BUREAU FOR HUMANITARIAN ASSISTANCE EMERGENCY APPLICATION GUIDELINES APPLICABLE TO FISCAL YEARS 2021 AND 2022 REVISION DATE: MARCH 17, 2021 USAID/BHA Emergency Application Guidelines Record of Change The following changes have been made to the Guidelines since the October 2020 release. Applicants must incorporate these changes into their proposals. The most recent changes are listed first. The changes from this revision are highlighted in yellow in the text in the main body of the Guidelines. Date of Section Change Change 3/17/2021 Throughout Annex B and the Indicator Handbook have been combined to Annex B: Indicator Handbook. 11/13/2020 10.3 Needs Assessment Removed, “If you collect PII, do not submit it to Summary Report BHA unless specifically requested as part of the assessment data.” 10/29/2020 10.7 Monitoring and Change of title from BHA Monitoring and Guidance Evaluation Plan to BHA Guidance for Monitoring, Evaluation, and Reporting for Emergency Activities. 10/29/2020 6.2 Checklist of Required Added, “Organizational Structure and Past Elements for Full Performance Documentation” Applications TABLE OF CONTENTS 1. INTRODUCTION ..........................................................................................................1 1.1. OVERVIEW OF THE APPLICATION PROCESS AND REQUIREMENTS .............................. 2 2. GUIDING PRINCIPLES, POLICIES, AND LEGISLATIVE REQUIREMENTS .........3 2.1. BHA VISION AND MISSION .............................................................................................................. 3 2.2. PRINCIPLED HUMANITARIAN ACTION...................................................................................... 3 2.3. U.S. GOVERNMENT COMMITMENTS ........................................................................................... 3 2.3.1. THE GRAND BARGAIN ....................................................................................................... 3 2.3.2. SENDAI FRAMEWORK FOR DISASTER RISK REDUCTION .................................... 4 2.4. LEGISLATIVE FRAMEWORK AND FUNDING AUTHORITIES ............................................... 4 2.4.1. FOREIGN ASSISTANCE ACT ............................................................................................. 4 2.4.2. FOOD FOR PEACE (FFP) ACT ........................................................................................... 5 2.4.3. CODE OF FEDERAL REGULATIONS (CFR) .................................................................. 5 2.5. USAID POLICIES AND GUIDANCE ................................................................................................ 5 2.5.1. AUTOMATED DIRECTIVES SYSTEM (ADS) ................................................................... 5 2.5.2. ADDITIONAL BHA GUIDANCE DOCUMENTS .......................................................... 6 3. BHA PROGRAMMATIC PRIORITIES AND TIMEFRAME ........................................6 3.1. BHA FUNDING PRIORITIES UNDER THESE GUIDELINES ..................................................... 6 3.2. SECTORS ................................................................................................................................................. 7 3.3. EMERGENCY FOOD SECURITY PROGRAMMING .................................................................... 7 3.4. CROSS-CUTTING ELEMENTS AND GUIDANCE ...................................................................... 8 3.5. ACTIVITY DURATION AND TIME-BOUND REQUIREMENTS ............................................. 9 3.6. ELIGIBILITY INFORMATION FOR APPLICATIONS UNDER THESE GUIDELINES .......... 9 4. GENERAL FORMATTING INSTRUCTIONS .............................................................9 5. CONCEPT PAPERS .....................................................................................................10 5.1. SUBMISSION PROCESS ..................................................................................................................... 10 5.2. SUGGESTED ELEMENTS ................................................................................................................... 11 5.2.1. COVER PAGE ........................................................................................................................ 11 5.2.2. TECHNICAL APPROACH (RECOMMENDED LIMIT OF FIVE PAGES) ............... 12 5.2.3. BUDGET OVERVIEW .......................................................................................................... 13 5.2.4. LIST OR MAP OF THE PROPOSED TARGET AREA(S) ............................................ 13 6. APPLICATION SUBMISSION AND CONTENT .....................................................13 6.1. SUBMISSION PROCESS ..................................................................................................................... 13 6.2. CHECKLIST OF REQUIRED ELEMENTS FOR FULL APPLICATIONS ................................. 14 6.3. APPLICATION CONTENTS ............................................................................................................ 15 6.3.1. COVER PAGE ........................................................................................................................ 15 6.3.2. ACTIVITY SUMMARY TABLE ........................................................................................... 16 6.3.3. APPLICATION NARRATIVE AND ACTIVITY GUIDELINES ................................... 16 6.3.3.1. ACTIVITY OVERVIEW AND DESIGN ................................................................. 16 6.3.3.2. NEEDS ASSESSMENT AND ACTIVITY JUSTIFICATION................................ 17 6.3.3.3. DETAILED TECHNICAL DESCRIPTION............................................................. 18 6.3.3.4. TRANSITION OR EXIT STRATEGY ..................................................................... 21 6.4. FUNDED AND UNFUNDED MODIFICATIONS ....................................................................... 22 7. COST APPLICATION AND BUDGET GUIDELINES .............................................23 7.1. COST APPLICATION ......................................................................................................................... 23 7.2. REQUIRED DOCUMENTS................................................................................................................ 24 7.2.1. DETAILED OR ITEMIZED BUDGET ............................................................................... 24 7.2.2. BUDGET NARRATIVE ........................................................................................................ 26 7.2.3. SF-424 ....................................................................................................................................... 26 7.3. OTHER FINANCIAL DOCUMENTATION .................................................................................. 27 7.3.1. COST SHARING AND IN-KIND NON-FEDERAL CONTRIBUTIONS ............... 27 7.3.2. SUB-AWARD AND CONTRACTUAL ARRANGEMENTS ...................................... 27 7.3.3. U.S. GOVERNMENT NEGOTIATED INDIRECT COST RATE AGREEMENT .... 28 7.3.4. PROGRAM INCOME ........................................................................................................... 28 7.3.5. PIPELINE ANALYSIS (AWARD MODIFICATIONS ONLY) ...................................... 28 8. ADDITIONAL REQUIREMENTS FOR NEW APPLICANTS .................................28 8.1. FOR GRANTS AND COOPERATIVE AGREEMENTS ............................................................... 29 ORGANIZATION HAS NEVER RECEIVED U.S. GOVERNMENT FUNDING .... 29 ORGANIZATION HAS RECEIVED U.S. GOVERNMENT FUNDING BUT NEVER FROM USAID ......................................................................................................................... 29 8.2. FOR FIXED AMOUNT AWARDS TO NGOS ............................................................................. 30 9. INELIGIBLE AND RESTRICTED GOODS, SERVICES, AND COUNTRIES ........30 9.1. INELIGIBLE GOODS AND SERVICES ........................................................................................... 31 9.2. INELIGIBLE SUPPLIERS ....................................................................................................................... 31 9.3. RESTRICTED GOODS ....................................................................................................................... 31 9.3.1. AGRICULTURAL COMMODITIES .................................................................................. 31 9.3.1.1. REQUIRED PRACTICES FOR PURCHASE OF LIVESTOCK .......................... 32 9.3.1.2. QUALITY REQUIREMENTS FOR SEEDS, SEEDLINGS, AND CUTTINGS 33 9.3.1.3. FERTILIZERS ................................................................................................................. 33 9.3.1.4. PESTICIDES AND PESTICIDE-CONTAINING MATERIALS .......................... 33 9.3.1.4.1. AGRICULTURAL PESTICIDES ..................................................................... 35 9.3.1.4.2. LONG LASTING INSECTICIDE TREATED NETS .................................. 35 9.3.1.4.3. INSECTICIDE-TREATED PLASTIC SHEETING ....................................... 35 9.3.2. PHARMACEUTICALS AND MEDICAL COMMODITIES .......................................... 36 9.3.2.1. HUMAN PHARMACEUTICALS .............................................................................. 36 9.3.2.2. VETERINARY PHARMACEUTICALS .................................................................... 36 9.3.3. MOTOR VEHICLES .............................................................................................................. 36 9.3.4. COVERED TECHNOLOGIES