FY2019 AEECA NOFO.Final.docx

A NOTICE OF FUNDING OPPORTUNITY

Global Innovation through Science and Technology in Ukraine

Table of Contents:

Attachments:

Appendix 1: Sample – Letter of Institutional Support

Global Innovation through Science and Technology (GIST) initiative Section A. Funding Opportunity Program Description

Catalog of Federal Domestic

Executive Summary:

The Bureau of Oceans and International Environmental and Scientific Affairs’ (OES) Office of Science and Technology Cooperation at the Department of State, announces the Notice of Funding Opportunity (“NOFO”) for Global Innovation through Science and Technology (GIST) initiative for programming in Ukraine. GIST is a program that highlights American leadership in innovation, promotes S&T innovation and entrepreneurship among young innovators in low and middle income countries through networking, skills building, mentoring, and access to financing, and connects foreign entrepreneurs to American businesses in support of U.S. economic and security priorities. The agreements awarded will use Fiscal Year 2018 Assistance for Europe, Eurasia, and Central Asia (AEECA) funds, subject to the availability of funds. Should additional funds become available, OES may consider expanding initial programs and/or issuing additional awards to proposals deemed meritorious but not initially funded.

GIST will support projects that strengthen young science and technology innovators and entrepreneurs in low and middle income countries and the innovation ecosystems in which they operate by connecting them with American businesses and experts. This GIST program will consist of two program activities: “GIST Innovates”, an 8-12 week I-corps inspired training in Ukraine to train Ukrainians from across all parts of Ukraine and a follow-on GIST Innovation Hub, new or continued support for a monthly meet-up group on entrepreneurship. Up to $500,000 contingent on the availability of funds.

Eligibility is limited to U.S. non-profit/nongovernmental organizations subject to section 501 (c) (3) of the U.S. tax code and U.S. educational institutions. Foreign organizations or Public International Organizations will NOT be considered for this competition.

One cooperative agreement totaling up to $500,000 U.S. Dollars (USD) in FY 2018 Economic Support Funds (ESF) will be awarded for work that will support GIST. The initial period of performance will be for up to 18 months. in which activities will be performed for the first 12 months with M&E in the following 6 months. Funding authority rests in the Foreign Assistance Act of 1961, as amended. A cooperative agreement is recommended for all GIST awards as the grantee(s) will engage frequently with the Department of State to assist with challenges where possible, and the Department of State will work closely with the grantee and regional policy leaders to ensure success.

Todd Miller

Please read carefully the entire solicitation package, including Proposal Submission Instructions, if you plan to submit an application; there are steps that you should take immediately in order to make your submissions by the deadline.

A1. Background:

The OES-led Global Innovation through Science and Technology (GIST) catalyzes science, technology, and innovation (STI) activities that support the Administration’s economic and national security goals, including by connecting Americans with premier foreign entrepreneurs in priority emerging markets. Over the last eight years GIST has engaged more than 27 million innovation community members from over 130 emerging economies, and GIST has mentored over 8,700 startups. These startups have gone on to generate more than $250 million in revenue and nearly 6,000 jobs while creating business relationships with American companies like Coca-Cola, Expedia, and Amazon Web Services. Projects include in country trainings like startup training, interactive online programs, online mentorship platforms, and global pitch competitions, such as Catalyst. For more information about the GIST initiative and all its programming, please refer to GISTNetwork.org.

A2. Program Goals GIST strengthens the capacity of young science and technology innovators and entrepreneurs in low and middle income countries and the innovation ecosystems in which they operate. Specifically, GIST:

· Identifies and recruits the most talented young S&T entrepreneurs in GIST eligible countries and territories.

· Connects American businesses and experts with global innovators.

· Catalyzes participants’ success and boosts the confidence of participants through training, networking, and program structure.

· Promotes GIST participants’ innovations and stories to the public as role models for entrepreneurship and youth.

· Reinforces the role of American and scientific values, including integrity, ethics, merit-based competition, transparency, and scientific rigor.

· Engages participants, mentors, prominent U.S. entrepreneurs, and others to support GIST, to educate entrepreneurs, and to become and remain part of the broader GIST Network community.

· Ensures women and other underrepresented groups are well represented (experts, judges, participants, and mentors).

· Assembles participant/event information and updates to support the identification of gaps and the monitoring and evaluation of the ecosystem.

· Delivers activities that address skill and resource gaps in priority entrepreneurial ecosystems.

A2. Program Goals:

The OES-led Global Innovation through Science and Technology (GIST) initiative catalyzes science, technology, and innovation (STI) activities that support the Administration’s economic and national security goals, including by connecting American businesses with premier foreign entrepreneurs in priority emerging markets, helping to build more stable economies, and strengthening American business and investment ties to foreign markets. Activity specific goals will be found in A4.

A3. Expected Results The project should establish, monitor and report on performance indicators (outputs and outcomes) that are specific, measurable, achievable, reasonable, and time-bound. The applicant should also establish, and provide concrete detail on, performance baseline data and performance targets for each expected result and include details on what sources of data will be used to document progress and performance, how the outputs and outcomes will be measured, frequency of measurement, and units of measure. This detail to be provided to Department of State prior to funds being awarded.

The outcomes should reflect the program objectives. Outputs or other metrics should directly support the program outcomes. The outputs listed on this award are for tracking purposes. For example, while the number of institutions strengthened in each activity needs to be counted, the goal of the activity is to positively develop host-country innovations ecosystems for science and technology based entrepreneurship, which will necessarily provide benefits beyond the number of institutions strengthened.

· Create and nurture young innovators and entrepreneurs in transferring technologies from lab to market.

· Build strong innovative and entrepreneurial ecosystems in GIST priority countries.

· Foster scientific relationships with GIST priority countries by expanding their entrepreneurial abilities through education and trainings.

· Connect US businesses to international entrepreneurs and innovators.

· Grow GIST alumni and keep alumni engaged with U.S. activities.

Specific activity results will be found under each activity in A4.

A4. Main Activities The proposal will be for an in-country startup training for young innovators and entrepreneurs. This will be a onetime training program in Ukraine. The training should be inspired by NSF’s I-Corp program. The GIST in-country trainings should address the needs of a local/regional innovation ecosystem and spur the creation of new businesses by offering aspiring and existing S&T entrepreneurs tailored programs designed to provide them with the skills needed to create new or expand existing businesses. For maximum effect and sustainability, the training, and mentoring should be executed in partnership with a local organization and private sector, where possible. A follow up should occur to track participants’ outcomes. Additionally, GIST in-country meetups (Innovation Hubs) and support for occasional “on demand” speaker travel to meetups and priority countries should connect U.S. Embassies to innovators and sustain innovation ecosystem growth.

Specific activities should include, but are not limited to, the following:

· Promote GIST throughout the target innovation and entrepreneurship ecosystem(s).

· Identify and recruit the most talented young S&T entrepreneurs and select using a transparent merit-based selection process. Where applicable, support the regionalization of the event(s).

· Provide all participants with training that enhances their ability to advance their companies, and expands their understanding of innovation and entrepreneurship. Tailor the content, level, etc. to the needs of the selected community.

· Recruit prominent U.S. and regional trainers, entrepreneurs and partners to increase awareness of American businesses, GIST, and the quality GIST training events. Raise awareness for GIST and promote GIST participants as role models of innovation.

· Implement an energizing community “DEMO Day” event showcasing the participants, prominent U.S. entrepreneurs, or other catalyzing presentation to attract Press and build awareness of the value of S&T entrepreneurship and innovation broadly to ecosystem partners, U.S. Embassies and Consulates, and the public.

· Collect contact information for participant follow up and engagement through GIST Network. Evaluate the pre-event and post-event capacity of the participants.

· Sustain engagement by seeding Innovation Hubs and/or providing follow-on speaker engagement and or mentorship to participants after training events.

Expected Results:

· Establish a stronger entrepreneurship ecosystem in Ukraine that develops ties with U.S. investors and businesses.

· Form strong businesses in Ukraine that are able to build the economic capacity for the host country.

· Develop the capacity of Ukraine to engage in innovative science and technology based entrepreneurship activities across all segments of society.

A5. Performance Indicators

The project should monitor and report on performance indicators that are specific, measurable, achievable, reasonable, and time-bound. Applicant should establish, and provide concrete detail where possible, performance baseline data and expected performance targets for each expected result, and include details on what sources of data will be used to document performance, how the indicators will be measured, frequency of measurement, and units of measure. Where possible, indicators should also allow for sex disaggregation. This detail to be provided to Department of State prior to funds being awarded.

Below is suggested set of performance and impact indicators and disaggregates. All applicable indicators and outcome metrics should be included in the proposal and subsequent to the award, routine, periodic reporting all outcomes will be required.

The State Department takes into consideration the quality of data reported by grant recipients as part of the award activities, therefore applicants should be aware that recipients will be subject to data quality assessments. Applicants must select and report against U.S. Department of State standard performance indicators listed below:

In-country Trainings

· Person hours of training completed in science and technology workforce supported by the USG

· Number of host country individuals who completed USG funded, short-term training or exchange programs involving higher education

· Number of new businesses established based on a new technology or innovation

· Number of in country institutions engaged

· Sex of primary business owner: Male: Estimated

· Sex of primary business owner: Female Estimated

· Number of people trained

· Number of men trained

· Number of women trained

· Number entrepreneurs mentored (Innovation Hubs)

· Number of entrepreneurs to participant in further GIST programming

· Revenue generated

· Jobs created

· Investment received

· American business partnerships

OES permits applicants to identify additional custom program indicators for monitoring and reporting on specific program activities; it is understood that some indicators can only be identified after engagements begin with the chosen cities.

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

A.6. Substantial Involvement

The Recipient awarded under this NOFO will need to collaborate regularly with OES/STC, the U.S. embassy and city governments in the countries included in the award, other U.S. government agencies and a variety of in-country partners and organizations.

A cooperative agreement (CA) differs from a grant (GR) in the area of the substantial involvement of key persons from the funding organization. For this cooperative agreement (CA), it is anticipated that the Department of State will be substantially involved in the following areas at a minimum:

1. Approval of work plan within 60 days of the start of period of performance

1. Pre-approval of key personnel to recommend to Grants Officer for final approval.

1. Periodic scheduled check-in calls with CA team (frequency TBD in work plan between parties)

1. Review, input, and approval of other proposed activities or products associated with this CA.

1. Assist in review and designs of curriculum for workshops or trainings.

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

Section B. Federal Award Information B1. Available Funding

Overall grant-making authority for this project is contained in the Foreign Assistance Act of 1961, as amended. OES has funding available for one award totaling up to $500,000 USD for Global Innovation through Science and Technology. The initial period of performance will be for up to 18 months in which activities will be performed for the first 12 months with M&E in the following 6 months. Depending on the quality of performance and other factors, OES may consider additional supplemental funding to continue activities and extend the period of performance, if funds are available and OES and the Recipient mutually agree.

Summary of Award Information

Timeline for Award Adjudication

B2. Award Management

The successful applicant awarded under this NOFO will need to routinely collaborate with relevant U.S. Government agencies, primarily the U.S. Department of State.

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

Section C. Eligibility Information C1. Eligible Applicants

Eligibility is limited to U.S. non-profit/nongovernmental organizations subject to section 501 (c) (3) of the U.S. tax code and U.S. educational institutions. Foreign organizations or Public International Organizations will NOT be considered for this competition.

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

C2. Cost Share

Cost-sharing is not required for this application, but other donor, partner, or Recipient cost-sharing or in-kind contributions could contribute to the scope of the program. A description of all key partners for this project and of the proposed working relationship with them should be included in the Proposal Narrative. Applicants should clearly distinguish between organizations with whom they intend to enter into a sub-grant or sub-contract relationship, and partners with whom they intend to collaborate but not transfer program funds. Partner in-kind contributions can be listed as part of the cost share. Cost share is encouraged but not required for this application.

Section D. Application and Submission Information D1. Address to Request Application Package

Please read carefully the entire announcement and follow the guidelines below before sending inquiries or submitting proposals.

Once the NOFO deadline has passed, OES staff may not discuss this competition with an applicant until the proposal review process has been completed.

D2. Content and Form of Application Submission

Any prospective applicant who has questions concerning the contents of this NOFO should submit them by email to Sarah Staton (StatonSJ@state.gov). Please refer to the funding opportunity number. Any updates about this NOFO will also be posted on www.grants.gov and SAMS Domestic.

Applicants must include the following in the proposal submission. All submissions must be in English.

1. Table of Contents that lists application contents and attachments (if any);

2. Completed and signed SF-424, SF-424A and SF424B*, as directed on www.grants.gov and SAMS Domestic. The Certifications and Assurances that your organization is agreeing to in signing the 424 are available at https://www.grants.gov/web/grants/forms/sf-424-family.html;

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

4. Letter(s) of Institutional Support to indicate that your organization’s leadership is providing their support of the application. See sample letter in Appendix 2.

An important part of the application is the Proposal Narrative. The Proposal Narrative (not to exceed 10 pages, single-spaced, 12 point Times New Roman font in Microsoft Word, at least one-inch margins), should be organized using the following section headings: Executive Summary, Organizational Capacity and Past Performance, Program Strategy, Performance Monitoring and Evaluation, and Management Plan. (CVs, budget components and the SF-424s do not count as part of the 10 page limit). The point value shown for each section indicates its relative importance in the application review process. Please see Section E for more information. Evaluation values are based on five narrative components and two budget components.

Narrative Components

1. Executive Summary (5 points) This section should be a succinct one-page summary containing information that the applicant believes best represents its proposed program and includes: the name and contact information for the project’s main point of contact; the project’s purpose; targeted countries; program length (dates/duration); total funding requested (indicate any sub-grants proposed); project’s goals, primary objectives and expected results (highlighting any aspects of innovation, sustainability and impact of the project); involvement or use of any NGO’s or civil society organizations; and expected results and sustainability; and a one-paragraph program description. Countries of implementation are those countries or participants from countries that will received financial or technical support as a result of this project.

2. Organizational Capacity and Past Performance (25 points) This section of the application provides information about the applicant organization. It provides evidence that the applicant has the ability to successfully carry out the program activities of the agreement.

· Provide a description of the applicant organization – including its general purpose, goals, annual budget (including funding sources), and major past and current activities and projects undertaken.

· Discuss the applicant’s experience on science, technology, and innovation (STI); women’s empowerment; culturally adaptive training; and/or entrepreneurship.

· As an attachment (which does not count as part of the 10 pages), please provide at least one past performance reference which describes any contracts, grants, cooperative agreements which the applicant organization has implemented involving similar or related programs over the past three years. Please provide the reference in an attachment and include the following information: name and address of the organization for which the work was performed; current telephone number and email address of responsible representative from the organization for which the work was performed; contract/grant name and number (if any), annual amount received for each of the last three years and beginning and end dates; brief description of the project/assistance activity and key project accomplishments/results achieved to date.

· Applicants must demonstrate experience/capacity in Ukraine the selected country of implementation.

· Applicants must have significant experience working on science and technology innovation capacity building programs outside the United States, preferably in low and middle income countries. Applicants are encouraged to partner or engage with other institutions to amplify the long-term impact of the proposed activities. Applications connecting U.S. and local institutions overseas are strongly encouraged. Applications should demonstrate creativity, substance, and relevance to OES’s goal of developing a global community of science and technology entrepreneurs ready to address local, regional, and global challenges and to promote economic growth.

3. Program Strategy (25 points)

· Propose a clear and realistic implementation plan to significantly address the Program Goals in Section A2.

· The proposal should further outline the expected and achievable results for the project which could include suggestions in Section A3. It should also outline the relevant and appropriate Main Activities to accomplish the goals and expected results, which could include those found in Section A4. Explain the assumptions on which the success of the project depends, and the involvement of other stakeholders.

· In table format, please present a brief, one- to two-page work plan matrix (which does count as part of the 10 pages), with a timeline including target dates for activities for the life of the agreement, which reflects the overall program approach, and objectives. The following timeline below is provided as an example.

Activity 123

Etc.

4. Performance Monitoring and Evaluation (15 points)

· Discuss how progress towards the expected results will be measured, as outlined by the Performance Indicators in Section A5. Identify which performance indicators will be measured and how data on these indicators will be collected, analyzed, and used for program management. Present indicators linked to specific project objectives in table format and include source of data and proposed frequency of collection.

5. Management Plan (10 points)

· Describe the proposed management structure for this project and provide a project organizational chart in the attachments. Include in the narrative a description of the responsibilities of all principal organizations and staff involved, reporting relationships, authority and lines of communication within and between each of these organizations.

· Include job descriptions and CVs of key staff (Project Director, etc.) as attachments (do not count as part of the 10-page limit), which demonstrate that the proposed key staff are consistent with the requirements and needs of the project. The project should have a designated Project Director who will be expected to have lead responsibility for communicating with OES. The Project Director should be at the working level. Note the location where key staff will be based. Changes to key staff personnel will need to be approved by OES.

Budget Components

· Refer to the Excel Budget Template for guidance on compiling a budget and associated budget narrative.

· A PDF file copy of your organization’s most recent program (A-133 /2 CFR 200) audit, if applicable. If not, please include a copy of your most recent independent audit, if available;

Before grants are awarded, the Bureau reserves the right to reduce, revise, or increase proposal budgets in accordance with the Bureau’s program needs and availability of funds.

The Budget Components will be evaluated using the following criteria:

1. Budget Appropriateness (10 points)

· Budgeted items are necessary to the achievement of the goals and activities as presented in the proposal.

2. Cost-effectiveness (10 points)

· Proposals keep estimated overhead and administrative costs as low as possible and have proposed expenditures that are reasonable, allowable, and allocable to the proposed project activities and reflect the applicant’s understanding of the allowable cost principles established by Office of Management and Budget (OMB) in 2 CFR 200. Amount of funding contributed by the applicant, sub-awardees, and other partners shows a commitment to the success of the project.

D3. Unique entity identifier (DUNS) and System for Award Management (SAM)

Each applicant (unless the applicant is an individual or Federal awarding agency that is excepted from those requirements under 2 CFR §25.110(b) or (c), or has an exception approved by the Federal awarding agency under 2 CFR §25.110(d)) is required to: (i) Be registered in SAM before submitting its application; (ii) provide a valid unique entity identifier in its application; and (iii) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency. The Federal awarding agency may not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements and, if an applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award, the Federal awarding agency may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

In addition, if the organization plans to sub-contract or sub-grant any of the funds under an award, those sub-awardees must also have a unique entity identifier (DUNS) number. (Certain exceptions apply) D4. Submission Dates and Times

Applicants are urged to begin the application process well before the submission deadline. No exceptions will be made for organizations that have not completed the necessary steps. All applications must be submitted by 11:59pm Eastern Daylight Time (EDT) on August 30, 2019. Applications received after the deadline will not be considered.

D5. Funding Restrictions

Applicants should note that construction is not an allowable activity. Also Federal awards will not allow reimbursement of pre-Federal award costs.

D6. Other Submission Requirements – Proposal Format Requirements The Department of State requires proposals be submitted electronically through Grants.gov (www.grants.gov) or SAMS Domestic (https://mygrants.service-now.com).

Organizations new to Grants.gov and SAMS Domestic: In order to register to use grants.gov and SAMS Domestic, an organization must complete a number of steps, which include those registration requirements listed in D3. Completing all of these steps can take up to 4 weeks, especially for an international organization. Additionally, SAMS Domestic requires multi-factor authentication.

Section E. Application Review Information E1. Criteria

Each application will be evaluated and scored on the five part Proposal Components and the two part Budget Components using a 100 point scale by a peer review committee of Department of State and other experts, as appropriate.

Proposal Narrative: The committee will score each of the five sections of the Proposal Narrative based on how completely they address the bulleted points described in the Proposal Narrative Guidance in Section D2. The importance of each section is indicated by the maximum score as follows:

· Executive Summary – 5 points

· Organization Capacity and Past Performance – 25 points

· Program Strategy – 25 points

· Performance Monitoring and Evaluation – 15 points

· Management Plan – 10 points

Budget: The committee will also review the budget components in order to assign up to 20 points for the overall program budget and cost-effectiveness. Proposals should keep estimated overhead and administrative costs as low as possible and have proposed expenditures that are reasonable, allowable, and allocable to the proposed project activities and reflect the applicant’s understanding of the allowable cost principles established by Office of Management and Budget (OMB) in 2 CFR 200.

· Budget Appropriateness – 10 points

· Cost-effectiveness – 10 points

Please note: OES retains the right to ask for additional documents not included in this NOFO. Additionally, to ensure all applications receive a balanced evaluation, the NOFO Review Panel will review the first page of the requested section up to the page limit and no further. OES encourages organizations to use the given space effectively.

E2. Review and Selection Process

Applications will be reviewed by a technical review panel. The applications will be scored based on the strengths and weaknesses of the aforementioned categories and for consistency with the program goals and key areas of interest as contained in this NOFO.

Section F. Federal Award Administration Information F1. Federal Award Notices

The award shall be written, signed, awarded, and administered by the Grants Officer subsequent to the panel review and selection of proposals. The Grants Officer is the Government official delegated the authority by the U.S. Department of State Procurement Executive to write, award, and administer grants and cooperative agreements. The assistance award agreement is the authorizing document and it will be provided to the Recipient electronically through SAMS Domestic. Organizations whose applications will not be funded will also be notified in writing.

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

F2. Administrative and National Policy Requirements

Prior to submitting an application, applicants should review all the terms and conditions and required certifications which will apply to this award to ensure that they will be able to comply. These include 2 CFR 200, 2 CFR 600, as well as the certifications and assurances and the Department of State Standard Terms and Conditions, all of which are available through the State Department’s procurement website at: https://www.state.gov/m/a/ope/index.htm Applicants should plan to coordinate with OES throughout the course of the agreement to ensure assistance is provided only to eligible participants.

Banking Requirements If the award is approved, payments may be made through the online Payment Management System (PMS). Please consult with OES regarding how to proceed with PMS registration.

F3. Reporting

The Recipient, at a minimum, shall provide OES with the following reports (Please note that all data collected, supporting documentation, and contact information, must be maintained for a minimum of three years and provided to the Bureau upon request):

Financial Reports The Recipient is required to submit quarterly financial reports throughout the project period, using Form FFR SF-425, the Federal Financial Report form, as well as forms suggested by the Grants Officer Representative. If payment is made through the Payment Management System, all financial reports must be submitted electronically through the Payment Management System. The grantee is also required to upload to SAMS Domestic a pdf version of all financial reports (Federal Financial report) they have submitted in the Payment Management System. Form FFR (SF-425) can be found on OMB’s website here: https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html

Financial reports are due 30 days after the end of each quarter.

Progress Reporting The awardee is required to upload all progress reports to the award file in SAMS Domestic. Progress reports must be submitted quarterly. Awardees can use the Performance Progress Report (Form SF-PPR), signed, and completed as a cover page to progress reports, which should be compiled according to the objectives, outcomes, and outputs of the project as outlined in the statement of work below, consistent with the project proposal and monitoring and evaluation and sustainability plans (Optional cover sheet for progress reporting on awards). Reports should also include an update on expenditures during the quarter. The awardee is expected to anticipate the reporting due dates by tracking implementation, outcome and financial progress throughout the reporting period. OES/ECW may also provide a detailed reporting reminder before the due date for each quarterly report due under this agreement. At minimum, it is expected that quarterly progress reports will include:

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

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

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

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

· An update on expenditures during the reporting period; and

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

· Performance indicator results and supporting documentation

· Project Spotlight highlighting a significant area of progress under the agreement as well as photos of implementation

Quarterly progress reports should also reflect the awardee’s continued focus on measuring the project’s impact on the overarching goals or problems the project set out to address. An assessment of the overall project impact, as appropriate, should be included in each quarterly project report.

