FINAL NOFO 2019(FY2018).pdf

NOFO Number: BH200-19-GR-200-WHA CARSI Small Grants Program: Strengthening Government through Civil Society Engagement

Notice of Funding Opportunity

Strengthening Government through Civil Society Engagement

Announcement Type: New Grant

Public Opportunity Title: CARSI Small Grants Program: Strengthening Government through Civil Society Engagement

Catalog of Federal Domestic

Assistance (CFDA) Listing: 19.750

Funding Amount: $750,000 USD

Issuance Date: April 15, 2019

Deadline for Receipt of Questions: May 13, 2019 at 5:00 PM local time (Belize)

Deadline for Submission of

Applications: June 3, 2019 at 11:59 PM Eastern time (Washington, D.C.)

Funding Activity Category: Governance

Program Type: U.S. Embassy in Belmopan, Belize

Grant Program: Central America Regional Security Initiative (CARSI)

Assistance Type: Grant

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

NGOs, institutions of higher education, and public international organizations (PIOs); Belizean NGOs are strongly encouraged to apply.

Est. Project Start Date: September 30, 2019

Est. Project End Date: Variable

Fiscal Year: FY 2018

Award Ceiling: $400,000 USD

Award Floor: $200,000 USD

Expected # of Awards Funded: 2 to 3

Cost Sharing Requirement: No

EXECUTIVE SUMMARY

The U.S. Embassy in Belmopan, Belize announces a Notice of Funding Opportunity (NOFO) to strengthen democratic governance through capacity building for civil society organizations and civil servants through partnership in Belize. The U.S. Embassy in Belmopan intends to issue awards in an amount not to exceed $750,000 USD in FY 2018 Economic Support Funds (ESF), pending availability of funding. The anticipated start date for successful proposals is September 30, 2019. U.S. Embassy Belmopan anticipates funding up to three awards between the amount of

$200,000 and $400,000 USD each for this NOFO.

The Embassy seeks proposals that strengthen the partnership between government and civil society organizations – and the capacity of both entities – to combat corruption and/or illicit trafficking, with a specific focus on human trafficking, including related forms of victim identification and assistance. Proposals should be oriented toward civil society organizations working with national and/or local government, particularly in vulnerable and/or marginalized communities.

The overall goal of this NOFO is to support democracy and governance efforts in Belize. Funding awarded under this NOFO cannot be used for law enforcement or to train members of law enforcement. Applicants should address one or both of the following project objectives:

1) To increase and enhance civil society and government partnership to improve service delivery and accountability. Proposals should be oriented towards activities by civil society organizations working with national and/or local government, particularly in vulnerable and/or marginalized communities, to improve governance systems. Capacity building for civil society organizations and/or government civil servants should be included.

OR

2) To develop mechanisms that improve coordination and cooperation between key stakeholders to improve basic local, municipal, or central government services for vulnerable and/or marginalized populations especially women. Proposals should be oriented towards enhancing the capacity of civilian front line agents and service providers to increase coordination, monitoring, reporting and response to issues such as, but not limited to, Gender Based Violence (GBV) and Trafficking in Persons (TIP).

U.S. Embassy Belmopan invites qualified U.S. non-profit/non-governmental organizations (NGOs) having a 501(c)(3) status with the IRS or overseas-based NGOs, U.S. and overseas-based public and private institutions of higher education, and public international organizations to apply.

U.S. Embassy Belmopan reserves the right to fund any or none of the applications submitted and will determine the resulting level of funding for each award. The authority for this NOFO is found in the Foreign Assistance Act of 1961, as amended.

Eligible organizations interested in submitting an application are encouraged to read this NOFO thoroughly to understand the type of project sought and the application submission requirements and review process.

For further information, please contact:

U.S. Embassy Belmopan; BelmopanCARSIESF@state.gov; +501.822.4011 x4371

NOTICE OF FUNDING OPPORTUNITY

U.S. Embassy Belmopan is seeking applications from U.S. non-profit/non-governmental organizations (NGOs) having a 501 (c)(3) status with the IRS, overseas-based non-profit/non-governmental organizations, institutions of higher education, and public international organizations

(PIOs) for a grant to implement a program entitled “Strengthening Government through Civil

Society Engagement.” The authority for this notice of funding opportunity (NOFO) is found in the Foreign Assistance Act of 1961, as amended. Applications are due on June 3, 2019.

Pursuant to 2 CFR 200.400g, it is U.S. Department of State policy not to award profit under assistance instruments. All reasonable, allocable, and allowable expenses, however, both direct and indirect, that are related to the agreement and are in accordance with applicable cost standards

(2 CFR 200 for U.S. - and overseas-based non-profit organizations, and universities; the Federal

Acquisition Regulation (FAR) Part 31 48 CFR 31.2 for-profit organizations; and the Mandatory

Standard Provision “Allowable Costs (APR 2011)” for public international organizations), may be paid under the grant agreement. NOTE: overseas-based nonprofit organizations are legally required to comply with the 2 CFR 200.

Subject to the availability of funds, U.S. Embassy Belmopan intends to issue two to three awards in an amount not to exceed $750,000 USD total. Each award will be for an amount between

$200,000 and $400,000 USD. The awards will be funded from U.S. Embassy Belmopan allocated funds, for a project period not to exceed two years. The anticipated start date for this activity is

September 30, 2019. U.S. Embassy Belmopan reserves the right to fund any or none of the applications submitted and will determine the resulting level of funding for each award.

Eligible organizations interested in submitting an application are encouraged to read this NOFO thoroughly to understand the type of project sought and the application submission requirements and technical review process.

To be eligible for this award, the applicant must submit all required information in its application through Grants.gov (http://www.grants.gov), including the requirements found in any attachments to this Grants.gov opportunity. (Please contact Grants.gov for Applicant

Support at 1-800-518-4726 and support@grants.gov with any submission problems. If applicant has persistent problems submitting through Grants.gov and Grants.gov Applicant Support cannot solve the issue, please email your submission to BelmopanCARSIESF@state.gov and include a screen shot of the issue on Grants.gov with any additional details. Emailed submissions will be considered on a select basis depending on the Grants.gov submission issues noted.)

mailto:BelmopanCARSIESF@state.gov mailto:support@grants.gov

This NOFO consists of this cover letter and the following Sections:

1. Section I – Funding Opportunity Description

2. Section II – Award Information

3. Section III – Eligibility Information

4. Section IV – Application and Submission Instructions

5. Section V – Application and Review Information

6. Section VI – Agency Contacts

This funding opportunity is posted on Grants.gov and may be amended. See Section IV for further details. Potential applicants should regularly check the website to ensure they have the latest information pertaining to this NOFO. Applicants will need to have available or download the

Adobe software program in order to view and save the Adobe forms properly. If you have difficulty registering on Grants.gov or accessing the NOFO, please contact the Grants.gov helpdesk at 1-800-518-4726 or via email at support@grants.gov for technical assistance.

It is the responsibility of the recipient of this NOFO document to ensure that it has been received from Grants.gov in its entirety. U.S. Embassy Belmopan bears no responsibility for data errors resulting from transmission or conversion processes associated with electronic submissions. The deadline for submission of applications is June 3, 2019, 11:59 PM Eastern time (Washington, D.C.).

Submit any questions concerning this NOFO in writing to BelmopanCARSIESF@state.gov. The deadline for submission of questions for this NOFO is May 13, 2019, 5:00 PM local time (Belize).

Responses to questions will be made available to all potential applicants through an additional document posted on Grants.gov.

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 an application. In addition, final award of any resultant grant agreement cannot be made until funds have been fully appropriated, allocated, and committed through internal U.S.

Embassy Belmopan procedures. While it is anticipated that these procedures will be successfully completed, potential applicants are hereby notified of these requirements and conditions for award.

Applications are submitted at the risk of the applicant. All preparation and submission costs are at the applicant's expense.

Sincerely, Keith Gilges

Chargé d'Affaires, a.i.

mailto:support@grants.gov

SECTION I – FUNDING OPPORTUNITY DESCRIPTION

BACKGROUND

A secure and stable Central America contributes to a safer and more prosperous United States.

Through the U.S. Strategy for Central America (Strategy), of which the Central America Regional

Security Initiative (CARSI) is a component, U.S. assistance seeks to secure U.S. borders and protect U.S. citizens by addressing the security, governance, and economic drivers of illegal immigration and illicit trafficking, and to promote fair and reciprocal trade in Central America.

To promote improved governance, U.S. assistance in Central America supports anti-corruption efforts that improve the ease of doing business; strengthen the rule of law; promote strong institutions and government accountability; reduce impunity; and improve fiscal management by promoting efficient tax collection, civil society engagement, and institutional reform. The

Strategy enhances the capabilities of government entities and civil society organizations to build more accountable, transparent, and effective public institutions. CARSI Economic Support Fund

(ESF) small grants, such as this opportunity, provide programming to strengthen civil society’s role in improving governance and support a professional, non-partisan civil service.

