FINAL_Plastic Small Grants NOFO Document.docx

United States Department of State Bureau of Oceans and International Environmental and Scientific Affairs Notice of Funding Opportunity (NOFO): Small Grants Program to Address Plastic Pollution

This is the announcement of funding opportunity number SFOP0009682

Catalog of Federal Domestic Assistance Number: 19.017

Type of Solicitation: Open Competition

Application Deadline: 11:59 PM EST on June 30, 2023

Total Funding Ceiling: $641,975.00

Anticipated Number of Awards: 1-2

Type of Award: Cooperative Agreement

Period of Performance: 24 months

Anticipated Time to Award, Pending Availability of Funds: 4.5 months (from May 2023)

A. PROJECT DESCRIPTION

A.1 Summary

The U.S. Department of State (Department of State), Bureau of Oceans and International Environmental and Scientific Affairs (OES), Office of Environmental Quality (ENV) announces an open competition for organizations interested in submitting applications for a program that supports civil society engagement in environmental protection through capacity building to address plastic pollution by advancing awareness, research, and projects that reduce, reuse, and/or recycle plastic, through formal and informal sectors.

Globally, less than 10% of plastic is recycled and an estimated 11 million metric tons of plastic pollution enter the ocean every year. This number is projected to triple by 2040 unless the world acts. Reducing and eliminating the release of plastic pollution into the environment requires a whole of society approach to drive solutions that reduce, reuse, recycle, and recover plastic throughout its lifecycle.

In March 2022, countries, with strong support from civil society and other stakeholders, came together at the UN Environment Assembly to pass a resolution to launch negotiations on a global agreement on plastic pollution. OES seeks to drive policy, capacity building, and technical collaboration actions and innovation at the global, regional, national, and local levels to assist target countries as they participate in these negotiations and, more broadly, to find solutions to solve this crisis. This small grants program will initiate work to help countries meet their goals in combating plastic pollution as well as empower local communities to be agents of change.

The selected organization(s) will develop and manage a small grants program to increase public participation in reducing plastic pollution and improving management of plastic waste across the lifecycle of plastics. The organization(s) must describe how it will issue and manage small grants of up to $50,000 to subgrantees at a local organization or institution in countries identified for the program.

One or two cooperative agreements for up to a total of $641,975.00 U.S. Dollars (USD) in FY 2022 Economic Support Funds (ESF) will be awarded, subject to Congressional approval and availability of funds, for work that will support OES environmental cooperation activities. The initial period of performance for the award will be for 24 months.

The project must be implemented in at least three countries. Countries of implementation must include Jordan and at least one of the following priority countries: Colombia, the Dominican Republic, and/or El Salvador. In addition, if appropriate, one or more of the following countries may be included in the program: Guatemala, Honduras, Indonesia, Malaysia, Mexico, Oman, Panama, Philippines, and Vietnam. Funding authority rests in the Foreign Assistance Act of 1961, as amended.

A.2. Program Goal

The program aims to complement government efforts during the negotiation and eventual implementation of a new global agreement on plastic pollution by engaging civil society to help promote active public participation in environmental issues, which can in turn lead to innovative solutions, stronger monitoring of environmental impacts, and better enforcement of environmental laws.

A.3 Activities

Develop a small grants program to support local civil society organizations to implement projects that aim to increase awareness, support community involvement, provide technical collaboration/actions/ innovation to address plastic pollution at the global, regional, national, and/or local levels. The small grants program must consider and address the following in the proposal:

· At least one small grant to a civil society organization in Jordan and each of the two (minimum) countries selected from the lists above;

· Coordination with and buy-in from country governments throughout the small grants lifecycle;

· Solicitation and public outreach through media channels that reach different sectors and areas of the population in the applicable countries;

· Communication outlets should include rural and underserved and underrepresented communities and local universities involved in plastic reduction, reuse, and/or recycling, as well as other relevant environmental programs;

· Providing a mechanism for grantees to share best practices and experiences;

· Mentorship and guidance for small grantees, such as through connecting them to opportunities to increase their impact, facilitating their use of information and communication technologies, and assisting them with the use of social media;

· Helping foster relationships between the small grantees and their respective national governments, such as through facilitating their connection and providing information on effectively working with local and national governments, as appropriate; and

· Organizing a roundtable event with participating sub-grantees, and other stakeholders to share experiences and potential future efforts.

A.4 Expected Outcomes:

Specific results will depend on the strategy and activities identified by the grantee, but could include activities that produce measurable results in:

· Decreasing the amount of plastic pollution that enters the environment and increasing the amount of plastic waste that is either recycled or disposed of properly;

· Increasing public awareness, understanding, and community efforts to address plastic pollution, improve environmental laws development or enforcement, public participation opportunities, and other relevant environmental issues;

· Creating partnerships and networks between civil society organizations and local governments to address plastic pollution, recycling, and/or plastic reuse;

· Supporting universities and/or local organizations to educate the public about innovations and policy approaches to reduce plastic pollution, such as through workshops, courses, and events;

· Strengthening the capacities of local organizations (grantees and non-grantees alike) in countries to apply for other grants and opportunities;

· Providing assistance to local organizations (grantees and non-grantees alike) to improve outreach for public participation in addressing plastic pollution, recycling, and/or plastic reuse, as well as relevant environmental matters; and

· Increasing effective participation of civil society and local NGOs (including indigenous, underserved and underrepresented communities, and women in all of their diversity as appropriate) in countries in efforts to address plastic pollution, recycling, and/or plastic reuse.

A.5 Indicators:

The applicant should select some of the below output/outcome indicators, as appropriate, and may propose other indicators relevant to the primary objectives of the cooperative agreement and the expected results of the proposed project(s). Final indicators will be determined through discussions between the Department of State and selected organization(s).

· EG.4.2-4: Number of days of USG-funded training provided to support small and medium enterprise development.

a. Training days for recipient type: Small Medium Enterprises (SMEs)

b. Training days for Women-owned SMEs

· EG.5-12: Number of small and medium-sized enterprises supported by USG assistance.

a. Number of enterprises that are majority owned, managed, or controlled by women.

· EG.5.2-2: Number of private sector firms that have improved management practices or technologies as a result of USG assistance.

a. Number of firms that are majority owned, managed or controlled by women.

· EG.10.1-2: Amount of municipal solid waste (in Metric Tons) diverted from the environment supported by USG assistance.

a. Plastic waste

· EG.10.1-3: Number of policy instruments that promote the reduction of plastic pollution and sustainable management of municipal solid waste supported by USG assistance.

· EG.10.2-4: Number of people trained in sustainable natural resources management and/or biodiversity conservation as a result of USG assistance.

a. Number of men

b. Number of women

c. Other

· Custom Indicator 1: Quantity of solid waste in target communities diverted from uncontrolled landfills or open dumps.

a. Plastic waste

· Custom Indicator 2: Number of plastic recycling points or initiatives in target communities.

· Custom Indicator 3: Number of households in target communities separating plastic waste at source.

· Custom Indicator 4: Number of businesses in target communities improving their solid waste management practices.

a. Plastics management

A.6. Key Considerations

Applicants must demonstrate their ability to:

· Conduct a small grants program focused on community engagement to advance environmental goals, capacity building, and/or the reduction, re-use, and recycling of plastic;

· Work in the Latin America, the Middle East, and/or the Southeast Asia region;

· Provide monitoring technical assistance to project implementers to assist with project design, data gathering, and required reporting;

· Effectively engage with a wide range of stakeholders, from community organizations to technical implementers; and

· Incorporate gender equity, diversity, equity, inclusion, and accessibility frameworks to inform project design.

This notice is subject to availability of funding.

B. FEDERAL AWARD INFORMATION

Primary organizations can submit up to two applications in response to the NOFO. If an applicant chooses to submit multiple applications to this NOFO, it is the responsibility of the applicant to demonstrate the competitiveness and uniqueness of each application.

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, and (d) waive irregularities in applications received.

The U.S. government may make award(s) 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 (though it is under no obligation to do so), however, 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.

OES anticipates awarding either a grant or cooperative agreement depending on the needs and risk factors of the program. The final determination on award mechanism will be made by the Grants Officer. The distinction between grants and cooperative agreements revolves around the existence of “substantial involvement.” Cooperative agreements require greater Federal government participation in the project. If a cooperative agreement is awarded, OES will undertake reasonable and programmatically necessary substantial involvement. Examples of substantial involvement can include, but are not limited to:

· Co-developing the small grants program award plan and administration guidelines;

· Participate in the review and selection process for the small grant awardees;

· Participate in roundtable events with awardees and stakeholders;

· Active participation or collaboration with the recipient in the implementation of the award;

· Review and approval of one stage of work before another can begin;

· Approval of the recipient’s budget or plan of work prior to the commencement of activities.

The authority for this funding opportunity is found in the Foreign Assistance Act of 1961, as amended (FAA).