Final Report The final report will be due no later than 90 days after the end date of the award or termination of all project activities. The Final Report shall include the following elements: executive summary, successes, outcomes, best practices, how the project addresses gender issues and marginalized communities, how the project will be sustained, and a final financial report. Additional guidance may be provided prior to the award end date.

Section G. Federal Awarding Agency Contact Any prospective applicant who has questions concerning the contents of this NOFO should email them to Sarah Staton (StatonSJ@state.gov).

Note that once the Request for Proposals deadline has passed State Department staff in Washington DC and overseas at U.S. Embassies/Missions may not discuss this competition with applicants until the review process has been completed.

Section H. Other Information H1. Conflict of Interest In accordance with applicable Federal awarding agency policy, applicants must disclose in writing any potential conflict of interest to the Federal awarding agency or pass-through entity

H2. Applicant Vetting Applicants are advised that proposals will be evaluated against the potential risk that federal funds may inadvertently be passed to the wrong hands and that funds may benefit terrorists groups or their supporters. Applicants may be asked to submit information required by DS Form 4184, Risk Analysis Information (attached to this solicitation), about their company and its principal personnel. Vetting information is also required for all sub-award performance on assistance awards identified by DOS as presenting a risk of terrorist financing. When vetting information is requested by the Grants Officer, information may be submitted on the secure web portal at: https://ramportal.state.gov, via Email to RAM@state.gov, or hardcopy to the Grants Officer

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

H3. Marking Policy Applicants are advised that recipients and sub-recipients of Federal assistance awards are subject to the State Department’s Marking Policy. More information on this policy can be found on:

https://www.state.gov/m/a/ope/index.htm H4. Evaluation Policy Applicants are advised that recipients and sub-recipients of Federal assistance awards are subject to the Department of State Evaluation Policy. More information on this policy can be found here: http://www.state.gov/s/d/rm/rls/evaluation/2015/236970.htm. Further, recipient organizations are encouraged to conduct their own and/or independent evaluations on their Department of State funded programs to assess performance and outcomes.

H5. Monitoring Site Visits A monitoring site visit, at least once during the lifetime of a grant, is required by Department of State grant policy. The site visit is conducted to gather additional information on the recipient’s ability to properly implement the project, manage OES funds and share substantiating document for programmatic and financial reporting. Specifically, the site visit will involve the review of the programmatic progress (progress on activities, sub-recipient/consultant work, etc.) as well as administrative and financial management and controls.

APPENDIX 1 – SAMPLE: LETTER OF INSTITUTIONAL SUPPORT

Bureau of Oceans, and International Environmental and Scientific Affairs (OES) U.S. Department of State Room 2201 C Street, NW Washington, D.C. 20520

[applicant Institution Letterhead]

Date:

[name of higher executive supportive of the proposal submission} Street Address State, and zip code

Attention: Maria Urbina Bureau of Oceans, Environmental and International Affairs U.S. Department of State

RE: Letter of support for Request for Applications # xxx

The name of the applicant institution is happy to endorse the proposal’s entitled “XXXXXXX” in response to the NOFO# entitled XXXXXXX. Our organization has been working in this area for the last X years and have developed extensive expertise in selected countries/region. (if you have established a long standing contacts describe those and briefly explain why you are interested in committing your organizational resources such as staffing and in-kind contribution in support of the NOFO goals.).

If your program intends to engage in collaborative efforts through sub-awards, please explain the rationale and your institution’s objective for sub-awarding funds to local organizations. If you know the local institutions please indicate if relevant that you have worked with relevant staff and explain the areas of collaborative work if relevant.

Sincerely, [Sr. officer of the institution] Signature of President or Executive Office

FOR INTERNAL USE ONLY AT Department of State

Reviewed by: ____________________________________________________________________ Date: __________________________________________________________________________ Comments: