Grants Goals and Objectives
Structure of the Application
Evaluation Criteria
Deliverables and Reporting Requirements
Key Considerations
Eligibility
Contact Information
Application Format, Submission and Review
Terms of the Solicitation
Frequently Asked Questions (FAQs) about the RFA (UPDATED on January 27, 2009)
Points of Clarification (POSTED on January 27, 2009)
Additional Background
Background
Higher Education for Development (HED) mobilizes the expertise and resources of the higher education community to address global development challenges. HED accomplishes this by administering a cooperative agreement (AEG-A-00-05-00007-00) sponsored by the United States Agency for International Development (USAID). Through a Leader with Associate Cooperative Agreement, signed in September 2005,HED manages a competitive awards process to access expertise within the higher education community in coordination with the American Council on Education (ACE), the American Association of Community Colleges (AACC), the American Association of State Colleges and Universities (AASCU), the Association of American Universities (AAU), the National Association of Independent Colleges and Universities (NAICU), and the National Association of State Universities and Land-Grant Colleges (NASULGC).
Funding by USAID’s Bureau for Economic Growth, Agriculture and Trade, Office of Education (EGAT/ED), as well as USAID’s functional and regional Bureaus and worldwide Missions supports higher education partnerships to advance global development, economic growth, good governance, and healthy societies. These partnerships provide training, applied research, program evaluation, policy analysis, and program implementation, which are critical to promote USAID’s foreign assistance goals. More information on USAID and its role in economic and humanitarian assistance worldwide over the past 40 years is available at www.usaid.gov.
In April 2008 USAID, the U.S. Department of State, and the U.S. Department of Education convened a summit of higher education leaders from developing countries and the United States to address the importance of higher education in development. As a result of that conference, USAID annouced that $1 million allocated to HED would support the Africa-U.S. Higher Education Initiative. The funding supports 20 planning grants of $50,000 each to produce 20 strategic plans for long-term collaboration between U.S. and African higher education institutions. Further information on the Initiative can be found at www.africa-initiative.org.
Context
Strong institutions of higher education are needed for long-term, broad-based development, and to support nations working together in an increasingly complex world. Higher education has significant economic and social benefits not just for the individual recipients of tertiary education but also for the societies in which those educated individuals live and work. With the emergence of the knowledge economy, strong systems of higher education increasingly essential. “Participation in the knowledge economy requires a new set of human skills… Without improved human capital, countries will inevitably fall behind and experience intellectual and economic marginalization and isolation.”
To this end, it is crucial that institutions of higher learning in every country and region receive sustained attention and support. In spite of immense demand pressures on higher education institutions, Africa’s higher education enrollment levels remain the lowest in the world (around 5%), trailing South Asia (10%), East Asia (19%), and North Africa and Middle East (23%). Across the continent, African higher education institutions are stretching their already thin resources to accommodate the desire of so many on the continent for an advanced education. Yet the region faces specific, unique challenges that have hampered the development of its higher education sector -- challenges that will take serious commitment and concerted action to overcome.
The challenges facing African higher education stem from three principal factors:
1. Demand for higher education has been increasing at extraordinarily rapid rates.
2. Too little investment has been made in African higher education for two decades by both national governments and international donors.
3. African national higher education systems have struggled to adapt to changing economic contexts and the broader requirements of an increasingly globalized society.
In July 2007, a number of groups based in the United States and Africa came together to consider what could be done to assist capacity development in the African higher education2. From these meetings came an initiative to strengthen the ability of African higher education institutions to contribute to national and regional development. The long-term aim is to foster partnerships between African and United States universities in these areas, over a sustained period for mutual benefit.
The value of long-term higher education partnerships is that they provide institutions with opportunities to share experiences with one another through active learning, thus allowing them to understand the strengths and weaknesses of alternative strategic plans, organizational models, and institutional processes. Partnerships can also provide external sources of support to those seeking to implement change in their institutions.
The Initiative has identified several broad goals and capacity-building priorities through research and stakeholder consultations with leaders in Africa and the United States. The primary goal of the Africa-U.S. Higher Education Initiative is to enhance and empower higher education institutions in Africa and the United States to contribute more effectively to African development and transformation.
Ultimately the Initiative envisions:
- Higher education institutions in Africa that address Africa’s human resource needs, increase the development of new knowledge and technology, provide opportunities for historically disadvantaged populations, and are more fully engaged in Africa’s economic, social and political development.
- Higher education institutions in the United States knowledgeable about African affairs and more deeply engaged in Africa as partners and colleagues.