To maximize the impact and sustainability of the award(s) that result from this NOFO, OES retains the right to execute non-competitive continuation amendment(s). The total duration of any award, including potential non-competitive continuation amendments, shall not exceed 54 months, or four and a half years. Any non-competitive continuation is contingent on performance and pending availability of funds. A non-competitive continuation is not guaranteed, and the Department of State reserves the right to exercise or not to exercise this option.

C. ELIGIBILITY INFORMATION

C.1 Eligible Applicants

OES welcomes applications from U.S.-based non-profit/non-governmental organizations with or without 501(c) (3) status of the U.S. tax code; foreign-based non-profit organizations/nongovernment organizations (NGO); Public International Organizations; Foreign Public Organizations; private, public, or state institutions of higher education; and for-profit organizations or businesses.

Applications submitted by for-profit entities may be subject to additional review following the panel selection process. Additionally, the Department of State prohibits profit to for-profit or commercial organizations under its assistance awards. Profit is defined as any amount in excess of allowable direct and indirect costs. The allowability of costs incurred by commercial organizations is determined in accordance with the provisions of the Federal Acquisition Regulation (FAR) at 48 CFR 30, Cost Accounting Standards Administration, and 48 CFR 31 Contract Cost Principles and Procedures.

Please see 2 CFR 200.307 for regulations regarding program income.

C.2 Cost Sharing or Matching

Providing cost sharing, matching, or cost participation is not an eligibility factor or requirement for this NOFO and providing cost share will not result in a more favorable competitive ranking. Per 2 CFR §200.306, items that are proposed for cost share must be allowable per 2 CFR §200, Subpart E—Costs Principles.

C.3 Other

Applicants must have existing, or the capacity to develop, active partnerships local in-country partners, entities, and relevant stakeholders and have demonstrable experience in administering successful and preferably similar projects. Applicants should demonstrate experience working in the regions/countries listed, technical capacity on addressing plastic pollution, and managing projects of similar scope and funding-level.

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

D. APPLICATION AND SUBMISSION INFORMATION

D.1 Address to Request Application Package

Applicants can find application forms, kits, or other materials needed to apply on www.grants.gov and SAMS Domestic (https://mygrants.servicenowservices.com) under the announcement title “Small Grants Program to Address Plastic Pollution,” funding opportunity number “SFOP0009682”. Please contact the OES point of contact listed in Section G if requesting reasonable accommodations for persons with disabilities or for security reasons. Please note that reasonable accommodations do not include deadline extensions.

D.2 Content and Form of Application Submission

For all application documents, please ensure:

· All documents are in English and all costs are in U.S. Dollars. If an original document within the application is in another language, an English translation must be provided (please note the Department of State, as indicated in 2 CFR 200.111, requires that English is the official language of all award documents). If any document is provided in both English and a foreign language, the English language version is the controlling version;

· All pages are numbered, including budgets and attachments;

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

· All documents are single-spaced, 12-point Times New Roman font, with 1-inch margins. Captions and footnotes may be 10-point Times New Roman font. Font sizes in charts and tables, including the budget, can be reformatted to fit within 1 page width.

D.2.1 Application Requirements

Complete applications must include the following:

1) Completed and signed SF-424, SF-424A, and SF-424B forms.

2) Organizations that engage in lobbying the U.S. government, including Congress, or pay for another entity to lobby on their behalf, are also required to complete the SF-LLL “Disclosure of Lobbying Activities” form (only if applicable).

3) Cover Page/Executive Summary (not to exceed one (1) page, preferably as a Word Document) that includes a table with the organization name, project title, target country/countries, and name and contact information for the application’s main point of contact and brief section that clearly outlines (1) the problem statement addressed by the project (2) research-based evidence justifying the applicant’s approach, and (3) quantifiable project outcomes and impacts.

4) Proposal Narrative (not to exceed ten (10) pages, preferably as a Word Document). Please note the ten-page limit does not include the Cover Page/Executive Summary, Table of Contents, Attachments, Detailed Budget, Budget Narrative, Audit, or NICRA. Applicants are encouraged to combine multiple documents into a single Word Document or PDF (i.e., Cover Page, Table of Contents, Executive Summary, and Proposal Narrative in one file). The Narrative must include the following:

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

· Program Methods and Design: A description of how the program is expected to work to solve the stated problem and achieve the goal.

· Program Goal: The “goal(s)” describe the larger outcome intended.

· Program Objectives: The intermediate accomplishments and measurable targets to achieve a goal. Objectives of the program should be SMART:

· Specific: Detailed and specifies what will be achieved

· Measurable: have associated metrics or measurements of success

· Attainable: while appropriately challenging, objectives can be reasonably attained given the available resources

· Relevant: align with the policy/program goal and appropriate within the country or beneficiary audience

· Time-Bound: achievable within the timeframe of the program

· Program Activities: Describe specific actions taken under Objective. All activities should be clearly developed and sufficiently explain the resource and time requirements (inputs) and things done or produced (outputs). Activities should detail: target areas, participant groups or selection criteria for participants; how relevant stakeholders will be engages; actions taken by local partners as appropriate/relevant.

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

· Risk Analysis: Identify the internal and external risks associated with the proposed project, rate the likelihood of the risks, rate the potential impact of the risks on the project, and identify actions that could help mitigate the risks.

5) Budget (preferably as an Excel workbook) that includes three (3) columns containing the request to OES, any cost sharing contribution, and the total budget. A summary budget should also be included using the OMB-approved budget categories (see SF-424A as a sample) in a separate tab. Costs must be in U.S. Dollars. Detailed line-item budgets for sub-grantees should be included as additional tabs within the Excel workbook (if available at the time of submission). Please see attached Budget Guidelines-Template for Multi-Year Awards (FY2023)

6) Budget Narrative (preferably as a Word Document) Justify each line-item in the budget and explain how the amounts were derived, consistency with the applicants’ documented policies, as well as the source and description of all proposed costs (and cost-share, if applicable). The narrative should complement the budget rather than repeat information provided in the budget. For example, the narrative should provide details on the purpose of costs, reasonability of costs, cost price analysis, explain allocations, explain any yearly variances and tie expenses to program activities and/or objectives where appropriate. Sources of all cost-share offered in the application should be identified and explained in the budget narrative. See Tab 1 Budget Guidelines-Template for Multi-Year Awards (FY2023) for more information.

7) Logic Model (preferably as a Word Document). Logic models, and alternative approaches, can be helpful when planning and designing programs. These tools can be used to visually depict or outline how and why a project will work—i.e. the rationale behind your project approach. Detailing how a program’s planned activities lead to certain outcomes can often help applicants understand the assumptions within the approach. Detailing factors outside your control, such as policy shifts (i.e. external factors) within a logic model can identify areas that should be included within your program’s risk analysis. It details planned activities, the immediate services or product of project activities (outputs), and the expected changes or benefits that occur after activities have been implemented (outcomes). Applicants should specify objectives, identify what resources (inputs) are needed, outline proposed activities (outputs) and beneficiaries, and illustrate how activities lead to expected results. See attached Sample Logic Model

8) Program Monitoring and Evaluation Narrative and Plan:

· An M&E Narrative (maximum one page) outlines how a project’s M&E system will be carried out and by whom. It details how you will track your project’s performance toward its objectives, over time. Provide a clear description of the approach and data collection strategies and tools to be employed (e.g., pre- and post-test surveys, interviews, focus groups). The description should include how the applicant will track and document whether activities occurred (outputs) and the results or changes caused by these activities (outcomes). If the project includes work with local partners or sub-partners, explain how M&E efforts will be coordinated amongst these organizations. Explain if an external evaluation will be included. Evaluations, internal or external, should be systematic studies that use research methods to address specific questions about project performance. They should provide a valuable supplement to ongoing monitoring activities. Evaluation activities generally include baseline assessments, mid-term and final evaluations.

· The M&E plan should draw on the objectives, activities and expected changes from the logic model, and link those areas to indicators. The M&E plan is generally structured as a table with output- and outcome-based indicators. It explains how data will be collected (data collection methods) to show that certain changes occurred. It outlines baselines (where your project is starting) and quarterly targets (what you would like to achieve) for each indicator.

9) Key Personnel (not to exceed two (2) pages, preferably as a Word Document). This can represent staff within your organization or outside of your organization (subgrantee, consultants, contractors), carrying out administrative or technical responsibilities, who are integral to the success of the program. Include short bios that highlight relevant professional experience. Provides names, titles, roles and experience/qualifications of key personnel involved in the program. Given the limited space, CVs are not recommended for submission. Limited to 3-5 individuals.

10) Timeline (not to exceed one (1) page, preferably as a Word Document or Excel Sheet). The timeline of the overall proposal should include activities, evaluation efforts, and program closeout. Sufficient time should be included to conduct and finalize internal/external evaluations and allow any sub-recipients time for final reporting. See attached Sample Timeline

11) Gender and Inclusion Analysis (not to exceed two (2) pages, preferably as a Word Document) that provides a concise analysis of relevant gender norms, equity and equality for underserved communities and marginalized populations, power relations, and conflict dynamics in target countries. Potential domains of analysis include institutional practices and barriers, cultural norms, gender roles, access to and control over assets and resources, and patterns of decision-making. Applicants should briefly explain how they have integrated findings from their analysis into project design and/or other proposal documents, including a plan for regularly reviewing and updating the gender and inclusion analysis with local partners/beneficiaries, and making any necessary adjustments to program implementation.

12) Attachments:

· Letters of support from program partners describing the roles and responsibilities of each partner, if applicable/pre-identified

· Official permission letters, if required for project activities.

Applications that do not include the elements listed above will be deemed technically ineligible. To ensure that all applications receive a balanced evaluation, the review panel will review from the first page of each section up to the page limit and no further.

D.2.2 Additional Information Requested For Those Receiving Notification of Intent

Successful applicants must submit, after notification of intent to make a Federal award, but prior to issuance of a Federal award:

· Written responses and revised application documents addressing conditions and recommendations from the review panel;

· A copy of the applicant’s latest NICRA as a PDF file, if the applicant has a NICRA and includes NICRA charges in the budget;

· A completed copy of the Department’s Financial Management Survey, if receiving USG funding for the first time;

· Submission of required documents to register in the Payment Management System managed by the Department of Health and Human Services, if receiving OES funding for the first time (unless an exemption is provided);

· Other requested information or documents included in the notification of intent to make a Federal award or subsequent communications prior to issuance of a Federal award;

· Applicants who submit their applications through Grants.gov will be required to create a SAMS Domestic account in order to accept the final award. Accounts must be logged into to every 60 days in order to maintain an active account.

D.3 Unique Entity Identifier and System for Award Management (SAM)

All prime organizations, whether based in the United States or in another country, must have a Unique Entity Identifier (UEI), formerly referred to as DUNS, and an active registration with the SAM.gov before submitting an application. THE BUREAU may not review applications from or make awards to applicants that have not completed all applicable UEI and SAM.gov requirements. A UEI is one of the data elements mandated by Public Law 109-282, the Federal Funding Accountability and Transparency Act (FFATA), for all Federal awards.

The 2 CFR 200 requires that sub-grantees obtain a UEI number. Please note the UEI for sub-grantees is not required at the time of application but will be required before the award is processed and/or directed to a sub-grantee.

Note: The process of obtaining a SAM.gov registration may take anywhere from 4-8 weeks. Please begin your registration as early as possible.

· Organizations based in the United States or that pay employees within the United States will need an Employer Identification Number (EIN) from the Internal Revenue Service (IRS). A Commercial and Government Entity (CAGE) code and a UEI number are issued through SAM.gov. Once received continue with the remainder of the SAM.gov registration.

· Organizations based outside of the United States and do not pay employees within the United States do not need an EIN from the IRS.

· Organizations based outside of the United States and that do not pay employees within the United States do not need an EIN from the IRS, but do need a UEI number prior to registering in SAM.gov. Please note that as of December 2022, organizations based outside of the United States that do not intend to apply for U.S. Department of Defense (DoD) awards are no longer required to have a NATO CAGE (NCAGE).

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

· NCAGE/CAGE code (if applicable)

· www.SAM.gov UEI and registration.

If you are an organization based outside the U.S. and plan to do business with the Department of Defense:

Step 1: Apply for an NCAGE number

NCAGE Homepage:

https://eportal.nspa.nato.int/AC135Public/sc/CageList.aspx NCAGE Code Request Tool (NCRT):

https://eportal.nspa.nato.int/Codification/CageTool/home

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

Step 2: After receiving the NCAGE Code, proceed to SAM.gov to obtain a UEI an complete registration. SAM registration must be renewed annually.

If you are an organization based outside the United States, and DO NOT plan to do business with the Department of Defense:

Step 1: Proceed to SAM.gov to obtain a UEI and complete the registration. SAM registration must be renewed annually.

All prime organizations must also continue to maintain active SAM.gov registration with current information at all times during which they have an active Federal award or application under consideration by a Federal award agency. SAM.gov requires all entities to renew their registration once a year in order to maintain an active registration status in SAM. It is the responsibility of the applicant to ensure it has an active registration in SAM.gov and to maintain that active registration. If an applicant has not fully complied with the requirements at the time of application, the applicant may be deemed technically ineligible to receive an award and use that determination as a basis for making an award to another applicant.

Note: SAM.gov is not the same as SAMS Domestic. It is free to register in both systems, but the registration processes are different.

Information is included on the SAM.gov website to help international registrations.https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0016380&sys_kb_id=194695221bfe4d983565ed3ce54bcbbb&spa=1 Please note, guidance on SAM.gov and the guidance on GSA’s website about requirement for registering in SAM.gov is subject to change and currently being updated. Applicants should review the website frequently for the most up-to-date guidance.

The attached “UEI and SAM.gov FAQ updated 021623” is a resource provided by the grants policy office. Any content shown from SAM.gov is not owned by the Department of State. This guidance and instruction are to the best of our knowledge based at the time of posting this solicitation. Where guidance in this attachment differs from the SAM.gov website, SAM.gov prevails and the applicant is encouraged to seek and document clarity provided by the SAM.gov helpdesk.

D.3.1 Exemptions

An exemption from these requirements may be permitted on a case-by-case basis if:

· Recipient is a foreign organization receiving an award that will be performed outside the United States valued at less than $25,000, if the Grants Officer deems it to be impractical for the entity to obtain a UEI or register in SAM.gov.

· The recipient is an overseas school and does not currently have a UEI number.

· The award relates to a classified or national security matter.

· The recipient’s identity must be protected due to possible endangerment of their mission, their organization’s status, their employees, or the beneficiary being served by the recipient.

· There are exigent circumstances that prohibit the recipient from receiving a UEI and completing SAM registration prior to receiving the award. These circumstances are identified in the justification below and the recipient will be required to register within 30 days of the award date in accordance with 2 CFR 25.

· An applicant’s identity must be protected due to potential endangerment of their mission, their organization’s status, their employees, or individuals being served by the applicant.

Organizations requesting exemption from UEI or SAM.gov requirements must email the point of contact listed in the NOFO at least two weeks prior to the deadline in the NOFO providing a justification of their request. Approval for a SAM.gov exemption must come from the warranted Grants Officer before the application can be deemed eligible for review.

D.4 Submission Dates and Times Applications are due no later than 11:59 PM Eastern Standard Time (EST), on 30, June, 2023 on https://www.grants.gov/ or SAMS Domestic (https://mygrants.servicenowservices.com) under the announcement title “Small Grants Program to Address Plastic Pollution,” funding opportunity number “SFOP0009682”.

Grants.gov and SAMS Domestic automatically log the date and time an application submission is made, and the Department of State will use this information to determine whether an application has been submitted on time. Late applications are neither reviewed nor considered. Known system errors caused by Grants.gov or SAMS Domestic (https://mygrants.service-now.com) that are outside of the applicant’s control will be reviewed on a case by case basis. Applicants should not expect a notification upon OES receiving their application.

D.5 Funding Limitations, Restrictions, and other Considerations

OES will not consider applications that reflect any type of support for any member, affiliate, or representative of a designated terrorist organization. Please refer the link for Foreign Terrorist Organizations: https://www.state.gov/foreign-terrorist-organizations/ Project activities whose direct beneficiaries are foreign militaries or paramilitary groups or individuals will not be considered for OES funding given purpose limitations on funding.

The Leahy Law prohibits Department foreign assistance funds from supporting foreign security force units if the Secretary of State has credible information that the unit has committed a gross violation of human rights. Per 22 USC §2378d(a) (2017), “No assistance shall be furnished under this chapter [FOREIGN ASSISTANCE] or the Arms Export Control Act [22 USC 2751 et seq.] to any unit of the security forces of a foreign country if the Secretary of State has credible information that such unit has committed a gross violation of human rights.” Restrictions may apply to any proposed assistance to police or other law enforcement. Among these, pursuant to section 620M of the Foreign Assistance Act of 1961, as amended (FAA), no assistance provided through this funding opportunity may be furnished to any unit of the security forces of a foreign country when there is credible information that such unit has committed a gross violation of human rights. In accordance with the requirements of section 620M of the FAA, also known as the Leahy law, project beneficiaries or participants from a foreign government’s security forces may need to be vetted by the Department before the provision of any assistance. If a proposed grant or cooperative agreement will provide assistance to foreign security forces or personnel, compliance with the Leahy Law is required.

Organizations should be cognizant of these restrictions when developing project proposals as these restrictions will require appropriate due diligence of program beneficiaries and collaboration with OES to ensure compliance with these restrictions. Program beneficiaries subject to due diligence vetting will include any individuals or entities that are beneficiaries of foreign assistance funding or support. Due diligence vetting will include a review of open-source materials.

D.6 Other Submission Requirements

All application submissions must be made electronically via www.grants.gov or SAMS Domestic (https://mygrants.servicenowservices.com). Both systems require registration by the applying organization. Please note that the Grants.gov registration process can take ten (10) business days or longer, even if all registration steps are completed in a timely manner.

It is the responsibility of the applicant to ensure that it has an active registration in SAMS Domestic or Grants.gov. Applicants are required to document that the application has been received by SAMS Domestic or Grants.gov in its entirety. OES bears no responsibility for disqualification that result from applicants not being registered before the due date, for system errors in either SAMS Domestic or Grants.gov, or other errors in the application process. Additionally, applicants must save a screen shot of the checklist showing all documents submitted in case any document fails to upload successfully.

Faxed, couriered, or emailed documents will not be accepted. Reasonable accommodations may, in appropriate circumstances, be provided to applicants with disabilities or for security reasons. Applicants must follow all formatting instructions in the applicable NOFO and these instructions.

OES encourages organizations to submit applications during normal business hours (Monday – Friday, 9:00AM-5:00PM Eastern Standard Time (EST)). If an applicant experiences technical difficulties and has contacted the appropriate helpdesk but is not receiving timely assistance (e.g. if you have not received a response within 48 hours of contacting the helpdesk), you may contact the OES point of contact listed in the NOFO in Section G. The point of contact may assist in contacting the appropriate helpdesk.

Note: The Grants Officer will determine technical eligibility of all applications.

SAMS Domestic Applications:

Applicants using SAMS Domestic for the first time should complete their “New Organization Registration.” To register with SAMS Domestic, click “Login to https://mygrants.servicenowservices.com” and follow the “create an account” link.

Organizations must remember to save a screen shot of the checklist showing all documents submitted in case any document fails to upload successfully.

SAMS Domestic Help Desk:

For assistance with SAMS Domestic accounts and technical issues related to the system, please contact the ILMS help desk by phone at +1 (888) 313-4567 (toll charges apply for international callers) or through the Self Service online portal that can be accessed from https://afsitsm.service-now.com/ilms/home. Customer support is available 24/7.

Grants.gov Applications:

Applicants who do not submit applications via SAMS Domestic may submit via www.grants.gov.

Please be advised that completing all the necessary registration steps for obtaining a username and password from Grants.gov can take ten (10) business days or longer.

Please refer to the Grants.gov website for definitions of various "application statuses" and the difference between a submission receipt and a submission validation. Applicants will receive a validation e-mail from Grants.gov upon the successful submission of an application. Validation of an electronic submission via Grants.gov can take up to two business days. Additionally, organizations must remember to save a screenshot of the checklist showing all documents submitted in case any document fails to upload successfully.

Grants.gov Helpdesk:

For assistance with Grants.gov, please call the Contact Center at +1 (800) 518-4726 or email support@grants.gov. The Contact Center is available 24 hours a day, seven days a week, except federal holidays.

See https://www.opm.gov/policy-data-oversight/pay-leave/federal-holidays/ for a list of federal holidays.

E. APPLICATION REVIEW INFORMATION

E.1 Proposal Review Criteria

The OES review panel will evaluate each application individually against the following criteria, listed below in order of importance, and not against competing applications. Please use the below criteria as a reference, but do not structure your application according to the sub-sections.

Quality and Program Design – 20 points: The program idea is well developed and responsive to the policy and program objective of the NOFO. The applicant describes the project’s potential contribution to solving the problem addressed in the problem statement. The application clearly defines the problem; its causes; stakeholders; existing research/data; the approach taken to solve the problem; realistic milestones to indicate progress.

Organizational Capacity – 20 points: The applicant demonstrates an institutional record of successful projects in the content area proposed. The applicant demonstrates experience (e.g., has previously worked and/or has established contacts/partners) in the proposed country/territory/region. The organization has expertise in its stated field and has adequate staffing to manage the proposed project. The applicant demonstrates capacity for responsible fiscal management of donor funding (e.g., successful management of a previous grant or sub-award).

Program Planning/Ability to Achieve Objectives – 20 points: Goals and objectives are clearly stated and project approach is likely to provide maximum impact in achieving the proposed results. The applicant proposes activities that are feasible, and are also practical, and/or experiential in nature to encourage innovation. The applicant addresses how the project will engage or obtain support from relevant stakeholders and/or identifies local partners. Program logic is sound showing plausible pathways to achieve project outcomes. Key assumptions and risks have been identified and their potential influences described. The applicant acknowledges if activities similar to those proposed are already taking or have taken place previously, and provides an explanation as to how proposed new activities will not duplicate or merely add to existing/recent activities.

Budget & Budget Narrative – 10 points: The budget justification is detailed, accounting for all necessary expenses to achieve proposed activities. Costs are reasonable in relation to the proposed activities and anticipated results and provide detail of calculations, including estimation methods, quantities, unit costs, labor in-put and responsibilities, procurement practice and policy information, and other similar quantitative detail.

Monitoring & Evaluation/Sustainability – 20 points: Applicant demonstrates it is able to measure program success against key indicators and provides milestones to indicate progress toward goals outlined in the proposal. The program includes output and outcome indicators, and shows how and when those will be measured and who will be responsible for them. The applicant clearly details how activities will result in benefits that will continue beyond the funding period.

Support of Equity and Underserved Communities – 10 points: Proposals should clearly demonstrate how the program will support and advance equity and engage underserved communities in program administration, design, and implementation.

E.2 Review and Selection Process

The Department of State is committed to ensuring a competitive and standardized process for awarding funding. Applications will be screened initially in a Technical Eligibility Review stage to determine whether applicants meet the eligibility requirements outlined in section C and have submitted all required documents outlined in section D. Applications that do not meet these requirements will not advance beyond the Technical Eligibility Review stage and will be deemed ineligible for funding under this NOFO.

All applications that are deemed eligible will proceed to the Merit Review Panel consisting of U.S. government subject matter and/or country-specific experts and will be rated on a 100-point scale. OES reserves the right to request the assistance of non-US government Subject Matter Experts (SMEs), if appropriate to the solicitation. Point values for individual elements of the application are presented in E.1, of this part. Panel Reviewers’ ratings, and any resulting recommendations, are advisory. Panel Reviewers may provide conditions and recommendations on applications to enhance the proposed project, which must be addressed by the applicant before further consideration of the award.

Final selection authority resides with OES’ senior level official. Final award decisions will be influenced by whether the application meets the Department of State’s programmatic goals and objectives, how it supports the Department’s overarching foreign policy priorities, and the geographic distribution of the top-ranking applications.

E.3 Federal Awardee Performance & Integrity Information System

The Department of State, prior to making a federal award with a total amount of federal share greater than the simplified acquisition threshold, is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313). The applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM. The Department of State will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in §200.205 Federal awarding agency review of risk posed by applicants.

Applicant organizations must demonstrate adherence to equal opportunity employment practices and commitment to non-discrimination with respect to beneficiaries. 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 or support to individuals or organizations associated with terrorism.

· Proposals that reflect any type of support for any member, affiliate, or representative or a designate to terrorist organization or narcotics trafficker, including elected members of government, will NOT be considered. This provision must be included in any sub‐awards/sub-contracts issued under this award.

· U.S. Applicant organizations must demonstrate adherence to equal opportunity employment practices and commitment to non-discrimination with respect to beneficiaries. Non-discrimination includes equal treatment without regard to race, religion, ethnicity, gender, and political affiliation.

· Applicants under Department of State-funded projects are responsible for complying with all applicable tax treaties and federal, state, and local laws on tax withholding and reporting for project participants.

F. FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 Federal Award Notices

OES will provide a separate notification to applicants on the result of their applications. Successful applicants will receive a letter electronically via email requesting that the applicant respond to review panel conditions and recommendations. This notification is not an authorization to begin activities and does not constitute formal approval or a funding commitment.

Final approval is contingent on the applicant successfully responding to the review panel’s conditions and recommendations; being registered in required systems; and completing and providing any additional documentation requested by OES or the Grants Officer. Final approval is also contingent on Congressional Notification requirements being met and final review and approval by the Department’s warranted Grants Officer.

The notice of Federal award signed by the Department’s warranted Grants Officers is the sole authorizing document. The recipient may only start incurring program expenses beginning on the start date shown on the grant award document signed by the Grants Officer. If awarded, the notice of Federal award will be provided to the applicant’s designated Authorizing Official via SAMS Domestic to be electronically counter-signed in the system.

Payments under this award will be made through the U.S. Department of Health and Human Services (HHS) Payment Management System (PMS) or by completing form SF-270—Request for Advance or Reimbursement and submitting the form. Final determination will be made in conjunction with the Grants Officer. Unless otherwise stipulated, the Recipient may request payments on a reimbursement or advance basis. Instructions for requesting payments via PMS are available at: https://pms.psc.gov/. Instructions for requesting payments via SF-270 are available at: https://www.grants.gov/forms/post-award-reporting-forms.html.

Advance payments must be limited to the minimum amounts needed and be timed to be in accordance with the actual, immediate cash requirements of the Recipient in carrying out the purpose of this award.