Call for PRM Research Concept Notes 2015.docx

Updated December 2014

U.S. DEPARTMENT OF STATE

BUREAU OF POPULATION, REFUGEES, AND MIGRATION (PRM)

FY 2015 Request for Research Concept Notes to Strengthen Evidence-Based Humanitarian Decision Making by PRM and its Partners Worldwide

Request for Concept Notes Number: PRM-PRMOAPGL-15-003-050818

Catalog of Federal Domestic Assistance (CFDA) number: 19.522 - Overseas Refugee Assistance Programs for Strategic Global Priorities

Announcement issuance date: Thursday, February 5, 2015

Submission deadline: Friday, March 6, 2015 at 12:00 p.m. noon Washington, D.C. time (EST) - Concept notes submitted after this deadline will not be considered.

**ADVISORY: All applicants must submit concept notes through the website Grants.gov (not GrantSolutions.gov). Applications that are submitted through GrantSolutions.gov in response will be disqualified. PRM strongly recommends submitting your concept note early to allow time to address any technical difficulties that may arise on the Grants.gov website.**

If you are new to PRM funding, the Grants.gov registration process can be complicated. We urge you to refer to PRM’s General NGO Guidelines “New to PRM Funding” section for information and resources to help ensure that the application process runs smoothly. PRM also strongly encourages organizations that have received funding from PRM in the past to read this section as a refresher.

Full Text of Notice of Concept Note Solicitation

A. Program Description

Summary: This solicitation is the first step in a two-part process. After reviewing concept notes, PRM will invite selected organizations to expand their submissions into full 20-page single year proposals, with detailed budgets. Selected organizations will have 30 calendar days after they are notified of their selection to complete their full proposals. While organizations may operate as part of a consortium or have sub-contractors, one organization must be designated as the lead applicant at both the concept note and full proposal stage.

This announcement references PRM’s General NGO Guidelines which contain additional information on PRM’s priorities and NGO funding strategy with which selected organizations must comply. Please use both the General NGO Guidelines and this announcement to ensure that your concept note submission is in full compliance with PRM requirements and that the proposed activities are in line with PRM’s priorities. Concept note submissions that do not reflect the requirements outlined in these guidelines will not be considered.

(a) Concept notes must respond to one of the following research questions:

1. Access to education for urban refugee children: What are innovative approaches to promoting education for urban refugees in protracted settings – including but not limited to distance learning models? In what contexts are community schools a best practice, and in what contexts should children be integrated into local schools, even if there is a difference in language and curriculum? How do we work toward avoiding parallel schooling systems for refugees, particularly in cases where the refugees’ stay might extend beyond their school years? Research should identify effective roles for UNHCR, UNICEF, NGOs, local education actors and authorities including for addressing practical barriers to accessing education, such as overcrowding, need for remedial/catch up programs to make up for lost schooling time, safety concerns for female attendees, school fees, transportation, documentation, household decisions to put children to work rather than into school, and lack of adequate/sufficient teachers, supplies and/or space. Research proposals need not answer every question posed here, and can address any aspect so long as the proposed research is well-conceived and coherent.

1. Costs/benefits of cash assistance in acute emergencies: What are the financial and programmatic costs and benefits of cash assistance programs implemented through local NGO partners in insecure and/or low-resource environments? Priority will be given to research proposals that are able to quantify costs and benefits while providing guidance and tools for determining if cash assistance through local NGOs is an appropriate intervention, and if so, how to implement and monitor them to ensure the assistance needs of vulnerable populations are met while minimizing diversion to unintended recipients.

1. Economic impact of refugees on host communities: What is the extent of refugees’ economic impact, both positive and negative, on host communities across a range of contexts? Priority will be given to proposals that include under-studied urban and camp-based populations in settings where refugees are able and not able to work legally. Priority will be given to proposals that are able to identify factors that promote and inhibit economic integration of refugees over time and ways to diplomatically and programmatically promote integration and a transition from relief to longer-term development.

1. Environmental impact of refugee camps: How can refugees themselves, UNHCR, NGOs, and host governments better manage the environmental impact of refugee camps including water, energy, deforestation, and solid waste management to improve health and sanitation? How can humanitarian partners work with refugees and their host communities to incorporate environmental management both into the design of new camps and in protracted situations where camps were not designed with environmental management in mind? Can innovative environmental management programs promote self-reliance of refugees in a cost-effective manner?

B. Federal Award Information

Proposed program start dates: September 2015

Duration of Activity: Concept notes of up to 12 months will be considered.

Funding Limits: Summary budgets must not be more than $200,000 or they will be disqualified.

C. Eligibility Information

1. Eligible Applicants: (1) Nonprofits having a 501(c)(3) status with IRS, other than institutions of higher education; (2) Nonprofits without 501(c)(3) status with IRS, other than institutions of higher education; (3) Private institutions of higher education; (4) Public and State controlled institutions of higher education; and (5) International Organizations. International multilateral organizations, such as United Nations agencies, should not submit proposals through Grants.gov in response to this Funding Opportunity Announcement. Multilateral organizations that are seeking funding for programs relevant to this announcement should contact the relevant PRM Program Officer (as listed below) on or before the closing date of this funding announcement so that PRM can evaluate all IO and NGO programs for funding consideration.

2. Cost Sharing or Matching: Cost sharing, matching, or cost participation is welcome but not a requirement.

3. Other:

(a) Most competitive concept notes will include multiple countries and/or populations. PRM will only accept single country or single population-specific concept notes if a compelling case can be made that conclusions can be applied beyond the specific country or population. Please note that PRM will not fund research focusing only on a single NGO’s programming unless it is: (1) uniquely innovative programming; (2) conducted in an independent manner; and (3) would generate findings that are credible, generalizable, and relevant to a range of other humanitarian stakeholders. Although PRM encourages NGOs to conduct regular evaluations of their own work, in most cases this type of review would not qualify for funding under this Notice of Funding Opportunity.

(b) PRM will prioritize funding concept notes that aim to produce practical policy or programmatic recommendations that are applicable to more than one specific population or country. All final reports should include tools, data, findings, and recommendations for policy and program implementation. Research should produce recommendations that are concrete, actionable, and directed to specific actors.

(c) Proposed concept notes should build on previous bodies of work and advance the knowledge base on global humanitarian policies and programs. PRM understands the full research team may not be known during the drafting of the concept note. If invited to submit a full proposal, applicants will then identify all individuals who would conduct the research, describe their qualifications, and include their CVs.

(d) There should be no attachments to the initial concept note submission. For selected organizations, PRM will request fully developed, single year proposals, of up to 20 pages, with objectives, indicators, and detailed budgets. Organizations that are invited to submit full proposals may attach work plans, activity calendars, CVs of research team members, and/or other supporting documents.

(e) If approved to draft a complete proposal, it should include, if relevant, an assessment of (1) gender dynamics within the target population included in research activities (i.e., roles, power dynamics, and different needs of men and women, girls and boys); (2) associated risks and implementation challenges for the project posed by those dynamics; and (3) how the research team will mitigate any protection risks.

(f) PRM will accept proposals from non-governmental organizations, universities, and research institutes proposing to work in the above mentioned areas. To ensure that research findings inform policy and programs, PRM encourages academic institutions seeking funding to identify partners presently providing protection and/or humanitarian assistance in refugee settings to formulate and conduct the research and to inform programmatic recommendations. Priority will be given to proposals from organizations that can demonstrate:

i. Knowledge of UNHCR operations and findings from relevant UNHCR research and evaluations. Collaboration with UNHCR and/or other relevant multilateral and host governmental partners is encouraged;

ii. A proven track record in conducting such research in the past, with a focus on the research and evaluation of humanitarian assistance programs and policies related to refugees, conflict victims, stateless persons, and vulnerable migrants;

iii. Evidence of subject-matter expertise and familiarity with current and past research and activities in the proposed areas;

iv. A concrete data collection and research implementation plan, project objectives that are specific, measurable, achievable, relevant, and time-bound, and well-conceived linkages between research findings and recommendations for PRM metrics, policy, and/or programs; and

v. A budget that is appropriate for meeting the research objectives;

vi. Where applicable, adherence to PRM’s Principles for Refugee Protection in Urban Areas. More information is available at: http://www.state.gov/j/prm/policyissues/index.htm

(g) If the applicant is applying as a consortium or partnership, a brief description of how the partnership will be organized and how lines of authority and decision-making will be managed across all team members and between the lead applicant and associate awardees should be included in the concept note. Should the applicant be selected during the first round, the full proposal should discuss the governance structure of the partnership, the role of each organization, and how each partner will be utilized in implementing the overall program.

D. Application and Submission Instructions

1. Address to Request Application Package:

(a) Application packages may be downloaded from the website www.Grants.gov.

2. Content and Form of Application:

(a) Organizations may submit a maximum of two concept notes only. Any subsequent submissions received will be disqualified. PRM will select no more than one concept note per organization for a full proposal.

(b) Concept notes must be submitted via Grants.gov. Do not wait until the last minute to submit your application on Grants.gov. We recommend that organizations, particularly first-time applicants, submit applications via Grants.gov no later than one week before the deadline to avoid last-minute technical difficulties that could result in disqualification.

(c) Organizations not registered with Grants.gov should register well in advance of the deadline as it can take weeks or months to finalize registration.

(d) To register with Grants.gov, organizations must 1) receive a DUNS number; 2) register with the System for Award Management (SAM); 3) register with Grants.gov; and 4) designate points of contact and authorized organization representatives in Grants.gov. Organizations based outside the United States must also request and receive an NCAGE code prior to registering with SAM.gov.

(e) Applications on Grants.gov must be submitted under the authority of the Authorized Organization Representative (AOR) at the applicant organization.

(f) If you encounter technical difficulties with Grants.gov please contact the Grants.gov Help Desk at support@grants.gov or by calling 1-800-518-4726 (in the U.S.) and +1-606-545-5035 (international). Applicants who are unable to submit applications via Grants.gov due to Grants.gov technical difficulties and who have reported the problem to the Grants.gov Help Desk, received a case number, and had a service request opened to research the problem, should contact the relevant PRM Program Officer to determine whether an alternative method of submission is appropriate.

(g) It is the responsibility of each applicant to ensure the appropriate registrations are in place and active. Failure to have the appropriate organizational registrations in place is not considered a technical difficulty and is not justification for an alternate means of submission.

(h) Pursuant to U.S. Code, Title 218, Section 1001, stated on OMB Standard Form 424 (SF-424), the Department of State is authorized to consolidate the certifications and assurances required by Federal law or regulations for its federal assistance programs. The list of certifications and assurances can be found here.

3. Dun and Bradstreet Universal Numbering System (DUNS) Number and System for Award Management (SAM)

Each applicant is required to: (i) be registered in SAM before submitting its application; (ii) provide a valid DUNS number in its application; and (iii) continue to maintain an active SAM registration with current information at all times during which it has an active PRM award or an application or plan under consideration by PRM. No federal award may be made to an applicant until the applicant has complied with all applicable DUNS and SAM requirements and, if an applicant has not fully complied with the requirements by the time the PRM award is ready to be made, PRM may determine that the applicant is not qualified to receive a PRM award and use that determination as a basis for making a PRM award to another applicant.

4. Submission Dates and Times

Announcement issuance date: Thursday, February 5, 2015

Submission deadline: Friday, March 6, 2015 at 12:00 p.m. noon Washington, D.C. time (EST) - Concept notes submitted after this deadline will not be considered.

This solicitation is the first step in a two-part process. After reviewing concept notes, PRM will invite selected organizations to expand their submissions into full 20-page single year proposals, with detailed budgets. Selected organizations will have 30 calendar days after they are notified of their selection to complete their full proposals. Organizations may apply as partners or consortia; however, one organization must be designated as the lead applicant at both the concept note and full proposal stage.

5. Intergovernmental Review – Not Applicable.

6. Funding Restrictions. Federal awards will not allow reimbursement of Federal Award costs without prior authorization by PRM.

7. Other Submission Requirements

Content and Formatting

(a) Concept notes must be no more than 3 pages in length submitted in Microsoft Word or Adobe PDF, using Times New Roman, 12 point font, with one inch margins on all sides. Concept notes that are longer than 3 pages will be automatically disqualified. There is no separate template for concept note submissions. Submissions may be in any format as long as they include all information and conform to all formatting guidelines in this announcement.

(b) Concept notes must include the following categories.

(1) Problem Analysis

(2) Research location, description, and objectives

(3) Capacity of organization to conduct the research

(3) Proposed methodology for doing so

(4) Primary organizational point of contact

(c) A one page summary budget must be attached to the concept note and does not fall within the 3-page limit. Summary budgets must include the following categories:

(i) Personnel allowances

(ii) Benefits

(iii) Travel

(iv) Program equipment

(v) Supplies

(vi) Contractual

(vii) Construction

(viii) Other direct costs

(ix) Indirect costs

(x) Total amount requested

(e) To be considered for PRM funding, organizations must submit a complete application package including:

· Concept note with summary budget attached for the program period.

· Signed completed SF-424.

E. Application Review Information

1. Criteria: Eligible submissions will be those that comply with the criteria and requirements included in this announcement. In addition, the review panel will evaluate the concept notes based on the following criteria:

(1) Relevance of research issue to PRM priorities

(2) Organizational Experience

(3) Research Design

(4) Budget and cost effectiveness

2. PRM will conduct a formal competitive review of all concept notes submitted in response to this funding announcement. A review panel of at least three people will evaluate submissions based on the above-referenced programmatic criteria and PRM priorities in the context of available funding. PRM may invite external partners to review proposals.

3. After reviewing the concept notes, selected organizations will be invited to submit full proposals. PRM will provide formal notifications to applicants of final decisions within one month after the closing date of this announcement. Selected organizations will have 60 calendar days from notification to submit full proposals, with detailed budgets, and attachments as applicable (refer to PRM’s General NGO Guidelines for general proposal formatting and submission guidance for single year programs).

4. If selected to submit a full proposal, the following criteria will apply:

a. Proposals must conform to PRM’s General NGO Guidelines, which contain additional administrative information on proposal content and formatting. Proposal submissions that do not meet all of the requirements outlined in these guidelines will not be considered.

b. PRM strongly recommends using the research proposal and budget templates that are available upon email request from PRM's NGO Coordinator. Single-year proposals using PRM’s templates must be no more than 20 pages in length (Times New Roman 12 point font, one inch margins on all sides). If the applicant does not use PRM’s recommended templates, proposals must not exceed 15 pages in length. Organizations may choose to attach work plans, activity calendars, and/or logical frameworks as addendums/appendices to the proposal. These attachments do not count toward the page limit total however annexes cannot be relied upon as a key source of program information. The proposal narrative must be able to stand on its own in the application process and include the following:

i. Background: Describe the gaps in humanitarian knowledge that the research project aims to address. How will this research inform humanitarian programs and/or policies? What specific tools might be developed as a result of this research, and how and by whom would they be used?

ii. Literature Review: Detail the current evidence base and how the proposed research project will build upon rather than duplicate existing knowledge, tools, and other resources.

iii. Research Locations: Describe rationale for the proposed research locations. The proposal should identify the variables under study and why the locations are conducive to the research. Having programs in a specific country is not considered an adequate rationale. Proposals should note any concerns about gaining access and/or permission to conduct research. Briefly describe the security environment in the area of operation and how the researchers would respond to a deterioration of the security situation. Please identify any alternative sites that might be considered, should problems arise with the proposed research locations.

iv. Methodology: Describe the rationale for quantitative and qualitative methods selected, noting the strengths and limitations of each, as well as the hypothesis and the variables being explored, and when possible, controlled for. Address any ethical issues pertaining to the methodology. Will this proposal require Institutional Review Board approval? If not, what specific steps will be taken to protect human subjects and their confidentiality?

v. Coordination: To what extent will the design, implementation, and dissemination of this research project be coordinated with UNHCR, other IO/NGOs, and host governments or institutions (e.g, universities)? PRM encourages partners to work with local universities and institutes when possible in order to build local research capacity.

vi. Researchers: Identify members of the research team. Please provide bios, backgrounds, and credentials for carrying out the proposed research project. If your organization has not yet identified a research team or a lead researcher, please explain where you are in the process and indicate the criteria you will use to select members of the research team. Strong proposals will demonstrate that researchers are able to conduct research on sensitive issues and understand how to protect confidentiality.

vii. Objectives and Indicators: Please outline the objectives for this project and highlight the key indicators that you will use to measure progress toward each objective. The types of indicators are input, output, outcome, and impact, and the number of each type will vary depending on the project design. Where possible, include baseline data for each indicator.

viii. Dissemination Plan: Proposals should have a concrete dissemination strategy. It should identify final products of this research project and describe how the results will be actively disseminated to the broader international humanitarian community, including UNHCR, other IOs/NGOs, donors, and/or other relevant actors.

ix. Sub-Contracts: List the exact name of all sub-contractors/sub-grantees with whom you plan to fund through this project including, for each, the legal name, organizational DUNS, address, and full name of organizational representative. Describe how you have vetted these organizations to comply with U.S. Executive Order and law that prohibits transactions with and the provision of support to organizations associated with terrorism.

5. If selected to submit a full research proposal, organizations must submit a complete application package including:

a. Proposal reflecting objectives and indicators for each year of the program period.

b. Budget and budget narrative for each year of the program period.

c. Signed completed SF-424.

In addition, proposal submissions to PRM should include the following information:

d. To increase PRM’s ability to track the impact of PRM funding, include specific information on locations of projects and beneficiaries (GPS coordinates if possible).

e. Proposals should outline how the NGO will acknowledge PRM funding. If an organization believes that publicly acknowledging the receipt of USG funding for a particular PRM-funded project could potentially endanger the lives of the beneficiaries and/or the organization staff, invite suspicion about the organization's motives, or alienate the organization from the population it is trying to help, it must provide a brief explanation in its proposal as to why it should be exempted from this requirement.

f. The budget should include a specific breakdown of funds being provided by UNHCR, other USG agencies, other donors, and your own organization. PRM strongly encourages multilateral support for humanitarian programs.

g. In FY 2015, PRM is asking applicants whose proposals address gender-based violence (GBV) through their projects to estimate the total cost of these activities as a separate line item in their proposed budgets. PRM’s budget template document has been updated to reflect this new requirement.

h. Copy of the organization’s Code of Conduct (required before an award can be made).

i. Copy of the organization’s Security Plan (required before an award can be made).

j. Proposals and budgets should include details of any sub-agreements associated with the program.

k. Most recent Negotiated Indirect Cost Rate Agreement (NICRA), if applicable.

l. NGOs that have not received PRM funding since the U.S. government fiscal year ending September 30, 2004 must be prepared to demonstrate that they meet the financial and accounting requirements of the U.S. government by submitting copies of 1) the most recent external financial audit, 2) proof of non-profit tax status including under IRS 501 (c)(3), as applicable, 3) a Data Universal Numbering System (DUNS) number, and 4) an Employer ID (EIN)/Federal Tax Identification number.

m. Organizations that received PRM funding in FY 2014 for activities that are being proposed for funding under this announcement must include the most recent quarterly progress report against indicators outlined in the cooperative agreement. If an organization’s last quarterly report was submitted more than six weeks prior to the submission of a proposal in response to this funding announcement, the organization must include, with its most recent quarterly report, updates that show any significant progress made on objectives since the last report.

Federal Award Administration Information

1. Federal Award Administration. A successful applicant can expect to receive a separate notice from PRM stating that an application has been selected before PRM actually makes the federal award. That notice is not an authorization to begin performance. Only the notice of award signed by the grants officer is the authorizing document. Unsuccessful applicants will be notified following completion of the selection and award process.

2. Administrative and National Policy Requirements. PRM awards are made consistent with the following provisions in the following order of precedence: (a) applicable laws and statutes of the United States, including any specific legislative provisions mandated in the statutory authority for the award; (b) Code of Federal Regulations (CFR); (c) Department of State Standard Terms and Conditions of the award; (d) the award’s specific requirements; and (e) other documents and attachments to the award.

3. Reporting

Program Reports: PRM requires research partners to submit quarterly reports describing and analyzing the results of research activities undertaken during the validity period of the agreement. A program report is required within thirty (30) days following the end of each three month period of performance during the validity period of the agreement. The final program report is due ninety (90) days following the end of the agreement. The submission dates for research reports will be written into the cooperative agreement.

The Performance Progress Report (SF-PPR) is a standard, government-wide performance reporting format available at: http://www.whitehouse.gov/OMB/grants/approved_forms/sf-ppr.pdf. Recipients of PRM funding must submit the signed SF-PPR cover page with each program report. In addition, the Bureau suggests that NGOs receiving PRM funding use the PRM recommended program report template and reference this template as being attached in block 10 of the SF-PPR. This template is designed to ease the reporting requirements while ensuring that all required elements are addressed. The Program Report Template can be requested by sending an email with only the phrase “PRM NGO Templates” (without the quotation marks) in the subject line to PRMNGOCoordinator@state.gov.

Successful applicants will be required to submit:

Financial Reports: Financial reports are required within thirty (30) days following the end of each calendar year quarter during the validity period of the agreement (January 30th, April 30th, July 30th, October 30th). The final financial report covering the entire period of the agreement is required within ninety (90) days after the expiration date of the agreement. For agreements containing indirect costs, final financial reports are due within sixty (60) days of the finalization of the applicable negotiated indirect cost rate agreement (NICRA).

Reports reflecting expenditures for the recipient’s overseas and United States offices should be completed in accordance with the Federal Financial Report (FFR SF-425) and submitted electronically in the Department of Health and Human Services’ Payment Management System (HHS/PMS) and in accordance with other award specific requirements. Detailed information pertaining to the Federal Financial Report including due dates, instruction manuals and access forms, is provided on the HHS/PMS website at http://www.dpm.psc.gov/grant_recipient/ffr_info/ffr_info.aspx.

F. PRM Contacts

Applicants with technical questions related to this announcement should contact the PRM staff listed below prior to submission. Please note that responses to technical questions from PRM do not indicate a commitment to fund the program discussed.

PRM Program Officers:

Bryan Schaaf at Schaafbj@state.gov (Washington, DC) Maria Wrzosek at WrzosekMD@state.gov (Washington, DC) image1.wmf