The Results Architecture (TAB E) is the basis of U.S. government monitoring and evaluation for the Strategy. The Results Architecture is organized according to the Strategy’s three primary objectives (Prosperity, Governance, and Security) and corresponding sub-objectives (SO), and is the primary tool for tracking results, outcomes, and specific indicators. The Governance sub-objectives under the Strategy that these CARSI ESF funds will address is:

SO 2.1 – Professionalize civil service: Host-nation governments create a competent civil service that provides non-partisan continuity and service; and/or

SO 2.3 – Governments uphold democratic values: Central American civil society demand government accountability without reprisal of their rights and are able to influence policy outcomes. Host-nation governments uphold the values and practices of liberal democracy; citizens hold their governments accountable for these actions.

CARSI assistance across the region supports a safer and more secure region where criminal organizations no longer wield the power to destabilize governments or threaten national and regional security and public safety, as well as to prevent the entry and spread of illicit drugs, violence, and transnational threats to countries throughout the region and to the United States.

The five pillars of CARSI are:

1. Create safe streets for the citizens of the region.

2. Disrupt the movement of criminals and contraband within and among the nations of Central

America.

3. Support the development of strong, capable and accountable Central American

Governments.

4. Re-establish effective state presence and security in communities at risk.

5. Foster enhanced levels of security and rule of law coordination and cooperation among the nations of the region.

Solicitations must primarily reflect support for CARSI pillar three (strong, capable, and accountable governments), and results, particularly indicators, will be reported under the Strategy’s

Governance objective. Applicants must provide governance indicators to track results that correlate with CARSI pillar three.

Communities, particularly in rural areas of Belize, face unique challenges, including challenges for local and national authorities to provide services given communities’ remote locations, which can result in marginalization and corruption. The issues intensify with increased concerns regarding inconsistent efforts to address trafficking in persons activities in Belize as a source, transit and destination country for trafficking victims. To overcome the risks posed by these challenges, this funding will support local, sustainable, community-based solutions to improve service delivery, development, and/or combat corruption and the perception of impunity.

Transparent, well-rounded governance depends on government accountability and an understanding and respect for citizens’ rights. Effective governance also depends on a professional civil service that provides non-partisan continuity and service delivery at all levels of government.

To support further progress in Belize, the U.S. Department of State has allocated $750,000 USD in

FY 2018 CARSI ESF to focus on SO 2.1 and 2.3 of the Results Architecture under the Strategy.

PROJECT GOALS

The funds supporting the NOFO will focus on:

(a) Host-nation governments create a competent civil service that provides non-partisan continuity and service; and/or

(b) Central American civil society demand government accountability without reprisal of their rights and are able to influence policy outcomes. Host-nation governments uphold the values and practices of liberal democracy; citizens hold their governments accountable for these actions.

PROJECT OBJECTIVES

Proposals should specify the expected and sustainable results from the projects benefitting from these funds, such as government policies, programs, or services transformed or implemented;

improvement in government accountability; effects on and number of vulnerable or marginalized communities and citizens impacted; and other improvements in basic government services that impact citizens and small businesses. All proposals should state clear objectives and specify plans to measure project performance and contributions in meeting objectives. Funds cannot be used to provide direct social services or support f law enforcement officers or forces.

Applicants should address one or more of the following project objectives:

Objective 1:

To increase and enhance civil society and government partnership to improve service delivery and accountability. Proposals should be oriented towards activities by civil society organizations working with national and/or local government, particularly in vulnerable and/or marginalized communities, to improve governance systems. Capacity building for civil society organizations and/or government civil servants should be included. Examples of potential activities include, but are not limited to, improving access and availability of health services to vulnerable communities outside of Belize City; public procurement training workshops for finance officers or developing and implementing systems linking databases countrywide to allow for access to information regardless of location (standardized licensing system).

OR

Objective 2:

To develop mechanisms that improve coordination and cooperation between key stakeholders to improve basic local, municipal, or central government services for vulnerable and/or marginalized populations especially women. Proposals should be orientated towards enhancing the capacity of civilian front line agents and service providers to increase coordination, monitoring, reporting and response to issues such as, but not limited to, Gender Based Violence (GBV) and Trafficking in

Persons (TIP). Examples of potential activities include, but are not limited to; training for social workers and public health workers to enhance identification and reporting possible TIP cases; and associated public awareness campaigns.

CROSS-CUTTING AND ADDITIONAL ACTIVITIES

1. Utilize Local Resources and Expertise

Locally-based projects involving community interaction with local civic and government leadership have the best chances of success. Proposals that include the utilization of local resources and expertise are highly encouraged. Partnerships between civil society organizations also can increase the likelihood of sustainable impacts. International applicants must consider collaboration with domestic organizations and institutions.

DESIRED RESULTS AND REQUIRED OUTCOME INDICATORS

The applicant will develop a project-level Performance Monitoring plan (PMP) (see Tab B) with annual and end-of-project targets and results anticipated for key performance indicators. U.S.

Embassy Belmopan will regularly monitor project performance to assess achievement of project activities.

By the end of the project, applicants should demonstrate that the project has contributed to strengthened policies/procedures to improve government services and enhanced engagement between government and civil society that will be sustained beyond the project timeframe.

Outcomes are changes that take place because of your organization’s work – the differences that will have been made by delivering your objectives and achieving your outputs. For example, an outcome could be increased rates of a vulnerable population successfully accessing government services, improved productivity of government workers in targeted agencies or new policies/procedures instituted within your partner government agency. Project feasibility, potential impact, and performance will be assessed based on these desired outcomes.

Required outcome indicators for the project are provided below. The recipient is expected to identify targets for these indicators based on what it can reasonably achieve within the performance period of the project, and based on the expected overall project results described above. Proposals are encouraged to set additional, project-specific outcome indicators.

Required Indicator for Central America Strategy: Required targets:

Number of civil society organizations (CSOs) receiving USG assistance engaged in advocacy interventions.

TBD

Required Outcome Indicator for Objective 1: Required targets:

Civil society organizations/ civil servants capacity strengthened to promote policy dialogue, advocate for change and/or improved access to government services.

Required Outcome Indicator for Objective 2: Required targets:

Improved level of support and mechanisms/systems provided to enhance response efforts/ assistance to victims

Outputs are the results of what your organization does. For example, the number of participants who successfully complete a job-training course or received job placement through your activities are outputs. Required output indicators for the projects are provided below.

Example Output Indicators: Required targets:

Standardized reporting forms developed as part of referral system

The recipient should provide output and outcome indicators in addition to the required indicators listed above. Any data collection focused on individuals should be disaggregated by gender, if possible.

The recipient will be required to collect baseline data for all the Performance Monitoring and

Evaluation indicators during the first year of the project. In addition, certain terms included in the outcomes and indicators will need to be defined at the very beginning of the project so that it is possible to measure the change during and at the end of the project. Examples of such are

“capacity,” “spread effect,” etc. Baseline information will be critical for both monitoring and evaluation of project progress and results.

[END OF SECTION I]

SECTION II – AWARD INFORMATION

U.S. Embassy Belmopan expects to award two to three grant agreements based on this

NOFO. The anticipated total federal funding amount is $750,000 USD. The period of performance for each award is a maximum of two years with an anticipated start date of

September 30, 2019.

The U.S. government may issue one or more awards resulting from this NOFO to the responsible applicant(s) whose applications conforming to this NOFO are the most responsive to the objectives set forth in this NOFO. The U.S. government may: (a) reject any or all applications, (b) accept other than the lowest cost application, (c) accept more than one application, (d) accept alternate/revised applications, and (e) waive informalities and minor irregularities in applications received.

After a merit review panel, the U.S. government may make an award on the basis of initial applications received, without discussions or negotiations. Therefore, each initial application should contain the applicant's best terms from a cost and technical standpoint. The U.S.

government reserves the right (but is not obligated) to enter into discussions with one or more applicants in order to obtain clarifications, additional detail, or to suggest refinements in the project description, budget, or other aspects of an application.

[END OF SECTION II]

SECTION III – ELIGIBILITY INFORMATION

(1) Eligible Entities: Applicants that are eligible to apply are U.S. and overseas-based NGOs, nonprofit educational institutions, and public international organizations (PIOs) that are able to respond to the NOFO and be able to mobilize in a short period. Belizean NGOs are strongly encouraged to apply.

To be eligible for a grant award, in addition to other conditions of this NOFO, organizations must have a commitment to non‐discrimination with respect to beneficiaries and adherence to equal opportunity employment practices. Non‐discrimination includes equal treatment without regard to race, religion, ethnicity, gender, and political affiliation.

Applicants are reminded that U.S. Executive Orders and U.S. law prohibits transactions with, and the provision of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of the recipient to ensure compliance with these Executive

Orders and laws. This provision must be included in any sub‐awards issued under this grant award.

(2) U.S. Embassy Belmopan encourages applications from Belizean organizations and institutions, as well as potential new partners.

[END OF SECTION III]

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 for proposal submissions:

1. Completed Cover Sheet, which includes a project title, name of the solicitation organization, and Data Universal Numbering System (DUNS). (See Tab F)

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

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 http://www.sam.gov/ https://iupdate.dnb.com/iUpdate/viewiUpdateHome.htm https://www.fsd.gov/ https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx

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. 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 TAB C

7. 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 (see below for more information on budget format TAB C). A summary budget should also be included using the OMB approved budget categories (see SF-424 as a sample). Costs must be in U.S.

dollars.

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 B 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.

INFORMATION ON STANDARD FORMS

Please see Tab D for instructions for completion of Standard Forms 424, 424A, and 424B.

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 nonprofit 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 recipient’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 negotiated indirect cost rate agreement (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.

http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl

TAB A: 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 particular 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:

Planned Activity Contingency

Energy efficiency workshops in collaboration with the government of Mexico and other representatives from the Latin America region, focused on raising awareness of energy efficiency standards.

If government of Mexico doesn’t engage at the expected level, project team will look to other regional stakeholders, to assist in convening key stakeholders.

In the proposal, there should be a clearly defined link between each of the following elements as delineated:

Problem Statement Planned Activities/Inputs Process Indicators Output Indicators Outcome

Indicators Impact

Process Indicators measure the activity that has been completed. Please delineate the specific activities to be conducted, such as workshops, roundtables, trainings, forums, exchanges, policy dialogues, etc. All indicators must include targets. Example of a process indicator:

Process Indicator 50 women trained in energy efficiency standards

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:

Output Indicator 80 percent of participants demonstrate at least 75 percent cognizance of efficiency standards

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:

Outcome Indicator 30 percent of efficiency standards being implemented in a participant’s country as a result of participant’s participation.

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.

TAB B: 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 will track participants or partners as appropriate and be able to 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.

Recipients 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).

Indicators, as described in Tab A, 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

Indicator Type Indicator Name Source

Target

FY17Q1

Results

FY17Q1

Target

FY17Q2

Results

FY17Q2

Output

# of government workers trained

Training records 10 20

Outcome

Improved level of support provided as a result of participants’ direct or indirect participation in training

Project reporting

Activity: Government Roundtable

Indicator Type Indicator Name Source

Target

FY17Q1

Results

FY17Q1

Target

FY17Q2

Results

FY17Q2

Output xxx

Outcome yyy

Sample “Logic Model” Planning Tool

Note: Outcomes, outputs, and activities should include numerical, measurable targets. A Logic

Model is a useful tool for planning; and utilized when designing monitoring and evaluation methodology and frameworks.

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

Outcome 1

Improved production and productivity of female and male producers

Outcome 2

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

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

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 translate materials

Train producers in food conservation and preparation translate materials

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.

TAB C: BUDGET GUIDELINES

Complete budgets will provide a detailed line-item budget outlining specific cost requirements 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:

Unit Cost

Proposal

Request Cost Share Total

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 attached template or download from Grants.gov. Individual line items included in each applicant’s budget should reflect specific project activities. (pax = participants)

G:\CARSI ESF Grants\ADMIN Forms\Award Document Examples\Budget Template with

Instructions Sheet.xlsx

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 file://///BelmopanFS01/GrantsControlLog/CARSI%20ESF%20Grants/ADMIN%20Forms/Award%20Document%20Examples/Budget%20Template%20with%20Instructions%20Sheet.xlsx file://///BelmopanFS01/GrantsControlLog/CARSI%20ESF%20Grants/ADMIN%20Forms/Award%20Document%20Examples/Budget%20Template%20with%20Instructions%20Sheet.xlsx 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.

http://www.policyworks.gov/

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: GUIDELINES FOR STANDARD FORMS

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

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

5a. Federal Entity Identifier: Leave blank

5b. Federal Award Identifier: Leave blank

6. Date Received by State: Leave blank. This will automatically be assigned

7. State Application Identified: Leave blank. This will automatically be assigned

8a. Enter the legal name of the applicant organization.

8b. Employer/Taxpayer ID Number: N/A.

8c. Organizational DUNS: Organizations can request a DUNS number at http://fedgov.dnb.com/webform

8d. Enter the full address of the applicant

8e. Enter the name of the primary organizational unit (and department or division, if applicable) that will undertake the assistance activity, if applicable

8f. Enter the name, title, organization, and contact information of person to be contacted on matters involving this…