Planning Grants Goals and Objectives
The purpose of the awards is to lay the foundation for a long-term program of collaboration advancing the Initiative’s goal to enhance and empower higher education institutions in Africa and the United States to contribute more effectively to African development and transformation.
Each award will result in a strategic plan for long-term collaboration in one or more of the following focus areas:
1. Agriculture (especially addressing the problems of small-holder farmers), environment and natural resources
2. Health
3. Science and technology
4. Engineering
5. Education and teacher training/preparation
6. Business, management, and economics
Over the past year, the Africa-U.S. Higher Education Initiative has undertaken extensive consultations with African and U.S. higher education stakeholders to identify capacity building priorities for African higher education. Applicants are encouraged, but not required, to focus their capacity-building efforts on the following priorities:
- Faculty development.
- Curriculum development.
- Institutional leadership and management, marketing, advocacy, alumni engagement, and fundraising capacity development.
- Mobilizing the African diaspora.
- Research, technology and problem solving capacity development.
- Financial diversification and resource mobilization capacity development.
- Development of linkages with private, public and NGO institutions globally, regionally and locally.
- Improved access for historically disadvantaged populations, particularly women.
- Improvement of teaching and research facilities and equipment (not buildings).
Funding beyond the planning phase
At present, no funding has been secured for potential partnership activities that will emerge from the planning process. The Africa-U.S. Higher Education Initiative is working to obtain long-term funding from a number of possible sources, in the private and public sectors, to support the implementation of collaborative projects as well as future rounds of planning grant competitions. During this planning phase, partners are asked to design a potential funding strategy and are encouraged to make contacts that may result in long-term support for their efforts.
Partners Meeting
A partners meeting is planned for July/August 2009 to discuss the planning grant activities and draft executive summaries of the strategic plan, share experiences, and link with potential funders. The meeting will be held in Africa. Successful grantees of the planning awards are strongly encouraged to participate in this meeting. Award funds and/or cost share may be used for this purpose.
Structure of the Application
Each planning grant application is expected to do the following:
A) State partnership objectives.
B) Identify a major development problem and the underlying processes and factors that have produced the problem.
C) Outline how the planning grant funds will be used to assess the current level of capacity of the partner institutions to respond to the problem and determine priorities for future capacity development and institutional change.
D) Provide an overview of the proposed partnership, focusing on the qualifications and experience of the partners, commitment of partners to effective collaboration and principles of good governance, factors outside the institution that will help or hinder partnership implementation, and the potential for significant positive impact.
E) Describe partnership’s potential for innovation and change.
F) Outline a management plan.
G) Propose a budget for the use of the planning funds.
Please note that applications should be accompanied by a required application title page and required appendices (budget detail form, work plan, and resumes of key partnership personnel). Letters of support may be appended.
A. Partnership Objectives
Each application should describe an objective or set of objectives to be achieved through the planning process that address the goal of the Initiative: to enhance and empower higher education institutions in Africa and the United States to contribute more effectively to African development and transformation.
The objectives should reflect an understanding of the current state of higher education in the country(s) participating in the partnerships.
B. The Problem Model
Each application will identify a development issue or problem of interest related to one of the six focus areas of the Initiative. This issue and its underlying processes, called the problem model (PM), should be described in some detail. The rationale for its choice in the context of African priorities and strategies, national development challenges, and the partner institutions’ capacities and mission should be described. It is fully expected that the PM will be modified based on insights about constraints that are raised during the needs assessment process.
Examples of broad areas within which a PM might be defined include the following:
- Within engineering as a field of focus, for example, the problem might be watershed management;
- In agriculture, it might be adaptation to climate change or food security;
- In health care, it might be the lack of human capacity to deal with HIV/AIDS or public health challenges;
- Or in education, it might be how to provide more quality teachers or improve primary, secondary or tertiary curriculum.
Use of the PM is meant to ensure that the resulting strategic plan focuses on solving a problem of importance to society. That problem may be a research or a non-research problem that the partners judge to be important. We strongly encourage the PM to pay special attention to improving the welfare of historically disadvantaged populations, particularly women. In proposals focused on agriculture in particular, attention should be given to addressing the needs of small-holder farmers.
Although many of today’s most pressing development issues are interdisciplinary and should be addressed as such, the PM is expected to identify with only one of the primary focus areas of the six.
C. Needs Assessment Plan and Strategic Planning Process
Each application should include an outline of how to assess the current capacity level of the partner institutions to address the challenges identified in the problem model, and to determine what institutional changes are necessary to better address these challenges. The application must outline a process to address how the findings of the problem model and the needs assessment will be used to develop a strategic plan. The strategic plan will be the final outcome of the planning process, which will take place between June and November 2009.
D. Proposed Partnership Description
Proposed partnerships can be composed of any number of institutions of higher education, associations, networks, NGOs, private and public sector, regional or international entities. Following USAID regulations, the planning grant award will be made to a single U.S. higher education institution (the Contracting Institution) that will have fiscal and reporting responsibility for the award. The composition of the partnership (number and type of institutions involved) should relate to what the partnership plans to achieve. Transaction costs to manage multi-institutional partnerships should be carefully weighed against the expected benefits of the partner(s)’s contributions. Each application must identify a principal African and U.S. institution of higher education to ensure the success of the collaboration.
Any U.S. institution can submit as many as two (2) applications as the lead U.S. contracting institution responsible for fiscal administration and reporting, and be a partner on any number of applications submitted by another contracting institution. African institutions may be included as the principal partner in up to three (3) applications. Partnership applications must include at least one accredited U.S. higher education institution and at least one accredited or recognized African higher education institution. Additional partners may include other institutions of higher education, higher education associations, research institutions, NGOs, regional organizations, international, national and local government bodies, for-profit organizations and private sector firms. Only one award will be made to any contracting institution.
Relevant experience of key personnel leading the planning awards within a cross-cultural development team should be described. Applications should demonstrate strong institutional commitment to support partnership goals. The commitment of the U.S. institution to international development and its monetary or in-kind cost share contribution are also essential demonstrations of partnership potential. The application should also include a description of the commitment of the national government(s) of the African country(s) to the development of higher education. This description should include information about the share of higher (or postsecondary) education as a proportion of the national education budget(s), and the number of students affected/enrolled in partnering institutions or to be affected by the proposed activities.
African leadership in the identification of problems, solutions and joint decision-making and mutual benefit of the partnership are important aspects of the applications. Active involvement of the private sector, NGO and other entities is strongly encouraged. Applicants should describe the potential of the partnership to impact other higher education institutions and society, regionally and nationally in Africa.
E. Innovation and Change
Each application is expected to demonstrate potential for innovation and new directions. It should describe how the application enables the institution to respond to pressures and opportunities of greater access without compromising academic standards and quality. New paradigms, such as the need to build regional or national centers of excellence and use of information and communication technology (ICT) to expand access and improve quality may be identified as possible areas of intervention in the strategic planning process.
Applications should have a demonstrated potential to promote fundamental institutional change that supports the Initiative goals and has impact on other institutions, at regional and national levels. Innovative approaches toward diversified, aggressive capacity building and fund mobilization are encouraged.
F. Management plan
The application should outline and submit a clear management and work plan to administer the award. Shared leadership and collaborative engagement of partners are viewed as critical elements of success. Effective collaboration will depend heavily on the quality of communication between the partners, and the management plan should address this specifically.
G. Budget
The detailed budget breakdown of the application should clearly support the planning activities. It should reflect strong African leadership, participation and equitable expenditures. The budget form provides space for a detailed description of expenditures. Verifiable details for funds should also be included.
Evaluation Criteria
1. Objectives of the Planning Grant (10 points)
- Clearly defined objectives aligned with the Initiative goal.
- Demonstrated understanding of the current state of higher education in the country(s) participating in the partnerships.
2. The Problem Model (10 points)
- Degree to which the PM addresses a significant development issue for the nation(s) involved in the application.
- Quality of the description of the PM and capacities of the institutions.
3. Needs Assessment and Strategic Planning Process (15 points)
- Demonstrated understanding of the regional and/or national contexts, priorities and strategies related to the problem model.
- Clarity of description of the needs assessment and strategic planning process.
- Evidence that the needs assessment and strategic plan processes are conducted with broad African participation, and strong institutional support for the process.
4. Proposed Partnership Description (35 points)
- Relevant experience of key personnel. (10 points)
- Evidence of strong institutional commitment of both African and U.S. partnering institutions.
- Demonstrated commitment of national governments of the African country(s) to the development of higher education.
- Participation and collaboration of partnering institutions for mutual benefit and demonstrated African leadership in the process.
- Evidence of plans for active involvement of the private sector, NGO and other entities in the needs assessment and strategic planning process.
- Potential that the proposed partnership will have an impact on students, faculty, and higher education, regionally and nationally in Africa.
5. Innovation and Change (10 points)
- Application demonstrates that the partnership has the potential to promote innovation and fundamental change.
6. Management Plan (10 points)
- Feasible plan and reliable process to manage the planning grant and demonstrated collaborative process for engagement of partner(s).
- Partnership personnel possess relevant and adequate experience.
7. Budget (10 points)
- Evidence of commitment to share costs and a clear linkage between expenditures and project objectives and activities.
- Evidence of equitable distribution of award funds among partners.
Total Points: 100
Deliverables and Reporting Requirements
Awardees will be required to submit the following to HED:
- A draft executive summary of the strategic plan for the partners meeting by July/August 2009.
- A revised summary and progress report by September 2009, following guidelines provided by HED.
- A strategic plan outlining long-term partnership by November 2009, following guidelines provided by HED.
- A final narrative report (due 30 days after the conclusion of program activities), following guidelines provided by HED.
- A final financial report (due no later than 90 days after the sub-agreement closing date), following guidelines provided by HED.
A strategic plan is the ultimate output of the planning grant period (June-November 2009). The strategic plan should incorporate a review of the problem model, findings of the needs assessment, and a strategy for long-term collaboration to achieve the capacity building priorities identified by the partners. It is expected that partners will consider existing institutional, national and Africa-wide priorities and strategies in developing their strategic plan. The strategic plan will present the activities and budget that address the needs of the institutions. The strategic plan should also include a plan for attracting further funding. Given the uncertainty of future funding sources, grantees are encouraged to consider the needs and requirements of potential funders in preparing their strategic plans.
Key Considerations
The primary criterion to be used in selecting awardees will be the quality of the application. However, extra consideration may be given to achieve institutional need, geographic and institutional diversity and ensure balance among the focus areas.
Eligibility
HED welcomes applications from the member institutions of ACE, AACC, AASCU, AAU, NAICU, and NASULGC, and from other regionally accredited degree granting, U.S. higher education institutions. HED encourages applications from or with the participation of minority-serving institutions.
Only institutions from the following African countries are eligible: Angola, Benin, Botswana, Burkina Faso, Burundi, Cameroon, Central African Republic, Cape Verde, Chad, Comoros, Congo, Democratic Republic of the Congo, Djibouti, Equatorial Guinea, Ethiopia, Gambia, Ghana, Guinea, Guinea-Bissau*, Kenya, Lesotho, Liberia, Madagascar, Malawi, Mali, Mauritius, Mozambique, Namibia, Niger, Nigeria, Rwanda, Sao tome and Principe, Seychelles, Somalia, Senegal, Sierra Leone, South Africa, Sudan*, Swaziland, Tanzania, Togo, Uganda, and Zambia.
* These countries are in a special status category for USAID support. Applicants planning to submit applications with institutions in these countries are advised to check with HED program officer, Teshome Alemneh, regarding eligibility.
Contact Information
Dr. Teshome Alemneh, Program Officer
Africa-U.S. Higher Education Initiative Planning Grants
Higher Education for Development (HED)
Tel. (202) 243-7684; Fax. (202) 637-2084
E-mail: talemneh@HEDprogram.org
Application Format, Submission and Review
Application Format
How to Submit an Application
Peer Review
Application Format
Please provide the contents of the application in the following order:
1. Title Page (Please complete HED form in full and obtain signatures of authorized officials.) (UPDATED)
2. Table of Contents.
3. Abstract (not to exceed one page double-spaced pages, 12-point font, 1-inch margins).
4. Narrative (not to exceed 20 double-spaced pages, 12-point font, 1-inch margins).
5. Appendices (Attachments beyond the stated appendices will not be read or taken into consideration.)
- Work plan for the funding period (Use HED form).
- Budget form (Use HED form).
- Resumes of the key personnel of the proposed U.S. Contracting Institution(s) and primary African partner institution(s), not to exceed 2 pages per person.
- Signed letter from appropriate official at applicant institution verifying that all costs cited conform to established institutional policies and practices.
How to Submit an Application
Applications must be received at HED by 5:00 p.m., Eastern Time (ET), February 2, 2009. Faxed or electronically transmitted applications will not be accepted. All elements of the application must be received by the deadline. HED recognizes that original, signed cover letters and letters of support from overseas partners may be subject to delays due to factors beyond the applicant’s control. Only in these exceptional cases, faxed or scanned copies of the application title page and letters that include all necessary signatures may be submitted in the application, provided signed originals are received at HED within seven (7) calendar days of the deadline.
Applicants should submit the original application plus seven (7) hard copies of the complete application package containing title page, table of contents, abstract, narrative, and appendices (all on loose-leaf paper, clipped together — no three-ring binders, staples, or plastic bindings), and a diskette or CD (with files saved as Microsoft Word/Excel for PCs) containing the entire application, including all budget forms, and other appendices.
Applications should be sent to:
Africa-U.S. Higher Education Initiative Planning Grants
Higher Education for Development (HED)
One Dupont Circle NW, Room 420
Washington, DC 20036-1193
Once HED has confirmed receipt of an application, do not contact the HED program office until the completion of the peer review process in order to ensure fairness to all parties concerned.
Peer Review
Applications will be reviewed by expert panelists, which include representatives from higher education, international development, and USAID. Awards will be made on the basis of reviewers’ recommendations of merit, and USAID. Peer review of applications is slated for February 2009.
Letters of communication from members of the U.S. Congress in support of an application are discouraged as these may be thought to prejudice the peer review process. Such letters will not be forwarded to peer reviewers.
Notification about awards is expected following the completion of peer review. Upon final announcement of awards, the person named in the application as partnership director may submit a written request for copies of the peer reviewers’ scores for the application. No personal reviews will be granted, and no comparative score tabulations will be shared.
Terms of the Solicitation
Cost Share
Execution of Awards
Post-award Briefings
TraiNet Requirements
Health and Accident Insurance (updated Jan. 21, 2009)
Cost Share
The minimum suggested total cost share from all U.S. partners is 25 percent of the award amount. Reported cost share must be auditable. Non-auditable contributions may not be used to meet the minimum, but can be indicated separately and attached to the budget detail form.
Higher education institutions are encouraged to use support from the private sector in addition to the cost sharing provided by their institutions. Applicants should itemize all cost sharing and in-kind contributions.
Cash and in-kind contributions will be accepted as part of the applicant’s cost sharing when such contributions are: (a) verifiable from the applicant’s records; (b) not included as contributions for any other federally-assisted program; (c) reasonable for the accomplishment of partnership objectives; and (d) not paid by the federal government under another grant.
In-kind contributions may include, but are not limited to: waivers of tuition and fees for students participating in academic exchanges; donation of library and classroom materials to the partner; ICT infrastructure and Internet Service Provider subscription subsidy for the partner and exchange students; faculty salaries; travel and/or per diem for faculty and administrators to participate in professional exchange and development programs; and indirect costs.
Execution of Awards
Awards will be executed as sub-agreements between the designated U.S. university, college, community college, or consortium, and the American Council on Education (ACE), through the Higher Education for Development (HED) office, under USAID Cooperative Agreement AEG-A-00-05-00007-00. The institution recommended for award will receive a draft version of the sub-agreements to review by March 2009. The award recipient will be expected to submit a marking plan related to USAID branding as part of the sub-agreement that clearly indicates the support provided by USAID for activities conducted under the award.
Please note that no award or cost share funds may be expended prior to a fully executed sub-agreement (i.e., signed by both parties by May/June, 2009) between ACE and the designated U.S. institution unless pre-award expenses have been approved as a part of the negotiation of the sub-award. Activities are expected to commence immediately after the sub-agreement is executed.
Award funds will be disbursed to the designated U.S. university, college, community college, or consortium, based on the applicant’s implementation of the work plan, stated budget, and submission to HED of financial, tax, and narrative progress reports. It is the designated U.S. institution’s responsibility to provide disbursements (reimbursements) for its collaborating partner(s) in accordance with the agreed-upon activity schedule and budget.
Post-award Briefings
Partnership directors, and/or their designees, are required to participate in two post-award briefings. The first briefing, conducted in a virtual format, will review reporting, monitoring and evaluation requirements. The second briefing via a conference call will address the general requirements of the award.
TraiNet Requirements
To comply with the Department of Homeland Security, U.S. Citizenship and Immigration Services (USCIS), Department of State, and USAID regulations regarding tracking and monitoring of Exchange Visitors, foreign nationals whose costs are paid, fully or partially, directly or indirectly using USAID program funds for training, non-training, and invitational travel, must enter the U.S. on a J-1 visa (non-immigrant Exchange Visitor visa) processed under one of USAID’s two program numbers, unless otherwise waived according to the procedure in ADS 252.3. J-2 visa applications for family members are not supported per USAID policy.
USAID expects that all DS-2019 documents (paperwork needed for J visas) and in-country or third country training be processed through the USAID Training, Results and Information Network (TraiNet) system.
Institutions may not directly access the Student and Exchange Visitor Information System (SEVIS) to issue DS-2019 documents internally. Information regarding USAID’s J-1 visa requirements may be found online at the Participant Training website. Administrators must adhere to the regulations detailed under TraiNet, Visa Compliance System (VCS), the Student Exchange Visitor Information System (SEVIS), and USAID’s Automated Directives System (ADS) 252-Visa Compliance for Exchange Visitors, and 253-Training for Development. U.S. institutions should allow as many as 12 weeks for the processing of visas when planning activities in the United States.
TraiNet management requires a significant commitment of staff time and applicants are encouraged to consider this when developing the program budget.
USAID Health and Accident Coverage Insurance Program
The U.S. institution is responsible for enrolling each participant traveling to the United States or a third country in the official USAID Health and Accident Coverage (HAC) insurance program. Participants entering the United States on J-1 visas are required to obtain HAC from the official USAID vendor. Institutions may not use award funds to cover their own institutional HAC insurance. More information on the USAID HAC program is available online. The cost of HAC for participants must be included in the budget.
Frequently Asked Questions (FAQs) about the RFA
What is the purpose of the planning grants?
The purpose of the planning grants is to develop strategic plans for long-term partnerships to:
- enhance the relevance and problem-solving capabilities of the African partner higher education institutions to serve their societies more effectively; and
- to help U.S. institutions become more knowledgeable about African affairs and develop stronger ties with African institutions.
What are the primary development problem focus areas for the planning grant proposals?
Six primary development focus areas have been identified for the planning grants program: (1) agriculture, environment and natural resources; (2) health; (3) science and technology; (4) engineering; (5) education and teacher training/preparation; and (6) business, management, and economics.
Can planning grant applications be cross-sectoral, i.e. simultaneously focus on several development problem focus areas?
Proposals will be expected to focus primarily on one development problem focus area. Depending on the approach taken, it is possible for more than one to be incorporated into the application.
What institutional configurations are allowable for proposals submitted in response to the RFA?
Applications must, at a minimum, come from a pair of degree-granting higher education institutions – one in the United States and one in a USAID-eligible Sub-Saharan African country. Applications must be submitted by a U.S. higher education institution that will be the contractually responsible entity for the award. Consistent with USAID procedure, this institution will be responsible for all fiscal matters related to the award, including contracting and reporting to USAID. In addition to the two lead/principal partner institutions, other partners may participate in the proposal and subsequent planning grant activities. These partners may be additional U.S. and African higher education institutions, government entities, NGOs, private sector entities, or regional and international organizations that help to strengthen the planning activities in the Planning Grant.
Why have only U.S. higher education institutions been designated as "contracting institutions" for partnership grants?
Partnership planning grants will be funded by USAID through the Office of Higher Education for Development under an agreement which stipulates that U.S. institutions will manage the U.S. Federal funds from USAID. In the request for applications, the primary U.S. partner is called the "contracting institution," meaning that this institution will have direct responsibility for receiving, disbursing and accounting for the USAID funds in accordance with U.S. government regulations in the Code of Federal Regulations, the USAID Automated Directive System, and other applicable regulations.
The intent of the partnership planning grants is for all partner institutions to be substantively involved in designing partnership projects and in carrying out project activities. Partner institutions will be responsible for signing off on the planning grant proposals being submitted and the expectation is that funds for the planning period will be equitably distributed among partner institutions in a manner appropriate to accomplishing the planning activities that are proposed.
Which African higher education institutions can participate in the planning grants program?
All recognized, higher and post-secondary education institutions in USAID-eligible Sub-Saharan African countries can apply for the planning grants and participate in the partnership program.
What are the USAID-eligible Sub-Saharan African countries?
Angola, Benin, Botswana, Burkina Faso, Burundi, Cameroon, Central African Republic, Cape Verde, Chad, Comoros, Congo, Democratic Republic of the Congo, Djibouti, Equatorial Guinea, Ethiopia, Gambia, Ghana, Guinea, Guinea-Bissau*, Kenya, Lesotho, Liberia, Madagascar, Malawi, Mali, Mauritius, Mozambique, Namibia, Niger, Nigeria, Rwanda, Sao tome and Principe, Seychelles, Somalia, Senegal, Sierra Leone, South Africa, Sudan*, Swaziland, Tanzania, Togo, Uganda, and Zambia.
* These countries are in a special status category for USAID support. Applicants planning to submit applications with institutions in these countries are advised to check with HED program officer, Teshome Alemneh, regarding eligibility.
How important will the geographic distribution of awards be to the overall program?
Geographic distribution will be an important overall characteristic of the program. To ensure equitable geographic distribution, extra consideration may be given to partnership applications that involve institutions in countries for which few applications are received.
How many applications can be submitted by any institution?
Each U.S. institution may submit as many as two (2) applications for which it intends to be contractually responsible. African higher education institutions may be the principal partner on three (3) applications. No limit is imposed on the number of application if an institution participates as a secondary partner.
How many awards can be made to each contractually responsible institution?
A contractually responsible U.S. institution may only receive one award.
How are applications reviewed and selected?
The planning grants program will be administered by the Higher Education for Development (HED). HED has a standard review and selection process that includes the peer review of applications by outside evaluators and approval by USAID. Following USAID approval, awards are negotiated by the HED program with the contracting U.S. institutions for each partnership.
What is the timeline for the RFA and the planning grant implementation?
The timeline to be followed is:
o Mid-November 2008 – Release of RFA for the planning grants.
o Early February 2009 – Deadline for submitting applications.
o Mid-March 2009 – Peer review of submitted applications.
o Late March 2009 – Announcement of winners of the planning grants.
o Early June 2009 – Sub-contracting with awards winners and grants launch.
o July/August 2009 – Partners meeting in Africa to unveil strategic plans.
o Early September 2009 – Detailed executive summary due.
o November 2009 – Final strategic plan due.
How was the timeline determined for the planning grants?
The time frame was set to conform to the United States federal fiscal year which ends September 30. Although the final deadline is just after the end of the fiscal year, the majority of the funded activities will have been completed and a draft strategic plan developed before the fiscal year ends on September 30.
How will long-term strategic plans prepared through these awards be used?
These awards will support the preparation of long-term strategic plans to strengthen the capacity African higher education institutions' ability to respond to regional and national development needs and to strengthen U.S. higher education partners' knowledge about Africa. Ideally, these strategic plans can be used to attract additional funding to implement the proposed activities. The resulting strategic plans may be funded through the Initiative depending on availability of funds to carry out a second competition for long-term funding. They can also be used to mobilize resources from diverse funding sources by partner institutions.
Will there be an additional call for planning grants?
Every effort will be made to secure more funding to support a second round of planning grants.
How do the problem model, needs assessment and strategic plan fit together in the proposal?
The problem model is the focal point of the RFA and should be the initial focus of an application. The RFA encourages applicants to focus on a development problem that can be identified with one of the six focus areas of the Initiative. Such a problem is expected to have a significant impact on development in Africa and solve problems of society. The purpose of requiring a statement of the problem model is to ensure that the overall strategic planning will be grounded in the application of institutional resources to solve a national, regional and/or global problem considered to be important by the African partner institution(s).
The purpose of the needs assessment to be undertaken with award funds is to identify any gaps of partner institutions in capacity to address aspects of the problem model, thus indicating where additional capacity needs to be built. The strategic plan, which is to result from the planning activity supported by the grants, should incorporate a strategy for long-term collaboration to achieve the capacity-building priorities identified by the partners in an application. It is expected to outline capacity building activities to address the problem model and gaps identified by the needs assessment.
Should applications emphasize only one focus area, given that many problems may require the attention of several disciplinary areas?
Depending on the problem model that is identified in the application, it is possible that several focus areas may need to be addressed. Although problems can be addressed through an interdisciplinary and comprehensive approach, an application should identify one of the six focus areas as a predominant area of focus for the purpose of this competition. Other areas should be considered as supportive.
Can a U.S. institution prepare an application and then send it to their African partner, before submitting it to HED?
It is the intent of this program that applications will be grounded in the reality of African higher education institutions and driven by the priorities set by African partners. Development of an application without the full collaboration of African partners is, therefore, strongly discouraged. It is expected that African partner higher education institutions will be fully involved in the identification and description of the problem model, in designing the needs assessment and strategic planning process, including the budget. Peer review panels will take these expectations into consideration in evaluating the applications submitted.
Does the planning grant support individuals – e.g. doctoral and post-doctoral students, faculty research, etc.?
The purpose of the planning grants is to support higher education institutions in Africa and the United States to develop strategic plans for long-term institutional collaboration primarily to develop the capacity of the African partner(s). The grants are not intended to support academic programs of individuals.
Is there a solicitation number?
Because HED is a non-governmental organization and is not a federal agency, the RFAs are not published in the United States Federal Register. Hence, this RFA does not have a solicitation number. The number referenced in the RFA (AEG-A-00-05-00007-00) is the identification number for the cooperative agreement between USAID and American Council on Education (ACE). These planning grants will be sub-awards from that cooperative agreement.
Are indirect costs allowed in this planning grant application?
Applying higher education institutions may include indirect costs as a line item in the award. Indirect costs in proposed budgets cannot exceed the Negotiated Indirect Cost Rate Agreement (NICRA) with the U.S. government that the applicant institution already has in place. HED strongly encourages applicants to consider providing indirect costs as an in-kind contribution to the award. HED cannot require this (in accordance with USAID regulations). Peer reviewers consider applications to be more competitive when indirect expenses are cost shared rather than charged as a direct cost to the proposed grant award.
What is the "special status" condition for eligibility of some countries in Sub-Saharan Africa?
A handful of USAID eligible countries listed in the RFA were designated as “special status” countries. USAID has stipulated that partners, who wish to apply for this planning grant with institutions in special status countries, should first obtain clearance (to apply) from the respective USAID Missions. You may contact the USAID Africa Bureau for further clarification.
Is there a format follow for the application?
There is no specific format to present an application. However, applicants must complete the provided forms -- the title page, detailed budget and work plan. This is a planning grant to be used to develop a strategic plan and applicants should not include or describe activities that represent outcomes of the strategic plan, such as faculty/staff development, curriculum review and development, laboratory improvement, etc., in the applications. These activities are envisaged to form the body of the strategic plan that will be developed using the planning grant.
How many applications can be submitted by different campuses of a university system?
Applicants should follow the policies of their institutions and utilize the required portal for submission of grant applications to U.S. federal agencies for this competition. If a U.S. higher education institution is part of a system of institutions, that institution will either have its own portal for submission of federal grant applications (usually an office of sponsored programs or sponsored research), or the institution will require that all applications for federal awards be submitted through a centralized portal (a systemwide office of sponsored programs, or perhaps a university foundation). In either case, an authorized office assumes responsibility for submitting grant applications, accounting for them, committing the institution’s resources to cost-sharing, and conducting or responding to financial audits.
For the purposes of this competition, HED will look to the institution or the system to follow its own policies to determine the application or applications to be submitted. For example, if an institution has its own sponsored programs or sponsored research office through which applications are routinely reviewed, approved and submitted for federal awards, and which is responsible for committing the institution’s resources to cost-sharing, then it can be considered a separate “entity” that can submit up to two applications as the lead U.S. institution. On the other hand, if a system requires that all applications for federal awards be submitted through a central portal for the system (for example, a sponsored research or sponsored programs office, or a university foundation), that submits proposals for federal funding on behalf of all of its branch affiliates, then only two proposals may be submitted for that system.
Q: Question No. 13 on the RFA Title Page requires a total of lines 8 through 13. Is there a cost requirement missing in question No. 13?
A: We apologize for this numbering error. Under question No. 13, we require lines 7 and 12 to be added, not lines 8 through 13, as was previously stated. This RFA Title Page has now been updated. In addition, the links in this RFA have been updated to provide access to the new title page.
POINTS OF CLARIFICATION
Letters of support: Letters of support from cooperating or partnering institutions are optional.
Letters of commitment: Letters signed by officials of applying institutions verifying that all costs cited in the application conform to established institutional policies and practices must be submitted together with an application.
Signatures: Original signatures – of the head/vice chancellor/president and the director/principal investigator – of the two lead partnering institutions are required. Two signature pages, one original signed by the U.S.partner and another by the African partner, are acceptable. If faxed copies are submitted with the application by the February 2, 2009 deadline, this is acceptable provided that the original signatures will reach the HED office within seven days of the due date.
Indirect costs: Universities may include indirect expenses as a line item in the award. Indirect costs in proposed budgets are limited to the Negotiated Indirect Cost Rate (NICRA) that any applicant institution already has in place. HED encourages applicants to consider providing indirect costs as an in-kind contribution to the award. HED cannot require this (in accordance with USAID regulations), but we strongly encourage it. Peer Reviewers generally view as more competitive those applications in which indirect expenses are covered through cost sharing rather than charged to the proposed grant award.
Budget submission: Please use the Budget Form provided in this RFA under the section "Application Format."
Submission of applications: HED will accept applications only from U.S. higher education institutions. Applications sent in directly to HED by any African institution cannot be reviewed.
Additional Background
Please refer to the following URL links for more information: