FY21 YSEALI NOFO.pdf

Department of State

Bureau of Educational and Cultural Affairs (ECA) Notice of Funding Opportunity

(NOFO): FY 2021 Young Southeast Asian Leaders Initiative Academic Fellowship

Announcement Type: New Cooperative Agreement

Funding Opportunity Number: SFOP0007847

Assistance Listing (formerly CFDA) Number: 19.009

Key Date/Application Deadline: May 24, 2021

Program Description/Executive Summary: The Study of the U.S. Branch

(ECA/A/E/USS), Office of Academic Exchange Programs, Bureau of Educational and

Cultural Affairs (ECA) invites proposal submissions for the design, administration, and implementation of one of the following three academic program themes within the Young

Southeast Asian Leaders Initiative (YSEALI): the YSEALI Academic Fellowship on

Civic Engagement, the YSEALI Academic Fellowship on Environmental Issues, or the

YSEALI Academic Fellowship on Social Entrepreneurship and Economic Development.

The total YSEALI Academic Fellowship consists of 12 Institutes (four per theme) for approximately 250 undergraduate students and recent graduates from Southeast Asia.

Applicants may propose to implement a maximum of one Fellowship theme. See details in section A.5. Program Administration.

Applicants will propose to host one Fellowship theme consisting of a total of four

Institutes. Each Institute will host 20-22 participants from throughout Southeast Asia.

Two of the four Institutes will take place in the spring of 2022 and two in the fall of 2022.

Each Institute will be five weeks in duration and will include an approximately four-week academic residency at a U.S. college or university campus and an approximately one-week integrated educational study tour that includes time in Washington, D.C. at the conclusion of the Institute. Award recipients will coordinate with ECA to ensure participants are able to join a larger D.C.-based YSEALI Fellows Forum in the spring and fall.

It is ECA’s intent to award three separate Cooperative Agreements under this solicitation, one for each of the three Fellowship themes (one base year plus two

Non-Competitive Continuations) for an estimated total amount of $4,050,000 per award, pending successful performance and availability of funds. Please see section

B. Federal Award Information below for additional details. Applicants can administer a Fellowship fully through sub-awards or may propose to directly implement up to two Institutes (one in spring, one in fall) and administer sub-awards for the remaining two Institutes in the Fellowship. No academic institution will be allowed to directly implement more than two Institutes in one calendar year. ECA welcomes applications from U.S. public and private non-profit organizations, consortium of organizations, and accredited post-secondary U.S. educational institutions meeting the provisions described in Internal Revenue Code section 26 USC 501(c)(3). Applicants may submit only one proposal under this competition. If multiple proposals are received from the same applicant, all submissions will be declared ineligible and receive no further consideration in the review process.

ECA reserves the right to reduce, revise, or increase proposal budgets, participant numbers, themes, format, the number of Institutes, and/or countries based on program needs and the availability of U.S. government funding (see section C. Eligibility

Information.)

A. Program Description: Overall grant making authority for this program is contained in the Mutual Educational and Cultural Exchange Act of 1961, Public Law 87-256, as amended, also known as the Fulbright-Hays Act. The purpose of the Act is “to enable the

Government of the United States to increase mutual understanding between the people of the United States and the people of other countries...; to strengthen the ties which unite us with other nations by demonstrating the educational and cultural interests, developments, and achievements of the people of the United States and other nations...and thus to assist in the development of friendly, sympathetic and peaceful relations between the United

States and the other countries of the world.” The funding authority for the program above is provided through legislation.

A.1. Purpose: The Young Southeast Asian Leaders Initiative (YSEALI) is designed to strengthen leadership development across the Association of Southeast Asian Nations

(ASEAN), deepen engagement with young leaders on key regional and global challenges, and strengthen people-to-people ties between the United States and Southeast Asia.

YSEALI, which began in 2013, is a broad U.S. government initiative with a number of components that include educational exchanges, professional skills-building workshops in the region, online networking, project seed money, and the YSEALI Academy at

Fulbright University in Vietnam.

The Academic Fellowship component of the greater YSEALI program is targeted at undergraduate students and recent graduates in Southeast Asia, and includes an intensive academic residency, community service activities, leadership development, and an integrated study tour. Institutes should provide participants with an in-depth examination of Civic Engagement, Environmental Issues, or Social Entrepreneurship and Economic

Development, while also heightening their awareness of the history and evolution of U.S.

society, culture, values, and institutions, broadly defined. Institutes should address the influence of principles and values such as international cooperation, democracy, diversity and inclusion, equality, freedom of expression, individual rights, the rule of law, and tolerance, and should also incorporate a focus on contemporary American life.

A.2. Overview: All YSEALI Academic Fellowship Institutes should be approximately five weeks long and held at an academic institution in the United States. U.S. public and private non-profit organizations meeting the provisions of a 501(c)3 are eligible to apply as a sub-award recipient; however, the Institutes should take place on a U.S. college or university campus. (See section A.5 Program Administration for more information on host institutions.) Recipients will be responsible for providing guidelines for curricula to host institutions to promote a consistent level of quality and thematic content in each

Institute. The academic residency should include group discussions, experiential learning activities, and exercises that focus on the theme and include aspects of leadership, teambuilding, collective problem-solving skills, effective communication, and management skills. Therefore, participants should gain both theoretical knowledge and practical skills.

In addition to the academic coursework, Institutes should include practical hands-on experiences related to the given theme. Site visits in the community should provide opportunities to observe and participate in varied aspects of American life as they relate to the program topic, and to discuss lessons learned in the academic program. Institutes should also include a weekly community service component in which the Fellows experience firsthand the key role of not-for-profit organizations and volunteerism as a core value in American civil society. Institutes should highlight the importance of community service and discuss impacts of the activity in the community.

Each Institute should be five weeks in length; participants should spend approximately four weeks at a U.S. academic institution and approximately seven days on an integrated educational study tour that concludes in Washington, D.C. Programming during the D.C.

component should include a closing event (one in spring and one in fall) that will bring together 125 Academic Fellows from all three thematic tracks; and participation in the

YSEALI Fellowship Forum, an event that will bring together the YSEALI Academic and

YSEALI Professional Fellows, the latter of which are supported under a separate ECA award, for an opportunity to share program experiences, network across programs, engage with Department of State officials and members of the diplomatic community.

Both events will be planned in close consultation with the ECA program office.

All programming should foster ECA’s mission to promote mutual understanding between citizens of other countries and citizens of the United States. Thus, programs should include robust opportunities for participants to meet Americans from a variety of backgrounds, interact with their U.S. peers, and speak to appropriate student and civic groups about their experiences and life in their home countries. Please see the Project

Objectives, Goals, and Implementation (POGI) document for more information.

ECA’s goal is to resume in-person YSEALI exchange programs prior to spring 2022.

However, due to the current COVID-19 pandemic and its impact on travel, national/local mandates and university operations, it is unclear when current travel restrictions and health advisories will allow for in-person program activities to take place. As such, proposals should include language to demonstrate maximum flexibility, creativity, and a rapid response factor for program planning and administration. Applicants should also address the steps taken to ensure continuity of services should the current situation continue for an extended period of time. As relevant, the applicant should present innovative options for virtual activities to augment, and/or substitute for, in-person engagement with all program stakeholders if exchange travel continues to not be possible.

A.3. Institute Themes: All Institutes should enhance participants’ knowledge of U.S.

history, government, institutions, society, and culture. In this context, Institutes should incorporate a focus on American historical events and current political, social, and economic aspects of contemporary American life. Discussions should center on the diverse character of American society.

1) The YSEALI Academic Fellowship on Civic Engagement should provide participants with an overview of how citizens, both as individuals and in groups, have shaped U.S.

history, government, and society. The academic program should define civic engagement, examine its development in the United States, and explore topics such as active citizenship, community building, economic development, grassroots activism, political leadership, volunteerism, and the ways in which traditional and social media can be leveraged to advance civic causes. In order to define the content of the

Institute and enhance the academic experience, proposals may choose to focus on one of the following sub-themes: education, public health, civil rights and social justice, and community resilience. To the extent possible, academic sessions should be complemented with hands-on sessions or workshops designed to build skills in the topics mentioned above. The Institute should encourage participants to develop innovative and practical plans to become engaged citizens in their own communities.

2) The YSEALI Academic Fellowship on Environmental Issues should explore the role that environmental issues and policies have played in the economic, political, and social development of the United States. Institutes should use experiential learning techniques to expose participants to current themes in the field, including climate change, ocean protection, renewable energy, pollution, public health and safety, emergency and disaster management, land use, sustainable development, conservation, sustainable agricultural practices, food security, illegal and unreported fishing, ecotourism, and water access, management and treatment. The issues should be explored from numerous angles, including local grassroots activism and civic initiatives, impacts on marginalized communities, global multilateral efforts, the private sector, and government policies and regulation. Finally, Institutes in this theme should explore climate change and environmental issues in the context of a globalized society, and draw comparisons between the United States and the participants’ home countries.

3) The YSEALI Academic Fellowship on Social Entrepreneurship and Economic

Development should provide participants with an overview of U.S. entrepreneurial strategies that are employed to address social issues. Institutes under this theme should review the development, history, challenges, and successes of social enterprises and community leaders in the United States and globally, with specific relevance to Southeast Asia. Topics may include, but are not limited to, economic and social justice initiatives; investment; social capital development; strategies for sustainable economic development; financial literacy; microfinance; organizational development and management; innovation; risk analysis; strategic business planning;

corporate social responsibility; and women and minorities in entrepreneurship. To the extent possible, academic sessions should be complemented with hands-on sessions or workshops designed to build skills in the topics mentioned above.

A.4. Overview of Media and Outreach: The proposal should address the recipient’s ability to create and maintain a YSEALI Academic Fellowship website for their particular theme. The award recipient must ensure that all posted website content is, and remains, current and correct. ECA may request that website content be added or removed in a timely manner. On occasion, ECA may also request that the recipient assist in promoting and coordinating opportunities for participants and Fellowship Alumni with other elements of YSEALI, including the YSEALI Professional Fellowship, the latter of which is supported under a separate award, and the YSEALI Network.

Publications, program materials, and all other online platforms, including social media and websites, should explain the mission of the YSEALI Academic Fellowship and emphasize the U.S. Department of State’s role as the program’s sponsor and manager.

As such, all materials should note that “The YSEALI Academic Fellowship is a program of the U.S. Department of State with funding provided by the U.S. Government and administered by [award recipient].” When applicable, the note should include a link to the program website, https://asean.usmission.gov/yseali/. This language should appear prominently on all print and electronic materials and should precede any language regarding the role of the award recipient in administering the program. Publications should prominently feature the YSEALI logo and the U.S. Department of State seal in accordance with established guidelines. The outreach strategy and all publication materials, including cover designs, must be submitted to ECA for approval prior to publication and dissemination. Please see the POGI for more information.

A.5. Program Administration: ECA is seeking detailed proposals from accredited U.S.

post-secondary higher education institutions (community colleges, liberal arts colleges, public and private universities) and U.S. public and private non-profit organizations, meeting the eligibility requirements outlined below.

ECA intends to issue up to three Cooperative Agreements for the administration and implementation of the program. Applicants should propose to administer four Institutes under one of the three themes. The recipient may propose to administer Institutes through sub-awards or may propose to implement up to two of the Institutes (one in spring, one in fall) and administer sub-awards to host institutions to conduct the remaining Institutes. No institution will be permitted to host more than two Institutes in one calendar year. Applicants may only propose to implement Institutes under one theme.

The recipient will serve as the lead administrator and will be responsible for the oversight of all aspects of this project, including managing and monitoring performance of all sub-award recipients. All proposals should demonstrate any regional and thematic expertise.

Participating countries and regions will be determined by ECA, in coordination with the

Public Affairs Sections at U.S. embassies abroad and the Bureau of East Asian and

Pacific Affairs (EAP) at the Department of State.

A.6. Participants: Award recipients will not participate in the selection of candidates, but may assist the ECA program office in the collection of nomination forms. U.S.

embassies and consulates in Southeast Asia will take the lead on the recruitment of qualified candidates and ECA will make final participant selection decisions.

Participants will be undergraduate students or recent graduates aged 18-25 from ASEAN member countries (Brunei, Burma, Cambodia, Indonesia, Laos, Malaysia, Philippines, Singapore, Thailand, and Vietnam) and Timor-Leste. ECA will make the final decisions regarding participating countries and reserves the right to adjust the participating countries, participant numbers, themes, and Institute dates based upon Department priorities. Please see the POGI for more information on participants.

A.7. Overview of Alumni/Follow-on Activities:

Proposals should provide plans for continued follow-on activities that ensure that ECA-supported programs are not isolated events. Proposals may include ideas for small seed grants, reciprocal exchanges to collaborate with alumni on projects across Southeast

Asia, in-region trainings, virtual skill-building workshops, speakers, and other follow-on alumni programming with accompanying information regarding how it will be coordinated with existing alumni efforts.

Proposals should include plans for a small grant component encouraging collaboration on a project and a sharing of best practices among alumni. Proposals should also include a way to recognize outstanding alumni who have a strong record of demonstrated leadership and advocacy on behalf of the Fellowship. Applicants are encouraged to propose ways to provide technical support to Fellowship alumni, including but not limited to reciprocal exchanges, in support of follow-on activities.

A.8. Program Guidelines: The award recipient is responsible for the conception, structure, and monitoring of all Institutes under the proposed theme. Proposals must provide a detailed and comprehensive narrative describing the goals and objectives of the overall Institute; academic program content and curricula; budgets; and alumni activities.

Proposals should also include a sample academic syllabus and calendar demonstrating how the proposed components relate to the overall theme of the Institute and entire project. The proposal should demonstrate the applicant’s ability to recruit host colleges, universities, or non-profit organizations that reflect regional and other forms of diversity, including public, private, urban, rural, minority-serving institutions, and community colleges. Institutes must take place on a U.S. college or university campus.

Overall, proposals will be reviewed on the basis of their responsiveness to NOFO criteria listed in Section E.1. Review Criteria. The POGI provides program-specific guidelines that all proposals must address fully.

A.9. Substantial Involvement: In a Cooperative Agreement, the Study of the U.S.

Branch (ECA/A/E/USS) is substantially involved in program activities above and beyond routine monitoring. The Branch may request that award recipients make modifications to the academic residency and/or educational travel components of the program. Award recipients will be required to obtain approval of significant program changes in advance of their implementation. These activities and the roles and responsibilities of the

Department and the award recipients are outlined in the attached POGI.

ECA will provide advice and assistance on the Academic Fellowship as indicated in the

POGI. ECA may request that recipients make modifications to their programs.

Recipients will be required to obtain approval of significant program changes in advance of their implementation.

Proposal narratives should include a commitment to implement their programs for the base year, plus two additional non-competitive continuations, pending successful performance and availability of funds. The narrative should focus on details specific to the implementation of the base year programs, with the understanding that program design, duration, and participant numbers would be similar when/if the subsequent two non-competitive continuations are exercised. ECA will perform an annual performance evaluation/review to determine if a non-competitive continuation will be exercised.

Satisfactory performance and the availability of funds is a condition of continued administration of the program and execution of all non-competitive continuations.

B. Federal Award Information:

Type of Award: Cooperative Agreement

ECA’s level of involvement in this program is listed under section A. Program

Description above.

Fiscal Year Funds: FY 2021 base year, up to $4,050,000; FY 2022 Non-Competitive

Continuation year one, up to $4,050,000, pending successful performance and the availability of funds; FY 2023 Non-Competitive Continuation year two, up to $4,050,000 pending successful performance and the availability of funds.

Approximate Total Funding: $12,150,000. This figure represents base year plus two

Non-Competitive Continuation years, pending successful performance and the availability of funds.

Approximate Number of Awards: Three awards.

Floor of Award Range: None

Ceiling of Award Range: $4,050,000 for FY 2021 base year (or $12,150,000 for the base year plus two Non-Competitive Continuation years).

Approximate Average Award: $1,350,000 for FY 2021 base year (for four Institutes per award) or $4,050,000 for base year plus two Non-Competitive Continuation years.

Anticipated Award Date: September 1, 2021.

Anticipated Project Completion Date: December 30, 2025. This date reflects the anticipated duration of the award – one base year plus two Non-Competitive

Continuation years.

Additional Information: Up to three Cooperative Agreements will be awarded for a period of 18 months (base year) with Non-Competitive Continuations for two additional

18-month periods (Non-Competitive Continuation years one and two). ECA will notify the recipient of our intention to exercise or not to exercise a Non-Competitive

Continuation at least 90 days in advance of expiration of the current year after an internal evaluation of the recipient’s performance. The decision to exercise a Non-Competitive

Continuation will depend both on the satisfactory performance of the recipient and the availability of funds.

C. Eligibility Information:

C.1. Eligible applicants: U.S. public and private non-profit organizations meeting the provisions described in Internal Revenue Code section 26 USC 501(c)(3) may submit applications for this competition. Applicants must have nonprofit status with the IRS at the time of application. Please see the Proposal Submission Instructions (PSI) for additional information.

All applicants must also have a Unique Entity Identifier (UEI) number and be registered in SAM.gov (see additional information about this requirement in D.3a. and D.3c.

below).

C.2. Other Eligibility Requirements:

a.) Bureau grant guidelines require that organizations with less than four years of experience in conducting international exchanges be limited to $130,000 in Bureau funding. ECA anticipates making three awards, in an average amount over $130,000, to support program and administrative costs required to implement this exchange program.

Therefore, organizations with less than four years of experience in conducting international exchanges are ineligible to apply under this competition.

b.) Technical Eligibility: All proposals must comply with the requirements stated in the NOFO, POGI, and the Proposal Submission Instructions (PSI); non-compliance will result in your proposal being declared technically ineligible and given no further consideration in the review process. ECA reserves the right to reduce, revise, or increase proposal budgets, participant numbers, the number of programs, themes, format, and/or countries based on program needs and the availability of U.S.

government funding.

c.) Eligible applicants may not submit more than one proposal in this competition. If more than one proposal is received from the same applicant, all submissions will be declared technically ineligible and will receive no further consideration in the review process. Please note: Applicant organizations are defined by their legal name, and EIN number as stated on their completed SF-424 and additional supporting documentation outlined in the Proposal Submission Instructions (PSI) document.

C.3. Cost Sharing or Matching Funds: There is no minimum or maximum percentage required for this competition. However, the Bureau encourages applicants to provide maximum levels of cost sharing and funding in support of its programs.

When cost sharing is offered, it is understood and agreed that the applicant must provide the amount of cost sharing as stipulated in its proposal and later included in an approved agreement. Cost sharing may be in the form of allowable direct or indirect costs. For accountability, you must maintain written records to support all costs which are claimed as your contribution, as well as costs to be paid by the Federal government. Such records are subject to audit. The basis for determining the value of cash and in-kind contributions must be in accordance with the Office of Management and Budget’s Guidance 2 CFR

Parts 200 and 600, entitled the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. In the event you do not provide the minimum amount of cost sharing as stipulated in the approved budget, ECA's contribution will be reduced in like proportion.

D. Application and Submission Information: Please read the complete announcement before sending inquiries or submitting proposals. Once the NOFO deadline has passed, Bureau staff may not discuss this competition with applicants until the proposal review process has been completed.

D.1. Contact Information to Request an Application Package: To request a

Solicitation Package, please contact Study of the U.S. Branch (ECA/A/E/USS) Program

Officers Kevin Orchison, OrchisonKH@state.gov or (202) 255-7108 or Ian Billard

(BillardIM@state.gov or (202) 394-9199.

The Solicitation Package contains the Proposal Submission Instruction (PSI) document which consists of required application forms and standard guidelines for proposal preparation.

It also contains the Project Objectives, Goals, and Implementation (POGI) document, which provides specific information, award criteria, and budget instructions tailored to this competition.

Please specify Kevin Orchison or Ian Billard and refer to the Funding Opportunity

Number located at the top of this announcement on all other inquiries and correspondence.

D.2. To Download a Solicitation Package Via Internet: The entire Solicitation

Package may be downloaded from the Bureau's website at http://eca.state.gov/organizational-funding or from the Grants.gov website at http://www.grants.gov.

D.2a. Content and Form of Submission: Applicants must follow all instructions in the

Solicitation Package. The application should be submitted per the instructions under

D.3o. “Application Deadline and Method of Submission” section below.

D.3a. Unique Entity Identifier Number: You are required to have a Unique Entity

Identifier (UEI) number to apply for a Grant or Cooperative Agreement from the U.S.

Government. This number is a nine-digit identification number, which uniquely identifies business entities. Obtaining a UEI number is easy and there is no charge. To obtain a UEI number, access http://www.dnb.com or call 1-866-705-5711. Please ensure that your UEI (Data Universal Numbering System or DUNS) number is included in the appropriate box of the SF – 424 which is part of the formal application package. For mailto:OrchisonKH@state.gov mailto:BillardIM@state.gov http://eca.state.gov/organizational-funding http://www.grants.gov/ http://www.dnb.com/ more detailed instructions for obtaining a UEI (DUNS) number, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html

D.3b. Required Proposal Elements: All proposals must contain an executive summary, proposal narrative, budget, and budget narrative.

D.3c. Required Registration with the System for Award Management (SAM): All federal award applicants must be registered in the System for Award Management (SAM) database in order to submit a proposal in response to an open competition on Grants.gov.

All federal award recipients must maintain a current registration in the SAM database.

Recipients must maintain accurate and up-to-date information in www.SAM.gov until all program and financial activity and reporting is completed on any issued award.

Recipients must review and update the information at least annually after the initial registration and more frequently if required information changes or another award is granted. There is no cost associated with registering or updating SAM.gov accounts.

Failure to register in SAM.gov will render applicants ineligible to receive funding.

For more detailed instructions for registering with SAM, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html

D.3d. Federal Awardee Performance & Integrity Information System (FAPIIS):

Prior to making a Federal Assistance award over $250,000, the Federal agency is required to review and consider any information about the applicant that is in FAPIIS

(see 41 U.S.C. 2313) and accessible through SAM.gov. If an Applicant is currently in

FAPIIS, they can comment on any information about its organization that a Federal awarding agency previously entered. The Federal awarding agency will consider any comments by the applicant, in addition to the other information in FAPIIS, 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 2 CFR §200.205 Federal awarding agency review of risk posed by applicants.

D.3e. Required Registration with SAMS Domestic: All ECA award recipient organizations and recipient contacts and signatories must be registered with the U.S.

Department of State’s SAMS Domestic by accessing https://mygrants.servicenowservices.com and clicking the “create an account” link.

SAMS Domestic is the U.S. Department of State’s grants management system and is supported by the Department’s Integrated Logistics Management System (ILMS).

Recipient organizations and recipient contacts and signatories that have previously used

SAMS Domestic as a U.S. Department of State award recipient do not need to register again. If the organization is not able to access the system, please contact the ILMS Help

Desk for help in gaining access.

https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html http://www.sam.gov/ https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html https://mygrants.servicenowservices.com/

Support for Recipient Organizations and recipient contacts and signatories is available 24 hours, 7 days a week (except federal holidays), and can be reached at 1-888-313-ILMS

(4567) or through the ILMS Self Service Portal at https://afsitsm.servicenowservices.com/ilms/.

In the event the ILMS Help Desk is unable to provide you with assistance in a timely manner, please contact ECA_SAMSDomestic@state.gov and copy the program officer associated with the solicitation.

Please take into consideration the following information when preparing your proposal narrative:

D.3f. Adherence To All Regulations Governing The J Visa: The Bureau of

Educational and Cultural Affairs places critically important emphases on the security and proper administration of the Exchange Visitor (J visa) Programs and adherence by award recipients and sponsors to all regulations governing the J visa. Therefore, proposals should demonstrate the applicant's capacity to meet all requirements governing the administration of the Exchange Visitor Programs as set forth in 22 CFR 62, including the oversight of Responsible Officers and Alternate Responsible Officers, screening and selection of program participants, provision of pre-arrival information and orientation to participants, monitoring of participants, proper maintenance and security of forms, record-keeping, reporting and other requirements.

The award recipient will be responsible for issuing DS-2019 forms to participants in this program.

A copy of the complete regulations governing the administration of Exchange Visitor (J) programs is available at http://j1visa.state.gov or from:

Office of Designation, Private Sector Programs Division

U.S. Department of State

SA-4E (Bldg. 3)

2430 E Street, NW

Washington, DC 20037

Please refer to Solicitation Package for further information.

D.3g. Diversity, Freedom, and Democracy Guidelines: Pursuant to the Bureau's authorizing legislation, programs must maintain a non-political character and should be balanced and representative of the diversity of political, social, and cultural life in the

United States and abroad. ‘Diversity’ should be interpreted in the broadest sense and encompass differences including race, color, national origin, sex, age, religion, geographic location, socio-economic status, disability, sexual orientation, or gender identity. Proposals should demonstrate how diversity will enhance the program’s goals and objectives and the participants’ exchange experience. Please refer to the review criteria under the 'Support of Diversity' section of this document as well as the https://afsitsm.servicenowservices.com/ilms/ mailto:ECA_SAMSDomestic@state.gov http://j1visa.state.gov/

DIVERSITY, FREEDOM AND DEMOCRACY section in the “Proposal Submission

Instructions” document for specific suggestions on incorporating diversity into the total proposal.

Public Law 104-319 provides that "in carrying out programs of educational and cultural exchange in countries whose people do not fully enjoy freedom and democracy," the

Bureau "shall take appropriate steps to provide opportunities for participation in such programs to human rights and democracy leaders of such countries." Public Law 106 -

113 requires that the governments of the countries described above do not have inappropriate influence in the selection process. Proposals should reflect advancement of these goals in their program contents, to the full extent deemed feasible.

D.3h. Program Monitoring and Evaluation: A performance monitoring framework is vital to tracking the performance and the direction, pace, and magnitude of change that results from ECA programs. This section pertains to performance monitoring in particular, as this type of monitoring is distinct from grants monitoring or other program monitoring discussed elsewhere in this solicitation. Performance monitoring is designed to assess progress against established goals and objectives across the Bureau and as established for each award.

The Bureau recommends the use of a Performance Monitoring Plan (PMP) for each award. The PMP is an important part of any proposal, as it outlines how the applicant plans to track progress towards the proposed program’s goals and objectives through indicators and corresponding data collection questions. These corresponding data collection questions help ensure that the data is being collected in a uniform way across the entire Bureau.

For this proposal and the resulting Cooperative Agreement(s)/Grant(s), the Bureau recommends the applicant include the programmatic objectives and indicators listed below:

Objective 1: Advance participant and beneficiary cross-cultural competence and global perspective o Sub-Objective 1.1: Promote cultural exchanges and enhance understanding between participants and their host communities

Indicator 1: Percent of foreign participants with more favorable opinions of the United States Government

Indicator 2: Percent foreign participants with more favorable opinions of the American People

Indicator 3: Percent of foreign participants indicating a change in understanding of United States culture and values

Indicator 4: Percent of foreign participants expressing support of democratic values

Indicator 5: Percent of participants who traveled abroad for the first time on an ECA exchange program

Indicator 6: Percent of foreign participants who traveled to the

United States for the first time on an ECA exchange program

Objective 2: Increase the impact that participants and alumni have on their communities / countries o Sub-Objective 2.1: Foster participant’s belief that civic engagement benefits communities/countries

Indicator 7: Percent of participants who believe that they can have an impact on their community or country

Objective 3: Strengthen engagement among participants, alumni, beneficiaries, and institutions

Indicator 8: Percent of participants who identify as a Department of State program alumni

Indicator 9: Percent of alumni who are still in contact with ECA program participants, beneficiaries, and/or institutions

Indicator 10: Percent of participants who report increasing their network of Americans

Objective 4: Strengthen a regional/multi-country ASEAN identity among participants and alumni

Indicator 11: Percent of participants and alumni who report self-identification as part of a regional ASEAN community

Indicator 12: Percent of participants who report increasing their network of peers in the ASEAN community from countries other than their own

Objective 5: Strengthen personal, professional, and technical abilities and aptitudes of participants and beneficiaries

Indicator 13: Percent of participants reporting increases in their job skills through training, internships, and/or mentoring they received as part of their exchange program

Indicator 14: Percent of alumni reporting that they have used language skills gained through ECA program participation o Sub-Objective 5.1: Participants engage in language, academic, professional, and cultural exchange programs

Indicator 15: Number of total participants

Objective 6: Increase the contribution of exchange programs to local economies in the U.S., and engagement of U.S. businesses, non-governmental organizations, and educational institutions in ECA programming o Sub-Objective 6.1: Exchange participants support local economy during their visit

Indicator 16: Amount of U.S. dollars spent by foreign exchange participants during their exchange

Indicator 17: Number of educational institutions supporting ECA programs

Objective 7: Enhance the quality and effectiveness of ECA programs by leveraging the Bureau’s resources, policy, and stakeholder relationships

Indicator 18: Dollar amount ($) spent on monitoring and evaluation activities

ECA recommends that applicants use the indicators listed in this section as the minimum requirement for measurement. Applicant-designed objectives and indicators that are specific to the proposed program and this proposal should be added as necessary to sufficiently measure the relevant proposed program outputs, outcomes, and impact over the course of the proposed period of performance.

PMPs

Please see below for a sample PMP and accompanying instructions. While ECA recommends the applicant use the format provided, this is not a requirement. However, all content present below should be included in any presentation of a PMP that the applicant submits. Successful PMPs should include the following:

Programmatic objectives, which are statements of the condition(s) or state(s) the program is designed to achieve. Objectives are therefore bound by the resources and timeframe of the program and must be specific, measurable, attainable, relevant and time-bound (SMART). In addition to those outlined above, the applicant may propose other program objectives from the Functional Bureau

Strategy, MODE Results Framework (both found here:

https://eca.state.gov/about-bureau) or other applicant-designed program-specific objectives. For more information on SMART see the ECA Evaluation Division’s website: https://eca.state.gov/impact/eca-evaluation-division/capacity-building.

ECA recommends the proposed PMPs include a minimum of one programmatic objective for each goal included in the PMP.

Performance indicators are measures used to gauge progress toward programmatic objectives. Indicators should be as specific as possible (following the SMART principles) and include any proposed disaggregations.

o In addition to those outlined above, the applicant may propose additional program-specific indicators in the PMP.

o ECA recommends the proposed PMPs include a minimum of one indicator for each programmatic objective.

o Baseline data (whether collected specifically for the program at the beginning of the award or from a previously existing source) for each indicator shall be included where relevant, as well as the target number to be achieved for each indicator.

The responsibility will be on the Bureau to measure outcomes of ECA participants at one-, three-, and five-years after their exchange has ended to capture the long-term impact of ECA programming. Award recipients are responsible for collecting indicator https://eca.state.gov/about-bureau https://eca.state.gov/impact/eca-evaluation-division/capacity-building data on participant outcomes only during the period of performance of the exchange itself

(see the PMP for guidelines as to when these data collection efforts should occur).

PROGRAM PERFORMANCE M&E NARRATIVE

ECA recommends that there be a narrative section within the program narrative sections of the proposal that outlines how the applicant intends to measure the indicators outlined in the PMP. This section will be separate from the PMP and should include but not be limited to:

An overview of resources available to the applicant that outline the applicant’s team structure and responsibilities surrounding performance monitoring;

The mechanism(s) through which surveys and other data collection tools (if applicable) will be administered, including: which platform will be used, how they will be advertised to participants and when – detailing strategies to ensure adequate survey response rates and reduce selection and non-response bias;

A brief explanation of data analysis and reporting procedures; and

An overview of the proposed learning plan and feedback loops to ensure that the

GO/GOR are informed on performance monitoring issues at regular intervals.

REPORTING REQUIREMENTS

The State Assistance Management System Domestic (SAMS-D) is a database solution that serves as the official system of record for all U.S. Department of State and ECA awards. The Results Performance Monitoring (RPM) module within SAMS-D is an extension module that enables users to report performance monitoring data in the same system where they currently manage federal assistance actions. As part of ECA’s efforts to streamline data collection and management, any recipients of this award will be required to input performance reporting data outlined in this solicitation into the SAMS-

D RPM. The data stored in the SAMS-D RPM will provide ECA with a bureau-wide, uniform M&E reporting tool that is already linked with other elements of the awards and that existing awardees are familiar with. There is a one-time 3-hour required SAMS-D

RPM module training that designated staff of award recipient organizations will need to attend to gain access to the system. Also, as part of the reporting requirements, award recipients will also be required to provide ECA with the raw data for surveys in a CSV file through SAMS-D.

PERFORMANCE MONITORING PLAN

Applicant Name: Example Organization

Fiscal Year and

Program Title:

FY## Example Program

Funding Opportunity

SFOP000XXXX

Instructions: A performance monitoring plan (PMP) describes the proposed indicators to be captured that demonstrate progress toward achieving the objectives of the program.

The table below includes the recommended programmatic objectives and indicators as indicated in the solicitation document. Within this table, please provide any additional applicant-designed objectives and indicators that are specific to the proposed program that measure the relevant outputs, outcomes, and results over the course of the award’s proposed period of performance. (Note: the placement of two rows for applicant-designed indicators is arbitrary – the applicant can add or delete rows as necessary).

While ECA recommends the applicant use the format provided, this is not a requirement.

However, all content present below should be included in any presentation of a PMP that the applicant submits. Successful PMPs should include the following:

Completion: All components of the PMP are included.

Inclusion of ECA Standard indicators: Includes the standardized ECA indicators pre-populated in the PMP and listed in the solicitation without any adapting of the definitions, data sources, collection timelines and responsible entities.

Baselines and targets: Baselines and targets are included and realistic. If there is no baseline to report, there should be a plan for how to obtain or produce the value in the future.

If the applicant chooses to include any applicant-designed objectives and indicators, successful applicants will include the following elements:

SMART Objectives and Indicators: Objectives and Indicators should follow

SMART principles

(https://eca.state.gov/files/bureau/a_good_start_with_smart.pdf).

Details of indicators: All basic information of the indicators (definition, data source and question, collection timeline and responsible entity) should be included. The definitions of the standardized ECA indicators should be used as examples of what to include and the format.

Depth of indicators: Outcomes should be used where possible to demonstrate if a program is meeting its objectives. While outputs are important to understand if a program achieved what it was meant to do, outcomes demonstrate the larger effect of the program.

Indicator Structure: Ensures that the indicator does not measure multiple things

(participants AND host families), does not start with a direction (“Increase” is a result, “Number of” is an indicator), and should reports numeric data (“good test results” is not an indicator).

Redundancy: There should be a clear and distinct reason for each indicator, and the indicator should not overlap with ECA standard indicators. Each indicator should be clearly linked to either an ECA standard objective or a custom objective.

https://eca.state.gov/files/bureau/a_good_start_with_smart.pdf

Consistency with ECA Indicators: Key terms are defined the same way.

Disaggregations align where appropriate, and calculations follow the same structure.

Definitions of PMP Columns

Performance Indicator: An observable or measurable characteristic that indicates the extent to which a program objective is being achieved. Specify if the indicator is an ECA standard indicator or a custom indicator.

Definition: Clarifies all terms necessary, provides details on how to calculate the data collected to measure the change expected, and includes any disaggregation (male/female;

country; region; age; etc.) that needs to be reported for the indicator.

Baseline: The value of an indicator before the implementation of a program.

Target: Specific, planned level of result to be achieved within an explicit timeframe.

Data Source and Question: Specifies how the data will be obtained (such as a survey, observation, interview, etc.) and the mandatory question linked to the data collection.

When to Collect: Specifies when the indicator will be measured, for example: post-program, end of award, etc.

A post-program collection should occur no earlier than before the participant departs the United States and no later than 6 weeks after an activity has ended.

Award recipients are responsible for collecting indicator data on participant outputs and outcomes during the period of performance of the exchange itself.

Any anticipated data collection that occurs post-program should include specific details of when the data collection will occur. Note: The onus will be on the

Bureau to measure outcomes of ECA participants at one-, three-, and five-years after their exchange has ended to capture the long-term effects of ECA programming.

Entity Responsible: Person or entity responsible for collecting the data.

Performance

Indicator

Definition Baseline Target Data Source and

Question

When to

Collect

Entity

Responsible

ECA Objective 1: Advance participant and beneficiary cross-cultural competence and global perspective

ECA Sub-Objective 1.1: Promote cultural exchanges and enhance understanding between participants and their host communities

Percent of foreign participants with more favorable

Participant is a person or group of persons that has directly participated in, and benefits from, To be completed by the applicant

To be completed by the applicant

Survey (self-reported data):

How did your views of the United States government and the

Post-

Program:

A post-program collection

Award recipient opinions of the

United States

Government an ECA exchange

Count Frequency

Each respondent should only be counted once per reporting year following their program completion.

Calculations

To determine the percent value, numerator is number of respondents who reply “more favorable” about the

United States

Government while denominator is the total number of survey respondents.

Divide the numerator by the denominator and then multiply by

100 for the percent value.

American people change as a result of your program participation?

United States government

American People

Scale: less favorable, no change – my view remained unfavorable throughout, no change

– my view remained favorable throughout, more favorable should occur no earlier than before the participant departs the

United…