NOFO FTIF_Kinshasa_2020 ver final rev 08.06.2020.docx

U.S. DEPARTMENT OF STATE

U.S. EMBASSY KINSHASA

Notice of Funding Opportunity (NOFO)

Eligibility Category: U.S. Non-profit/non-governmental organizations (NGOs) having a 501(c)(3) status with the IRS, overseas-based non-profit/non-governmental organizations, and DRC-based non-profit/non-governmental organizations.

Please note: Applications that focus on activities in countries and territories other than the Democratic Republic of the Congo (DRC) will not be considered under this Notice of Funding Opportunity.

Section A. Funding Opportunity Program Description A.1. Program Description The Embassy of the United States in Kinshasa announces a Notice of Funding Opportunity (NOFO) for a program to improve fiscal transparency of mining royalties in the Democratic Republic of the Congo (DRC). The project would create strategic guidance on managing new mining royalty revenue streams, and establish partnerships with local non-profit/non-governmental organizations (often referred to in the DRC as civil society organizations) and government reform partners in order to promote sustained economic development in mining communities and the nation. The Period of Performance for this grant will be 24 months. Funding authority rests in the Foreign Assistance Act of 1961, as amended.

Background:

Mining law changes in 2018 and the DRC’s first peaceful political transition since independence in January 2019 have presented new challenges as well as opportunities for fiscal transparency in extractive industries. Legal changes introduced new revenue streams at the local level through royalty payments to local decentralized entities (ETDs) and at the national level through a sovereign wealth fund. The Tshisekedi administration has expressed support for transparency and accountability and has already begun to change attitudes and conversations around corruption. The administration’s efforts, however, continue to face capacity constraints and political resistance.

The DRC boasts untapped mineral reserves worth over $24 trillion including resources in copper, cobalt, gold, diamonds, tin, tantalum, tungsten, timber, and petroleum. According to the Extractive Industries Transparency Initiative (EITI), extractive industries and the mining sector in particular are responsible for 97 percent of the DRC’s export revenue and 23 percent of formal employment. The DRC’s Ministry of Mines estimates that the mining sector contributed to 32 percent of the country’s gross domestic product in 2018.

Growth in extractive industries, however, has rarely translated into economic development for communities living in mineral-rich areas of the country. The World Bank cites the DRC as one of five countries in the world with the greatest number of people living in extreme poverty—in 2018, 72 percent of the population lived on less than $1.90 a day. One of the key reasons for this “natural resource paradox” is a lack of fiscal transparency. According to Transparency International’s 2019 Corruption Perceptions Index, the DRC ranked 168th out of 198 countries and the DRC scored below the global average on the International Budget Partnership’s Transparency Score. Major mining assets have been secretly sold to offshore companies often connected to political elites, hundreds of millions of dollars in revenue disappear from state-owned mining enterprises, multinational companies conceal profits to avoid taxes, and international investment frequently originates from countries with weak transparency regulations.

Despite these challenges, the DRC has made some progress in fiscal transparency in the extractives sector in recent years. In 2019, the EITI Board of Directors announced that the DRC had achieved “meaningful progress” (better than “inadequate” but short of “satisfactory”), even under expanded disclosure requirements. Active engagement by DRC’s civil society organizations in the extractives sector, which are known for their technical competence, has been critical not only to progress with the EITI, but also a good governance provisions in the revised mining code and President Tshisekedi’s accountability agenda. Civil society organization (CSO) advocacy resulted in a provision in the revised mining code (18/001) passed on March 9, 2018 that requires mining companies to pay 15 percent of all royalties directly to decentralized local entities (ETDs) and a more modest 0.3 percent of annual revenue to community development projects. In 2019, mining enterprises paid an estimated $82 million in local royalties, but this is likely an undercount as only seven of the DRC’s 26 provinces were included in the account.

Another provision in the revised mining law requires that 10 percent of all royalties go to a sovereign wealth fund, or Mining Fund for Future Generations (FOMIN). On November 25, 2019, the Prime Minister signed a decree outlining FOMIN’s objectives and governance structure. While the decree establishes an independent auditor for FOMIN, the details remain vague and an international research institute says that the government must be more specific about transparency. Questions remain about how the money will be stored, invested, and spent. A parliamentary report said that mismanagement of a similar Industry Promotion Fund created in 1989 meant that at least 70 percent of funded projects failed to materialize and nearly $100 million ended up in politicians’ hands. Transparency for FOMIN must be bolstered soon if it is going to achieve its development goals: in 2019, mining companies had already contributed $55 million to the fund.

Work to Date:

Organizations working on fiscal transparency of local royalties are in agreement on some broad objectives—greater accountability, increased citizen participation, and revenue mobilization for development—but stakeholders have yet to synergize their approaches and coalesce around a broad strategy. Several international donors, international non-governmental organizations (NGO), and local NGOs have programs to educate select ETDs about mining code changes, build capacity for financial management and participatory budgeting, and advocate that local royalties be spent on development projects. The work remains, however, nascent and ad-hoc: there are no criteria for which ETDs should be prioritized for assistance or what activities are most likely to achieve desired outcomes. A recent NGO report underscored the importance of having more information and a national strategy. It found that ETDs did not always receive all the local royalties they were owed and funds ETDs did receive were spent on administrative operating costs and amenities rather than social and economic development.

Work on FOMIN’s governance is practically non-existent. Aside from an international research institute’s report on potential management risks, few international or local NGOs have engaged the government or mobilized the public around the Fund.

Contact Person: For questions on the application and technical content please contact bhattj@state.gov and chenjh2@state.gov A.2. Program Objectives:

The implementer will advance fiscal transparency and accountability of mining revenues in the Democratic Republic of the Congo by developing a strategy to guide donors and local and international NGOs’ engagement with local decentralized entities (ETD), local government officials, and mining companies. This program will promote transparent management of mining revenues and enhance oversight of government financial management practices.

Objective 1: Develop a National Strategy for Local Royalties to ensure that decentralized local entities (ETDs) receive the full 15 percent of royalties paid by mining companies and increase the amount of local royalties invested in community economic and social development.

Objective 2: Develop a National Strategy for the Sovereign Wealth Fund, referred to as the Mining Fund for Future Generations (FOMIN), which will serve as a guide for good governance and fiscal transparency polices that guarantee accountability and transparency in the management of the sovereign wealth fund and reduces potential management risks.

Objective 3: Establish a Partnership Plan for Local Royalties to match local NGOs with government reformers to ensure ETDs are receiving the royalties they are owed, managing those royalties transparently, and investing the funds in community economic and social development.

Objective 4: Establish a Partnership Plan for Sovereign Wealth to match local NGOs with Tshiskedi administration reformers to identify and create a transparency process that addresses how FOMIN should be stored, invested, and spent to reduce management risks.

A.3. Expected Results Expected results for the National Strategies on Local Royalties and the Sovereign Wealth Fund are:

1. A written report on local royalties.

2. A written report on FOMIN.

Both reports should be written in French and English and published online. The implementer should explain how it would disseminate both strategies to local stakeholders in the DRC, particularly those who may not have Internet access.

Expected results for the Partnership Plans are:

1. At least two partnerships between local non-governmental organizations and ETDs.

2. Establish a Memorandum of Understanding (MOU) between local non-governmental organizations and the DRC government on managing the Mining Fund for Future Generations (FOMIN).

The implementer may add local NGO – ETD partnerships based on the findings in The National Strategy for Local Royalties, but this NOFO requires that at least two partnerships must be initiated. The strategic working partnerships between local NGOs and ETDs should serve as models on how to increase capacity, transparency, and participation in local royalty management. The implementer should execute an MOU on how to increase transparency and public participation of FOMIN’s governance and spending and make it available online.

A.4. Main Activities The National Strategy for Local Royalties could include, but are not limited to, the following activities:

Expected Royalties Activities:

· Identify and map the ETDs that are expected to receive local royalties from ongoing or expected mining activities under the revised mining law.

· Enumerate the amount of expected local royalties for each ETD from mining activities in their jurisdiction.

Political Constraints Activities:

· Classify the key legal and political challenges ETDs face for local royalty good governance.

· Propose strategies for overcoming types of political challenges.

Administrative Constraints Activities:

· Classify the capacity of ETDs to prudently manage expected local royalties.

· Classify the most pressing needs of low capacity ETDs and how addressing them will improve socioeconomic and community development.

Public Participation Activities:

· Analyze the status of and the level and quality of public participation in ETDs’ development plans.

· Classify the willingness and capacity for various ETD residents’ involvement in development planning and participatory budgeting.

National Strategy for Sovereign Wealth could include, but are not limited to, the following activities:

· A review or comparative analysis of other countries’ sovereign wealth funds, particularly in Sub-Saharan Africa, and successful transparency measures that could apply to the DRC.

· A strategy for how FOMIN should be governed in the DRC to maximize accountability and return on investment.

· A strategy for how to increase transparency and public participation for how FOMIN funds will be spent.

The Partnership Plan activities could include, but are not limited to, the following activities:

· Proposing and implementing specific local NGO – ETD partnerships according to a set of criteria.

· Organizing roundtable discussions, which are open to the media, between select local NGOs and Tshisekedi administration officials on how FOMIN will be managed and spent.

A.5. Performance Indicators

The project should monitor and report on performance indicators that are specific, measurable, achievable, reasonable, and time-bound. Establish, where possible, performance baseline data and expected performance targets for each expected result, and include details on what sources of data will be used to document performance, how the indicators will be measured, frequency of measurement, and units of measure. Indicators should also allow for disaggregation by key variables such as tracking the level of engagement of U.S. and international companies in all relevant indicators as well as gender disaggregation, as applicable. Indicators should reflect key project outputs or outcomes that reflect on the primary goals or objectives of the project and that the implementer can collect with high quality data.

Applicants must fill out the table below and insert it into the proposal document. Additional non-Department of State (DOS) indicators may be added that are relevant to the project by adding rows to the chart.

All applicable indicators should be included in the proposal and subsequent to the award, routine, periodic reporting of all indicators will be required. The implementer will be responsible for quarterly reporting on each performance indicator included in the grant as well as analysis of progress or impediments to reach indicator targets.

The following are required indicators. Applicants are free to add other indicators relevant to the primary objectives and expected results of the project.

The following are suggested indicator/s for this project:

The State Department takes into consideration the quality of data reported by recipients as part of the award activities, therefore applicants should be aware that recipients will be subject to data quality assessments.

Section B. Federal Award Information B.1. Available Funding Overall grant-making authority for this project is contained in the Foreign Assistance Act of 1961, as amended. The period of performance will be 24 months. Depending on the quality of performance and other factors, additional supplemental funding may be considered to continue activities and extend the period of performance, if funds are available and the U.S. Embassy of Kinshasa and the Recipient mutually agree.

Summary of Award Information

This notice is subject to availability of funding.

The Recipient must ensure that all funds are used in a manner consistent with U.S. Government laws on the use of foreign assistance funds, including any applicable restrictions on funding.

Section C. Eligibility Information

C.1. Eligible Applicants

Eligibility is limited to U.S. Non-profit/non-governmental organizations (NGOs) having a 501(c)(3) status with the IRS, overseas-based non-profit/non-governmental organizations, and DRC-based non-profit/non-governmental organizations.

Applicants must have previous experience managing or implementing programs in the DRC.

Technically eligible submissions are those which: 1) arrive electronically to www.grants.gov by the designated deadline; 2) have heeded all instructions contained in the Notice of Funding Opportunity (NOFO), including registrations and length and completeness of submission; and 3) do not violate any of the guidelines stated in the solicitation and this document.

For-profit and commercial firms are not eligible to apply in response to this NOFO.

Please see 2 CFR 200.307 for regulations regarding program income.

C.2. Cost Share There is no minimum or maximum percentage required for this competition.

Cost-sharing or matching is not an evaluation criteria of this NOFO.

When cost sharing is offered, it is understood and agreed that the applicant must provide the amount of cost sharing as stipulated in its proposal and later included in an approved agreement. Cost sharing may be in the form of allowable direct or indirect costs. For accountability, recipients must maintain written records to support all costs that are claimed as their contribution, as well as costs to be paid by the Federal government. Such records are subject to audit. The basis for determining the value of cash and in-kind contributions must be in accordance with OMB 2 CFR 200.306 - Cost Sharing and Matching.

C.3. Other Eligibility Requirements In order to be eligible to receive an award, all organizations must have a unique entity identifier (Data Universal Numbering System/DUNS number from Dun & Bradstreet), as well as a valid registration on www.SAM.gov. Please see Section D.3 for information on how to obtain these registrations.

Any applicant listed on the Excluded Parties List System (EPLS) in the System for Award Management (SAM) is not eligible to apply for an assistance award in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR, 1986 Comp., p. 189) and 12689 (3 CFR, 1989 Comp., p. 235), “Debarment and Suspension.” Additionally, no entity listed on the EPLS can participate in any activities under an award. All applicants are strongly encouraged to review the EPLS in SAM to ensure that no ineligible entity is included.

Organizations must have a commitment to equal opportunity employment practices and to non-discrimination practices with regard to beneficiaries, without regard to race, religion, ethnicity, gender, sexual orientation, or political affiliation

Organizations may only submit one application per organization. If more than one application is submitted by an organization, only the first application received will be reviewed for eligibility and funding.

D. Application and Submission Information

NOTE: Applications that do not include all the required documentation described in this Section will not advance to the Technical Review stage. Further, applications that exceed the allowable page limits will not be reviewed by the review panel. Applicants may not add any materials to an application once it has been submitted and the competition deadline has passed.

D.1. Address to Request Application Package

Application forms required below are available at grants.gov.

D.2. Content and Form of Application Submission

Please follow all instructions below carefully. Proposals that do not meet the requirements of this announcement or fail to comply with the stated requirements will be ineligible.

Application must have the following format:

· The proposal clearly addresses the goals and objectives of this funding opportunity

· All documents are in English

· All budgets are in U.S. dollars

· All pages are numbered

· All documents are formatted to 8 ½ x 11 paper, and

· All Microsoft Word documents are single-spaced, 12 point Times New Roman font, with a minimum of 1-inch margins.

The following documents are required:

1. Mandatory application forms

· SF-424 (Application for Federal Assistance – Organizations)

· SF-424A (Budget Information for Non-Construction Programs)

· SF424B (Assurances for Non-Construction programs) The SF-424 B is required only for those applicants who have not registered in SAM.gov or recertified their registration in SAM.gov since February 2, 2019 and completed the online representations and certifications.

2. Summary Page: Cover sheet stating the applicant name and organization, proposal date, program title, program period proposed start and end date, and brief purpose of the program.

3. Proposal (10 pages maximum): The proposal should contain sufficient information that anyone not familiar with it would understand exactly what the applicant wants to do. You may use your own proposal format, but it must include all the items below.

· Proposal Summary: Short narrative that outlines the proposed program, including program objectives and anticipated impact;

· Introduction to the Organization Applying: A description of past and present operations, showing ability to carry out the program, including information on all previous grants from the U.S. Embassy and/or U.S. government agencies.

· Program Description: Clear, concise, and well-supported description of why the proposed program is needed and how the program will achieve the objectives listed in Section A.

· Program Activities: Describe the program activities and how they will help achieve the objectives listed in Section A.

· Program Methods and Design: A description of how the program is expected to work to solve the stated problem and achieve the goal. Include a logic model as appropriate.

· Proposed Program Schedule and Timeline: The program schedule should resemble a work plan, indicating what activities or phases of the program will take place in each months of the proposed timeframe. The timeline for the program activities should include the proposed dates, times, and locations of planned activities and events. Tentative information should also be included.

· Key Personnel: Names, titles, roles and experience/qualifications of key personnel involved in the program. What proportion of their time will be used in support of this program?

· Program Partners: List the names and type of involvement of key partner organizations and sub-awardees, if applicable.

· Future Funding or Sustainability: Applicant’s plan for continuing the program beyond the grant period, or the availability of other resources, if applicable.

4. Detailed Line-Item Budget: The detailed budget should follow the OMB budget categories (see SF-424A for budget categories). A template budget is provided (see attachment 1), but is not required, as long as the submitted budget follows OMB categories.

5. Budget Justification Narrative: After completing the detailed budget, use a separate sheet of paper to describe each of the budget expenses in detail. See section H. Other Information: Guidelines for Budget Submissions below for further information.

6. Attachments:

· 1-page CV or resume of key personnel who are proposed for the program.

· If your organization has a Negotiated Indirect Cost Rate Agreement (NICRA) and includes NICRA charges in the budget, your latest NICRA should be included as a PDF file.

· If your organization engages in lobbying activities, a Disclosure of Lobbying Activities (SF-LLL) form is required.

· Letter of Disclosure for proposed consultants/personnel (if applicable) of potential conflicts of interest, employment with a local/state/federal government; and

· Letter(s) of Institutional Support to indicate that your organization’s leadership is providing their support of the application.

· Official permission letters, if required for program activities

· Performance Monitoring Plan A Performance Monitoring Plan (PMP) describes the measures proposed by an applicant to capture and demonstrate progress toward achieving the objectives of the proposed project. Please see section A for further guidance and use the provided table. The quality and feasibility of the proposed PMP will be among the elements on which applications are evaluated. The PMP should be attached as a separate document and has no page limit.

· Risk Assessment Applicants should include all assumptions and external factors identified in the logical framework in the risk analysis. See attachment 3.

· Sustainability Plan The sustainability plan outlines how the proposed project will be sustained beyond the initial award period. Capacity development, new services, and any tools or platforms must be sustainable and last beyond the initial investment. Sustainability Plans should be attached as separate document and may not exceed two pages.

· Work Plans, Project Timeline, and/or Calendar of Activities A work plan is a detailed list of proposed activities, milestones, and approximate dates. Applicants may choose to include a work plan, project timeline, and/or calendar of proposed activities.

· Contingency plan. Due to the work disruptions and travel restrictions caused by COVID-19, the applicant must include a contingency plan outlining how to mitigate restrictions/interruptions to the project implementation during the period of performance. Contingency plans may include project implementation through remote or virtual training tools.

Required Registrations:

Any applicant listed on the Excluded Parties List System (EPLS) in the System for Award Management (SAM) is not eligible to apply for an assistance award in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR, 1986 Comp., p. 189) and 12689 (3 CFR, 1989 Comp., p. 235), “Debarment and Suspension.” Additionally, no entity listed on the EPLS can participate in any activities under an award. All applicants are strongly encouraged to review the EPLS in SAM to ensure that no ineligible entity is included.

All organizations applying for grants (except individuals) must obtain these registrations. All are free of charge:

• Unique entity identifier from Dun & Bradstreet (DUNS number)

• NCAGE/CAGE code

• www.SAM.gov registration Step 1: Apply for a DUNS number and an NCAGE number (these can be completed simultaneously).

DUNS application: Organizations must have a Data Universal Numbering System (DUNS) number from Dun & Bradstreet. If your organization does not have one already, you may obtain one by calling 1-866-705-5711 or visiting http://fedgov.dnb.com/webform NCAGE application: Application page here: https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx Instructions for the NCAGE application process:

https://eportal.nspa.nato.int/AC135Public/Docs/US%20Instructions%20for%20NSPA%20NCAGE.pdf

For NCAGE help from within the U.S., call 1-888-227-2423 For NCAGE help from outside the U.S., call 1-269-961-7766 Email NCAGE@dlis.dla.mil for any problems in getting an NCAGE code.

Step 2: After receiving the NCAGE Code, proceed to register in SAM.gov by logging onto: https://www.sam.gov. SAM registration must be renewed annually.

D.3. Submission Dates and Times Applications are due no later than 11:59PM EDT on August 21, 2020.

D.4. Funding Restrictions

The following activities and costs are not covered under this announcement:

· Construction is not an allowable activity under this award.

· Activities that appear partisan or that support individual or party electoral campaigns.

· Direct support or the appearance of direct support for any religious organization, to include repair or building of structures used for religious purposes.

· Military assistance of any kind, including weapons buy-back or rewards programs.

· Purchase of firearms, ammunition, or removal of unexploded ordnances.

· Para-police (i.e., militias, neighborhood watch, security guards) and prison-related projects. This restriction includes no funding of any secondary need in a law-enforcement organization.

· Payments for any partner government, military, or civilian government employee salary or pension.

· Duplication of services immediately available through municipal, provincial, or national government.

· Funds for market research, advertising (unless public service related to grant program), or other promotional expenses.

· Expenses made prior to the approval of a proposal or unreasonable expenditures will not be reimbursed.

· Charitable or development activities;

· Fund-raising campaigns;

· Lobbying for specific legislation or projects;

· Scientific research;

· Projects intended primarily for the growth or institutional development of the organization;

· Projects seeking funds for personal use;

· Projects that require a participation fee.

Representation by Organization Regarding a Delinquent Tax Liability or a Felony Criminal Conviction: In accordance with section 7073 of Division K of the Consolidated Appropriations Act, 2014 (Public Law 113-76) none of the funds made available by that Act may be used to enter into an assistance award with any organization that –

(1) Was “convicted of a felony criminal violation under any Federal law within the preceding 24 months, where the awarding agency has direct knowledge of the conviction, unless the agency has considered, in accordance with its procedures, that this further action is not necessary to protect the interests of the Government”; or

(2) Has any “unpaid Federal tax liability that has been assessed for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability, unless the Federal agency has considered, in accordance with its procedures, that this further action is not necessary to protect the interests of the Government.”

For the purposes of Section 7073, it is the Department of State’s policy that no award may be made to any organization covered by (1) or (2) above, unless the Procurement Executive has made a written determination that suspension or debarment is not necessary to protect the interests of the Government.

D.5. Other Submission Requirements

Applications must be submitted electronically through www.Grants.gov.

E. Application Review Information

E.1. Criteria

Each application will be evaluated and rated on the basis of the evaluation criteria outlined below. The criteria are designed to assess the quality of the application and to determine the likelihood of its success and impact. The criteria are closely related and are considered as a whole in judging the overall quality of an application. Applications will be reviewed on the basis of their fullness, coherence, clarity, and attention to detail. Points are awarded only to applications that are responsive within the context of this program announcement.

Project Design (30 points)

· The applicant presents innovative ideas that will maximize the program’s desired impact

· The applicant describes how each proposed project activity will address the Program Objectives outlined in this announcement.

· The applicant acknowledges if activities similar to those proposed are already taking or have taken place previously, and provides an explanation as to how proposed new activities will not duplicate existing/recent activities.

· The applicant clearly explains why the proposed project design is feasible and articulates how potential challenges or delays to project implementation will be mitigated.

Achieved Results (20 points)

· The applicant describes how the expected results will be accomplished within the timeframe of the proposed award as well as anticipated long-term impacts:

· The applicant clearly explains how they will plan and complete the required activities.

· The applicant provides realistic milestones to indicate progress toward expected results and indicators as described in the program announcement.

· The applicant explains how monitoring and evaluation activities will be carried out and who will be responsible for them.

· Analysis of applicant’s selected indicators and how realistic/feasible are they to the project and what are the expected project results.

· The sustainability plan outlines how the proposed project will be sustained beyond the initial award period. Capacity development, new trainings, and any tools or methods must be sustainable and last beyond this initial investment.

Organizational Capacity and Record on Previous Grants (20 points)

· The applicant demonstrates experience in the DRC and natural resources sector.

· The applicant demonstrates technical experience (e.g., has previously worked and/or has established contacts/partners) in the area of mining, fiscal transparency, good governance, and community and socioeconomic development.

· The applicant demonstrates knowledge and experience working with ETDs, local NGOs, and Ministerial level government bureaus and agencies.

· The applicant demonstrates a recent history of successful work in the mining sector.

· The applicant demonstrates access to local NGOs in the DRC that could be mobilized to meet the unique needs of the project.

· The applicant includes letters of intent/commitment/agreement from proposed partners that detail concrete plans for partner involvement.

Staff and Position Specifications (20 points)

· Pre-identified key staff members, including volunteers, demonstrate an understanding of the project and possess the technical skills appropriate for their role, including, where appropriate, experience and knowledge with DRC’s mining laws and fiscal regimes, mining industry, local politics, community development, and sovereign wealth funds.

· The roles and qualifications of each key person, whether staff, partner, consultant, or volunteer, are described in a biographical sketch.

Budget Narrative (10 points)

· The costs proposed are reasonable in relation to the proposed activities and anticipated results, which are clearly explained in the budget narrative.

· The budget provides details of calculations, including estimation methods, quantities, unit costs, and other similar quantitative detail sufficient for the calculation to be duplicated.

· The preponderance of the budget is spent on supporting the project participants/activities in country and includes costs dedicated to management, monitoring, and evaluation.

· Adequate travel costs are proposed using reasonable estimates of international and ground travel needs and costs

· The budget demonstrates a reasonable cost per participant.

E.2. Review and Selection Process

A Grants Review Committee will evaluate all eligible applications.

E.3. Federal Awardee Performance & Integrity Information System (FAPIIS)

For any Federal award under a notice of funding opportunity, if the Federal awarding agency anticipates that the total Federal share will be greater than the simplified acquisition threshold on any Federal award under a notice of funding opportunity may include, over the period of performance (see §200.88 Simplified Acquisition Threshold), this section must also inform applicants:

i. That the Federal awarding agency, prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold, is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313);

ii. That an applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM;

iii. That the Federal awarding agency will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in §200.205 Federal awarding agency review of risk posed by applicants.

F. Federal Award Administration Information

F.1. Federal Award Notices

The grant award or cooperative agreement will be written, signed, awarded, and administered by the Grants Officer. The assistance award agreement is the authorizing document and it will be provided to the recipient for review and signature by email. The recipient may only start incurring program expenses beginning on the start date shown on the grant award document signed by the Grants Officer.

If a proposal is selected for funding, the Department of State has no obligation to provide any additional future funding. Renewal of an award to increase funding or extend the period of performance is at the discretion of the Department of State.

Issuance of this NOFO does not constitute an award commitment on the part of the U.S. government, nor does it commit the U.S. government to pay for costs incurred in the preparation and submission of proposals. Further, the U.S. government reserves the right to reject any or all proposals received.

F.2. Payment Method:

Request for Payment via SF 270. Payments shall be disbursed via EFT upon receipt of a signed SF-270 form and required reporting.

F.3. Administrative and National Policy Requirements

Terms and Conditions: Before submitting an application, applicants should review all the terms and conditions and required certifications which will apply to this award, to ensure that they will be able to comply. These include:

2 CFR 200, 2 CFR 600, and the Department of State Standard Terms and Conditions which are available at: https://www.state.gov/about-us-office-of-the-procurement-executive/.

Note the U.S Flag branding and marking requirements in the Standard Terms and Conditions.

F.4. Reporting

Reporting Requirements:

Recipients will, at a minimum, be required to submit Quarterly Progress Reports and a Quarterly Financial Reports. Progress Reports will compare actual to planned performance and indicates the progress made in accomplishing each assistance award tasks/goals noted in the grant agreement and will contain analysis and summary of findings, both quantitative and qualitative, for key indicators. Financial Reports provide a means of monitoring expenditures and comparing costs incurred with progress. Failure to submit reports on time will result in payment delays.

Recipients must report immediately when a program faces unplanned delays in implementation, fails to meet program targets or milestones, or costs increase. Any changes or revisions to the approved budget require prior approval from the Grants Officer.

Progress Reporting

At minimum, it is expected that progress reports include:

· Significant activities of the period and how activities reflect progress toward achieving goals;

· Evaluation of progress on goals/objectives with quantitative and qualitative data, as appropriate;

· Any problems/challenges in implementing the project and a corrective action plan;

· Evaluation of accomplishments with quantifiable information on goals and objectives to date as available, including reporting on agreed-upon indicators;

· An update on expenditures during the reporting period; and

· Supporting documentation or products related to project activities (such as surveys, travel, etc.).

· Performance indicator results and supporting documentation;

· As applicable, Project Spotlight highlighting a significant area of progress under the grant as well as photos of implementation.

Final Report

The final report will be due no later than 90 days after the end date of the award or termination of all project activities.

Additional guidance may be provided prior to the award end date.

G. Federal Awarding Agency Contacts

If you have any questions about the grant application process, please contact: bhattj@state.gov and chenjh2@state.gov

H. Other Information

H.1. Guidelines for Budget Justification

· Personnel and Fringe Benefits: Describe the wages, salaries, and benefits of temporary or permanent staff who will be working directly for the applicant on the program, and the percentage of their time that will be spent on the program.

· Travel: Estimate the costs of travel and per diem for this program, for program staff, consultants or speakers, and participants/beneficiaries. If the program involves international travel, include a brief statement of justification for that travel.

· Equipment: Describe any machinery, furniture, or other personal property that is required for the program, which has a useful life of more than one year (or a life longer than the duration of the program), and costs at least $5,000 per unit.

· Supplies: List and describe all the items and materials, including any computer devices, that are needed for the program. If an item costs more than $5,000 per unit, then put it in the budget under Equipment.

· Contractual: Describe goods and services that the applicant plans to acquire through a contract with a vendor. Also describe any sub-awards to non-profit partners that will help carry out the program activities.

· Other Direct Costs: Describe other costs directly associated with the program, which do not fit in the other categories. For example, shipping costs for materials and equipment or applicable taxes. All “Other” or “Miscellaneous” expenses must be itemized and explained.

Indirect Costs: These are costs that cannot be linked directly to the program activities, such as overhead costs needed to help keep the organization operating. If your organization has a NICRA and includes NICRA charges in the budget, attach a copy of your latest NICRA.

Organizations that have never had a NICRA may request indirect costs of 10% of the modified total direct costs

“Cost Sharing” refers to contributions from the organization or other entities other than the U.S. Embassy. It also includes in-kind contributions such as volunteers’ time and donated venues.

Alcoholic Beverages: Please note that award funds cannot be used for alcoholic beverages.

H.2. Conflict of Interest

In accordance with applicable Federal awarding agency policy, applicants must disclose in writing any potential conflict of interest to the Federal awarding agency or pass-through entity.

H3. Applicant Vetting

Applicants are advised that proposals will be evaluated against the potential risk that federal funds may inadvertently be passed to the wrong hands and that funds may benefit terrorists groups or their supporters. Applicants may be asked to submit information required by DS Form 4184, Risk Analysis Information (attached to this solicitation), about their company and its principal personnel. Vetting information is also required for all sub-award performance on assistance awards identified by DOS as presenting a risk of terrorist financing. When vetting information is requested by the Grants Officer, information may be submitted on the secure web portal at: https://ramportal.state.gov, via Email to RAM@state.gov, or hardcopy to the Grants Officer.

Questions about the form may be emailed to RAM@state.gov. Failure to submit information when requested, or failure to pass vetting may be grounds for rejecting your proposal.

H4. Marking Policy

Applicants are advised that recipients and sub-recipients of Federal assistance awards are subject to the State Department’s Marking Policy. More information on this policy can be found on:

http://r.state.sbu/visiblyamerican/default.aspx

H5. Evaluation Policy

Applicants are advised that recipients and sub-recipients of Federal assistance awards are subject to the Department of State Evaluation Policy. More information on this policy can be found here: http://www.state.gov/s/d/rm/rls/evaluation/2015/236970.htm H6. Monitoring Site Visits

A monitoring site visit, at least once during the lifetime of a grant, is required by Department of State grant policy. The site visit is conducted to gather additional information on the recipient’s ability to properly implement the project, manage funds, and share substantiating document for programmatic, indicator, and financial reporting. Specifically, the site visit will involve the review of the programmatic progress (progress on activities, sub-recipient/consultant work, data quality, etc.) as well as administrative and financial management and controls.

Attachments:

Attachment 1: Budget Template Attachment 2: Performance Monitoring Plan Template Attachment 3: Risk Analysis

SENSITIVE BUT UNCLASSIFIED