Proposal Submission Instructions.docx

SECTION IV – APPLICATION AND SUBMISSION INSTRUCTIONS

U.S. Embassy Belmopan urges prospective applicants to immediately confirm their organization has a current Data Universal Numbering System (DUNS) number as well as a current Central Contractor Registration (www.SAM.gov).

Applicant organizations that do not have DUNS number, may obtain one at no cost by calling the toll-free DUNS request line at 1-866-705-5711 or visiting the D&B website at: https://iupdate.dnb.com/iUpdate/viewiUpdateHome.htm

NOTE: Organizations MUST obtain a DUNS number prior to completing the SAM.gov registry process. Please include the same registration information for both which will allow for a smoother registration process.

Applicant organizations can obtain assistance for SAM.gov registration by using the following link: https://www.fsd.gov or calling 1-866-606-8220 (U.S. calls) or 1-324-206-7828 (international calls).

NCAGE Code - Special Requirements for Non-U.S. Applicants:

Non-U.S. organizations must first obtain a North Atlantic Treaty Organization CAGE (NCAGE) Code from the appropriate source. Organizations may request an NCAGE code using the following link: https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx

TECHNICAL FORMAT REQUIREMENTS

For all application documents, please ensure:

A. All pages are numbered, including budgets and attachments, B. All documents are formatted to 8 ½ x 11 paper, portrait orientation only, and C. All documents are single-spaced, 12-point Times New Roman font, with a minimum of 1-inch margins.

Complete applications must include the following Sections:

1. Completed Cover Sheet, which includes a project title, name of the solicitation organization, and Data Universal Numbering System (DUNS). Please see TAB A

2. Completed and signed SF-424 and SF-424a, submitted to Grants.gov, as well as, if applicable, your organization’s most recent audit. Please see TAB B

3. Table of Contents (not to exceed one [1] page in Microsoft Word) that includes a page-numbered contents page, including any attachments.

4. Executive Summary (not to exceed two [2] pages in Microsoft Word) that includes:

a) The target cities, towns, villages, or areas,

b) Name and contact information for the project’s main point of contact,

c) A statement of work or synopsis of the project, including a concise breakdown of the project’s objectives, activities, and expected results,

d) The total amount of funding requested and project length, and

e) A brief statement on how the project is innovative, sustainable, and will have a demonstrated impact.

5. Proposal Narrative (not to exceed ten [10] pages in Microsoft Word). Please note the ten-page limit does not include the Table of Contents, Executive Summary, Attachments, Detailed Budget, and Budget Narrative or negotiated indirect cost rate agreement (NICRA). Applicants are encouraged to submit multiple documents in a single Microsoft Word file (i.e., Table of Contents, Executive Summary, Proposal Narrative, and Budget Narrative in one file).

6. Detailed Line-Item Budget (in Microsoft Excel) that includes three [3] columns including the request to U.S. Embassy Belmopan, any cost sharing contribution, and total budget. A summary budget should also be included using the OMB approved budget categories. Costs must be in U.S. dollars. Please see template below TAB C which is downloadable via related documents tab on the grants.gov website

7. Budget Narrative (preferably in Microsoft Word) that includes an explanation and justification for each line item in the detailed budget spreadsheet, as well as the source and a description of all cost-share offered. For ease of review, U.S. Embassy Belmopan recommends applicants prepare the budget narrative as presented in the detailed budget. Personnel costs should include a clarification of the roles and responsibilities of key staff and percentage of time devoted to the project. The budget narrative should communicate to U.S. Embassy Belmopan any information that might not be readily apparent in the budget and does not simply repeat the words stated numerically in the budget. Please see example below TAB C.

8. Attachments (not to exceed nine [9] pages total, preferably in Microsoft Word) that include the following in order:

a) Page 1-2: Project Monitoring Plan (see TAB D for more information on this section).

b) Page 3: Roles and responsibilities of key project personnel with short bios that highlight relevant professional experience. This relates to the organization’s capacity. Given the limited space, CVs are not recommended for submission.

c) Page 4: Timeline of the overall proposal. Components should include activities, evaluation efforts, and project closeout.

d) Page 5-7: Supporting Documentation of Government Partnership. Attachments may include letters of support, memoranda of understanding (MOU)/agreement, etc.

9. If your organization has a NICRA and will include NICRA charges in the budget, your latest NICRA must be included as a .pdf file. This document will not be reviewed by the Embassy, but rather used by project and grant staff if the submission is recommended for funding and therefore does not count against the submission page limitations, as described above. If your proposal involves sub-grants to organizations charging indirect costs, please submit the applicable NICRA also as a .pdf file (see below for more information on indirect cost rates). Specify if your organization elects to charge the de minimis rate of 10% of the modified total direct costs (MTDC).

Note: U.S. Embassy Belmopan retains the right to request additional documentation for those items not included on this form.

ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS

Organizations should be familiar with 2 CFR 200 on cost accounting principles. For a copy of the Code of Federal Regulations, go to http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl. Non-U.S. based non-profit organizations are legally required to comply with 2 CFR 200. Public international organizations retain their privileges and immunities as such but are encouraged to address requirements in outlined in 2 CFR 200.

AUDITS

The applicant’s proposal should include the cost of an audit that:

1. Complies with the requirements of 2 CFR 200 Subpart F “Audit Requirements;”

2. Complies with the requirements of American Institute of Certified Public Accountants (AICPA) Statement of Position (SOP) No. 92-9, "Audits of Not-for-Profit Organizations Receiving Federal Awards;"

3. Complies with AICPA Codification of Statements on Auditing Standards AU Section 551, "Reporting on Information Accompanying the Basic Financial Statements in Auditor-Submitted Documents," where applicable. When the U.S. Department of State is the largest direct source of Federal financial assistance (i.e., the cognizant Federal Agency) and indirect costs are charged to Federal grants, a supplemental schedule of indirect cost computation is required;

4. A non-Federal entity that expends $750,000 USD or more during the non-Federal entity's fiscal year in Federal awards must have a single or project-specific audit conducted for that year in accordance with the provisions of 2 CFR 200 subpart F.

The audit costs shall be identified by 2 CFR 200.425.

INDIRECT COST-RATE

An organization with a NICRA negotiated with a cognizant Federal government agency other than the U.S. Department of State must include a copy of the cost-rate agreement. Applicants should indicate in the proposal budget how the rate is applied and if any of the rate will be cost-shared. Per 2 CFR 200.414 any non-Federal entity that has never received a NICRA, except for those non-Federal entities described in Appendix VII to Part 200—States and Local Government and Indian Tribe Indirect Cost Proposals, paragraph D.1.b, may elect to charge a de minimis rate of 10% of modified total direct costs (MTDC) that may be used indefinitely. As described in 2 CFR 200.403, factors affecting allowability of costs, costs must be consistently charged as either indirect or direct costs but may not be double-charged or inconsistently charged as both. If chosen, this methodology once elected must be used consistently for all Federal awards the non-Federal entity chooses to negotiate for a rate, which the non-Federal entity may apply to do at any time.

TAB A: Project Proposal Cover Sheet

Country: BELIZE Project No. (To be assigned by U.S. Embassy)

Date of Submission: ___________________

Project Title: _____________________________________________________________

Name of Organization: _____________________________________________________

Mailing Address: _________________________________________________________

Street Address: ___________________________________________________________

Telephone: _____________________________ Fax: ___________________________

Alternate Telephone: _______________________ E-Mail: ________________________

Principal Officer: ________________________________________ (name and position)

Project Contact: _________________________________________ (name and position)

Proposed Project Duration (not more than two years): _____________________________

FINANCES:

Total ESF Funds Requested __________ (US$) Total Cost Share (optional) __________ (US$) Total Project Cost __________ (US$)

The following items are required in your proposal:

TAB B: GUIDELINES FOR STANDARD FORMS

The templates/forms for SF-424 and SF-424a are only accessible on grants.gov as the initial step in the application process.

SF-424 - Complete all fields except fields noted as “Leave Blank” below.

Link to form: http://apply07.grants.gov/apply/forms/sample/SF424_2_1-V2.1.pdf

1. Type of Submission: Application

2. Type of Application: New

3. Date Received: Leave blank. This will automatically be assigned

4. Applicant Identifier: Leave blank

19. Enter “c”

20. Select the appropriate box. If you answer “yes” to this question you will be required to provide an explanation.

21. Enter the name, title, and contact information of the individual authorized to sign for the application.

SF-424A - Please review the detailed instructions below BEFORE completing this form online.

Link to form: http://apply07.grants.gov/apply/forms/sample/SF424A-V1.0.pdf

Section A - Budget Summary - Complete Row 1

Rows 2, 3, and 4 should be left blank.

Section B - Budget Categories – Enter total project costs in each category in Column 1 as described below. In Column 5, the form should automatically show the sum. Columns 2, 3, and 4 should be left blank.

Section C - Non-Federal Resources (Only complete this section if your project includes an applicant cost share or funds from other sources-cost share is not required)

Rows 9, 10, and 11 should be left blank.

Section D - Forecasted Cash Needs

Section E - Budget Estimates of Federal Funds Needed for Balance of the Project

16d. and 16e. Leave blank

Rows 17, 18, 19 should be left blank.

20. Enter the total amount for each year. (The form should automatically show this sum.)

Section F - Other Budget Information

PROPOSAL GUIDELINES

Proposals should include the following components:

· Introduction and Problem Statement

· Planned Activities

· Indicators

Problem Statement and Rationale: Describe the problem and how the project will achieve or contribute to achieving a sustainable solution and a measurable outcome. The applicant should explain the extent of existing assistance within the particular geographic area, and how the proposed intervention may complement (or differ from) other similar interventions. The applicant should also explain, as necessary, the experience and qualifications it brings to the project. The rationale should also reflect an understanding of the priorities and policies of the U.S. Embassy Belmopan or program with which this proposal is associated.

Planned Activities and Indicators: Describe the planned activities and relevant stakeholders for implementation. The applicant should highlight key stakeholders and their expected role in the project, along with any contingencies. The applicant should list assumptions/risks that the ultimate success of the project depends on. Examples could include geographic location, coordination efforts with other international organizations, or political will from host governments, private sector, and NGOs. As appropriate, limited contingency possibilities should be included in the proposal, in case the initial planning assumptions are not met. Example of a planned activity and contingency:

TAB C: BUDGET GUIDELINES

Complete budgets will provide a detailed line-item budget outlining specific cost requirement for proposed activities. A minimum of three columns should be used to delineate the Embassy funding request, cost-share by applicant, and total project funding. Complete applications will include a budget narrative to clarify and justify individual line-items (i.e. calculations of how the costs were derived per month or year, their necessity, and overall contribution to the project’s cost-effectiveness).

The three-column proposal line item budget should include the following components, in the suggested format below:

A. PERSONNEL

a) Primarily Headquarters-Based Personnel

-H.Q.-based project -dedicated staff salary (X months)

-H.Q.-based administrative staff salary (X months)

b) Primarily Field-Based Personnel

-Field-based Country Director salary (x months or year)

-Field-based Project Assistant salary (x months or year)

Subtotal Personnel

B. FRINGE BENEFITS

a) Primarily H.Q.-Based Fringe Benefits

-H.Q.-based project -dedicated staff fringe (X months)

-H.Q.-based administrative staff fringe (X months)

b) Primarily Field-Based Fringe Benefits

-Field-based Country Director fringe (x months or year)

-Field-based Project Assistant fringe (x months or year)

Subtotal Fringe Benefits

C. TRAVEL

a) Monitoring Travel

-Monitoring Trip: H.Q. to field (X)

-Per diem (X days)

b) Field Travel

Activity 1: Workshop

-Staff Travel (# staff)

-Staff Per Diem (X days)

-Participant Travel (# participants)

-Participant Per Diem (X days)

Activity 2: Town Hall Meeting

-Staff Travel (# staff)

-Staff Per Diem (X days)

-Participant Travel (# participants)

-Participant Per Diem (X days)

Subtotal Travel

D. EQUIPMENT

a) Primarily H.Q.-Based Equipment (if applicable)

-H.Q.-equipment (if applicable)

d) Primarily Field-Based Equipment

-Field-equipment

Subtotal Equipment

E. SUPPLIES

a) Primarily H.Q.-Based Supplies (if applicable)

-Printing and Photocopying (X months)

b) Primarily Field-Based Supplies

-Markers and dry erase board

-Telephone (X months)

-Office Supplies (X months)

Subtotal Supplies

F. CONTRACTUAL

a) Subgrants

-Local Subgrantees (X subgrants)

b) Consultant Fees

-Media Specialist/Honoraria (X days/hours)

-Independent M & E specialist

-Translation Fees (X pages)

Subtotal Contractual

G. CONSTRUCTION

H. OTHER

a) Other Direct Costs

-Field Office Rent (X months)

Subtotal Other

I. TOTAL DIRECT CHARGES

(Sum of A-H Subtotals)

J. INDIRECT CHARGES

a) Indirect Costs/NICRA (X% of costs)

Subtotal Indirect Charges

K. TOTAL COSTS (Sum I-J)

Note: This budget template is designed to serve as an example of the format for complete budget submissions and is NOT exhaustive. Please utilize the downloadable template from Grants.gov. Individual line items included in each applicant’s budget should reflect specific project activities. (pax = participants)

Before grants are awarded, U.S. Embassy Belmopan reserves the right to reduce, revise, or increase proposal budgets in accordance with the needs of U.S. Embassy Belmopan’s project and availability of funds.

As mentioned above, the detailed budget should also include an accompanying budget notes document that explains and justifies each line item, in the suggested format below:

LINE-ITEM BUDGET

A. Personnel: Identify staffing requirements by each position title and brief description of duties. For clarity, please list the annual salary of each position, percentage of time and number of months devoted to the project. (e.g., Administrative Director: $30,000/year x 25% x 8.5 months; calculation: $30,000/12 = $2,500 x 25% x 8.5 months = $5,312.).

B. Fringe Benefits: State benefit costs separately from salary costs and explain how benefits are computed for each category of employee - specify type and rate.

C. Travel: Staff and any participant travel:

1. International airfare

2. In-country travel

3. Domestic travel in Country X., if any

4. Per diem/maintenance includes lodging, meals and incidentals for both participant and staff travel. Rates of maximum allowances for United States and foreign travel are available from the following website: http://www.policyworks.gov. Per diem rates may not exceed the published U.S. government allowance rates; however, institutions may use per diem rates lower than official government rates.

5. “Staff” refers to grantee staff only, and not sub-grantee staff or contractors

D. Equipment: Please provide justification for any equipment purchase/rental, defined as tangible personal property having a useful life of more than one year and an acquisition cost of $5,000 or more.

E. Supplies: List items separately using unit costs (and the percentage of each unit cost being charged to the grant) for photocopying, postage, telephone/fax, printing, and office supplies (e.g., Telephone: $50/month x 50% = $25/month x 12 months).

F. Contractual:

1. Sub-grants - For each sub-grant/contract please provide a detailed line-item budget breakdown explaining specific services. Please provide a sub-grant budget using the approved OMB budget format. (See Tab C: Budget Guidelines, above.)

2. Consultant Fees - For example lecture fees, honoraria, travel, and per diem for outside speakers or independent evaluators: list number of people and rates per day (e.g., 2 x $150/day x 2 days).

G. Other: These will vary depending on the nature of the project. The inclusion of each should be justified in the budget narrative. All costs must be allowable, allocable, and reasonable, and consistent with OMB guidelines. Line items such as “Miscellaneous,” “Contingency Fund,” and “Reserve Fund” are permissible but must comply with the cost principles and include justification.

H. Indirect Charges - See 2 CFR 200.414, "Indirect Costs”

1) If the organization has an indirect cost-rate agreement with the U.S. government, please include a copy of this agreement. Please specify if your organization elects to charge the de minimis rate of 10% of the modified total direct costs. This does not count against submission page limitations.

2) If the organization is charging an indirect rate, please indicate how the rate is applied to direct administrative expenses, to all direct costs, to wages and salaries only, etc.

3) Do not include indirect costs against participant expenses in the proposal budget, as the embassy generally will not pay for these costs.

Cost Share/Cost-Effectiveness – Cost sharing is not required. Explanation of contributions should be included, whether cash or in-kind. Assign a monetary value in U.S. dollars to each in-kind contribution. If the proposed project is a component of a larger program, identify other funding sources for the proposal and indicate the specific funding amount to be provided by those sources. In addition, it is recommended that budget narratives address the overall cost-effectiveness of the proposal, including leveraging of institutional or other resources. Cost sharing or matching refers to a portion of project or program cost that is not borne by the Federal government. Applicants must follow the cost-sharing or matching policy as stipulated in 2 CFR 200.306. Cost sharing amounts proposed will be incorporated as part of the allowable budget items. If selected for an award, the organization will have to provide the minimum amount of cost-sharing as stipulated in the budget approved by the Grants Officer. If the organization does not meet its cost-share amount stipulated in the approved budget by the end of the period of performance the Embassy will have the option to: (1) reduce its contribution in proportion to the organization’s contribution in the event that it does not provide the minimum amount of cost sharing stipulated in the budget or (2) hold the organization accountable for the amount specified in the approved budget.

BUDGET CONDITIONS AND RESTRICTIONS:

The Embassy does not pay for the following:

· Publication of materials for distribution within the United States;

· Administration of a project that will make a profit;

· Expenses incurred before or after the specified dates of award period of performance (unless prior written approval received);

· Projects designed to advocate policy views or positions of foreign governments or views of a particular political faction;

· Alcoholic beverages;

· Costs of entertainment, including amusement, diversion, and social activities and any associated costs are unallowable, except where specific costs that might otherwise be considered entertainment have a programmatic purpose and are authorized either in the approved budget for the Federal award or with prior written approval of the Federal awarding agency;

· Purchase of land;

· Construction;

· Direct social support; or

· Support for law enforcement officials or security forces.

The Embassy may make conditions and recommendations on proposals to enhance proposed projects. Conditions and recommendations are to be addressed by the applicant before approval of the award. To ensure effective use of U.S. Embassy Belmopan funds, conditions or recommendations may include requests to increase, decrease, clarify and/or justify costs.

TAB D: PROJECT MONITORING PLAN

Incorporating a well-designed monitoring component into a project is one of the most efficient methods of documenting the progress and potential success of a project. Proposals should include a methodology to survey beneficiaries before and after activities occur to measure quantitative and qualitative progress. Successful monitoring depends on the following:

· Setting objectives that are specific, measurable, attainable, results-focused, and placed in a reasonable time frame (SMART);

· Linking project activities to stated objectives;

· Defining the baseline data; and

· Developing key performance indicators that measure realistic progress towards the objectives.

U.S. Embassy Belmopan expects implementing organizations to track participants or partners as appropriate and respond to key assessment questions, including satisfaction with the project/training, information learned as a result of the project/training, changes in attitude and behavior as a result of the project, and effects of the project on institutions in which participants work or with whom participants partner. Applicants should include the monitoring and evaluation process in their timeline.

The grantee will be required to provide reports with an analysis and summary of their findings, both quantitative and qualitative, in regular progress reports to U.S. Embassy Belmopan.

The monitoring plan should include, at a minimum, the following elements:

· A results “Logic Model” planning document (see sample on page 16).

· Indicators, as described below (page 16), as well as details on how each indicator will be measured, frequency of the measurements, units of measure, etc. Provide indicators at the output and outcome levels. Monitoring plans should include a chart component that clearly delineates indicators and targets. All indicators must include measurable, numerical targets.

· Establish, where possible, performance baseline data and expected performance targets for each indicator/outcome. In some cases, the baseline may be zero.

· Describe monitoring tools, such as rapid assessment surveys, site visits, key stakeholder interviews, etc., that will be used.

· Plans should describe how the project’s impact and effectiveness will be monitored throughout the project.

Sample Evaluation Plan

Activity: Training Course

Activity: Government Roundtable

Sample “Logic Model” Planning Tool

A Logic Model is a useful tool for planning; and utilized when designing monitoring and evaluation methodology and frameworks. Note key to the model are the outcomes, outputs, and activities that should have a clearly defined link. They should include numerical, measurable targets.

Output Indicators, otherwise known as deliverables, associated with the agreement, should be included. Unlike process indicators, outputs are what is produced, and are often tangible. At this level, it is the measurement of ability, knowledge, skills, or access. All indicators must include targets. Example of an output indicator involving the same participants:

Outcome Indicators measure the change in system or behavior or practice. Expected outcomes are the results that come from a series of activities that are necessary to achieve impact. All indicators must include targets. Example of an outcome indicator:

All indicators must include measurable, numerical targets that should serve as the foundation for monitoring and evaluation efforts. Ultimately, proposed activities and achievement of indicator targets will lead to impact.

Example:

Impact: Improved Food Security for 50,000 households in Country X é é

Outcome 1 Improved production and productivity of female and male producers

Outcome 2 Increased adoption of appropriate nutrition practices, by female and male beneficiaries é é

Output 1.1 Farmer Field Schools (FFS) Established

Output 1.2 Improved access to input supply systems/services

Output 2.1 Home Gardens Established

Output 2.2 Improved knowledge of nutrition practices é é é é

Activities Train producers on FFS methodology

Conduct agro-forestry training

Develop and translate materials

Conduct meetings with suppliers

Distribute new seed varietals

Organize and hold supply fairs

Train producers on how to develop home gardens

Distribute new seeds

Train producers in food conservation and preparation

Please note that particularly when the expected outcome or impact is “improved XXX,” it is critical to set a baseline and expected improvement. For example, in the chart above, Outcome 1 “Improved production and productivity of female and male producers” would need to define the production and productivity at the start of the project (or use some other baseline data), then define a percent increase desired.