FY22 Humphrey Fellowship Program NOFO Solicitation.pdf

Department of State

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

(NOFO): FY 2022 Hubert H. Humphrey Fellowship Program

Announcement Type: New Cooperative Agreement

Funding Opportunity Number: SFOP0008008

Assistance Listing (formerly CFDA) Number: 19.010

Key Date/Application Deadline: June 30, 2021

Executive Summary:

The U.S. Department of State’s Bureau of Educational and Cultural Affairs (ECA) announces an open competition to manage the administration of the FY2022 Hubert H. Humphrey Fellowship

Program, a Fulbright exchange. U.S. public and private non-profit organizations meeting the provisions described in Internal Revenue Code section 26 USC 501(c)(3) may submit proposals to work with the Bureau on the administration and implementation of the FY2022 Humphrey

Fellowship Program. The final amount that will be available in FY2022 to fund the Humphrey

Program has not yet been determined; however, applicants are asked to prepare a budget not to exceed $10,765,000, pending the availability of funds. Pending the availability of FY2022 funds, the agreement should begin on October 1, 2021 and should expire on September 30, 2026.

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.

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.

The Hubert H. Humphrey Fellowship Program was established by presidential initiative in 1978.

The program enhances leadership among international professionals who collaborate to address local and global challenges and foster change for our collective good. Through academic study and professional development with U.S. counterparts, this growing global network shares best practices and builds expertise in fields of critical importance to advance societal and institutional capacity, promote human rights and freedoms, ensure sustainable environments, and develop thriving communities. As leaders in their fields, Humphrey Fellowship alumni become important interlocutors within their countries and regions, advancing solutions to global problems, often in collaboration with the United States and in support of U.S. bilateral relationships.

The Humphrey Fellowship Program consists of two primary components, the long-established and longer term Humphrey Fellowship, and a recently-developed and shorter term Distinguished

Humphrey Program, complemented by special events, in-person and virtual activities and resources, and alumni programming. The Humphrey Fellowship consists of up to an academic year of non-degree graduate level study at a U.S. host university and a professional affiliation at an organization in the United States. The Distinguished Humphrey Leadership Program consists of a minimum two week intensive program, including executive level training in leadership or an approved foreign policy topic and an individualized placement. Within the duration of the

FY2022 agreement, approximately 145 Humphrey Fellows will be funded, including approximately 135 Humphrey Fellows and no less than one cohort of approximately 10

Distinguished Humphrey Fellows. The overwhelming majority of Humphrey Fellows should be placed in university-based cohorts in the United States during the 2022-2023 academic year, with the remaining Fellows, including the Distinguished Humphrey Fellows, selected and placed within the duration of the cooperative agreement and in close consultation with ECA. The applicant organization should illustrate the capacity and willingness to support additional

Fellows supported by separate funding (on average, 15-20 additional fellows have been supported annually through additional sources of funding in past years).

Humphrey Fellows are leaders in fields that are critical to U.S. foreign policy goals and bilateral relationships, including law and human rights, climate change, contagious and infectious diseases, public health policy and management, communications and journalism, economic development, agricultural and rural development, education, and public policy. Eligible countries are determined in consultation with U.S. Department of State regional bureau colleagues. In recent years, U.S. Embassies and Fulbright Commissions in more than 140 countries from every world region have been eligible to nominate candidates for the program.

Please see the POGI for more detail regarding the program model and participant profile.

Applicant organizations should submit a 20 page narrative and supporting work plan and other documentation to indicate how they plan to implement the following program components:

recruitment, selection, and placement of Humphrey Fellows; participant monitoring; host institution selection and oversight; English language training; professional development activities; foreign policy priorities; alumni programming and ongoing engagement; program evaluation activities; program marketing, communications, and branding in accordance with

ECA guidelines.

Applicant responses should provide a holistic vision for the program, ensuring robust academic coursework, significant professional development opportunities, and strategic alumni engagement for Fellows. Applicants should provide innovative ideas and recommendations for the program, including highlighting fellows, alumni, and program achievements that are responsive to U.S. foreign policy goals, and building and sustaining professional development and networks in and around the program’s designated fields of study. Responses should include a description of how the various components of the program will build upon and reinforce one another.

Funding for administrative expenses under this award, such as salaries and benefits, staff travel, office supplies, postage, communications, and indirect costs will primarily cover the period

October 1, 2021 through September 30, 2022, unless otherwise explicitly authorized by ECA.

Funding for program expenses will cover programmatic needs for the ECA-funded 2022-2023 class of Humphrey Fellows, other longer term Fellows as needed and determined in consultation with ECA, and at least one short-term Distinguished Humphrey Fellowship Program to be scheduled within the duration of the grant agreement and in close consultation with ECA. The

Bureau reserves the right to reduce, revise, or increase program budgets, program components, timelines, and priority topics in accordance with the needs of the program, U.S. Department of

State foreign policy goals, and the availability of funds. Should travel restrictions or extenuating circumstances prevent fellows from traveling during the academic year cited above, the award recipient will be required to provide a recommendation on how to complete programming in line with the program objectives stated herein during the award’s period of performance.

During the award period, the recipient should inform ECA if there are unexpected cost-savings and/or remaining funds that could be readily reprogrammed to maximize the overall success of the award. In consultation with ECA, the recipient will consider the appropriate, allowable, and allocable utilization of funds to support priority projects on foreign policy, alumni engagement, program evaluation and impact, and workshops for key stakeholders or target audiences.

ECA reserves the right to alter travel payment methods, including the use of ECA travel platforms, as needed. Proposals should identify efficiencies in supporting travel costs for approximately 145 Fellows to, from, and around the United States.

It should be noted that funding may have to shift across program components based on travel restrictions and feasibility. ECA has the right to adjust total funding across programs based on conditions on the ground, travel restrictions, and local health requirements to allow for maximized implementation and participant numbers across the Humphrey components. Should in-person program activities shift to online components due to travel restrictions and/or there be increases in specific line items to accommodate participant health and safety or adhere to local requirements, the recipient is required to resubmit the budget and budget narrative highlighting corresponding funding changes for ECA review and approval.

Please refer to the POGI for specific program and budget guidelines.

Applicants should outline overall staffing patterns and level of effort by position, as well as clearly designate all key personnel. Key personnel include responsible signatories on the award and the director and deputy director, or equivalents, responsible for overall program implementation, as well as the principal staff responsible for liaising with U.S. Embassies and

Fulbright Commissions, liaising with Fellows and host universities, alumni outreach, communications planning and implementation, and budget matters. Other key personnel may be identified during the period of performance. Please include the job descriptions and resumes for key personnel in your proposal. ECA reserves the right to review and approve the roles and responsibilities of these positions prior to any future advertisement and subsequent hiring.

Proposals should include details on plans to clearly communicate the program’s goals and impact in a consistent way through a suite of print and/or digital marketing materials, including a new website and comprehensive social media plan. A recent, program-wide strategic review and revision of all program communications goals and methods will guide this effort, in close consultation with ECA. Applicant responses should indicate a willingness to incorporate both current and past fellow and alumni data, trends, and impact stories, including those collected as a result of recent 40th anniversary programming and outreach.

Applicants are encouraged to propose ways to build further expertise within and across designated fields of study through the expansion of professional and academic networks, including public private partnerships and outreach to the diverse array of U.S. higher education institutions. Ideal partnerships reinforce foreign policy goals, strengthen professional networks, and sustain program collaboration. In order to fully and accurately represent diversity within the

United States, ECA also encourages respondents to propose innovative methods to conduct outreach to include minority-serving institutions and historically black colleges and universities within the Humphrey Fellowship partner network.

Applicants should propose program innovations and virtual activities to connect current Fellows and alumni to one another across regions, thematic topics, and fields of study, thereby strengthening the Humphrey network. Activities may include access to mentoring relationships, promoting regular engagement with program alumni, and expanding professional networking opportunities for increased long-term partnerships. Alumni programming remains a priority of the Bureau and is vital for the sustained and collaborative engagement between alumni fellows and the Department. Proposals should include alumni engagement that is strategic, cost-effective, and meets U.S. foreign policy goals. The Bureau reserves the right to modify proposed alumni programming during the period of the award to ensure the overall program’s successful implementation in light of the ongoing pandemic.

Given the world’s increasing reliance on technology, the cost-effectiveness of virtual meetings, and the recent shift to virtual engagement in 2020 due to the COVID-19 pandemic, applicants should also state a willingness and exhibit the capacity to shift programming from in-person to virtual or hybrid models as needed to maintain continuity of programming while ensuring the safety of all participants and partners to the extent possible.

Applicants should describe how they will produce and maintain a content-rich archive of digital resources, including issue-based toolkits, to be made available for program alumni and current

Fellows.

In a cooperative agreement, the Department is substantially involved in program activities above and beyond routine monitoring. These activities and the roles and responsibilities of the

Department and your organization are outlined in the attached Project, Objectives, Goals, and

Implementation (POGI) document.

B. Federal Award Information:

Type of Award: Cooperative Agreement. ECA’s level of involvement in this program is listed under Substantial Involvement in the POGI.

Fiscal Year Funds: 2022

Approximate Total Funding: $10,765,000, pending the availability of funds

Approximate Number of Awards: 1

Anticipated Award Date: Pending the availability of funds, October 1, 2021

Anticipated Project Completion Date: September 30, 2026

Additional Information: Pending successful implementation of this program and the availability of funds in subsequent fiscal years, it is ECA's intent to renew this cooperative agreement for four additional, consecutive fiscal years, before openly competing it again.

The Department reserves the right to reduce, revise, or increase proposal budgets in accordance with the needs of the program 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 D3a and D3c 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 one cooperative agreement, in an amount over $130,000 to support all 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 (if applicable), 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.

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 of cost sharing 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 may be reduced in like proportion.

D.) Application and Submission Information:

Note: 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. Solicitation Package Location: The entire Solicitation Package may be downloaded from the Bureau's website at https://eca.state.gov/organizational-funding or from the Grants.gov website at https://www.grants.gov.

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

Solicitation Package, including the Proposal Submission Instruction (PSI) document, which consists of required application forms and standard guidelines for proposal preparation. The application should be submitted per the instructions under D.3n. “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 more detailed instructions for obtaining a UEI https://eca.state.gov/organizational-funding https://www.grants.gov/ http://www.dnb.com/

(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.3.d. 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

DIVERSITY, FREEDOM AND DEMOCRACY section in the “Proposal Submission

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

https://afsitsm.servicenowservices.com/ilms/ mailto:ECA_SAMSDomestic@state.gov http://j1visa.state.gov/

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 Performance Monitoring and Evaluation (M&E)

A performance monitoring framework is vital to tracking the performance and the direction, pace, and magnitude of change that result 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) to establish your performance monitoring plans 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 agreements, 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

E1.1.9 - Percent of participants who traveled abroad for the first time on an ECA exchange program

E1.1.10 - Percent of foreign participants who traveled to the United States for the first time on an ECA exchange program

E.1.1.1 - Percent of participants reporting that their exchange experience offered opportunities to engage with other cultures

E1.1.4 - Percent of foreign participants with more favorable opinions of the United States Government

FBS1.1.1a - Percent foreign participants with more favorable opinions of the American People

FBS1.1.1b - Percent of foreign participants indicating a change in understanding of United States culture and values

FBS4.2.1 - Percent of foreign participants expressing support of democratic values

E1.1.13 - Percent of foreign participants who are more likely to recommend the United States as a good place to study

Objective 2: Increase the impact that participants and alumni have on their communities / countries

E2.0.1 - Percent of participants that volunteer or give back to their host communities

E2.0.6 - Number of hours that participants spend to volunteer or give back to their host communities o Sub-Objective 2.2: Foster participants’ belief that civic engagement benefits communities/countries

E2.2.1 - 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

E3.0.9 - Percent of participants who identify as a Department of State program alumni

E3.0.3 - Percent of participants who report increasing their network of

Americans o Sub-Objective 3.1: Alumni subscribe to platforms for resources and information-sharing

E3.1.6 - Percent of participants who are registered or subscribed to a U.S.

Department of State platform

E3.1.3 - Percent of participants who learned of new resources for information-gathering and sharing

Objective 4: Strengthen personal, professional, and technical abilities and aptitudes of participants and beneficiaries

FBS2.5.1 - Percent of participants reporting increases in their job skills through training, internships and/or mentoring they received as part of their exchange experience o Sub-Objective 4.1: Participants engage in language, academic, professional, and cultural exchange programs

E4.1.01: Number of total participants

E4.1.03 - Number of foreign exchange participants in the U.S.

o Sub-Objective 4.2: Increase the ability of participants to recognize and counter disinformation

E4a.0.16 - Percent of participants who report improved belief in their ability to counter disinformation (Note: This will be added exclusively for

Distinguished Humphrey Programs that received Congressional disinformation funding.

Objective 5: Increase the contribution of exchange programs to local economies in the

U.S., and engagement of U.S. businesses, non-government organizations, and educational institutions in ECA programming o Sub-Objective 5.3: Exchange participants support local economy during their visit

E5.3.01 – Amount of U.S. dollars spent by foreign exchange participants during their exchange

Objective 8: Enhance the quality and effectiveness of ECA programs by leveraging the

Bureau’s resources, policy, and stakeholder relationships

E8.0.01: 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 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 impact of ECA programming.

Award recipients are responsible for collecting indicator data on participant outcomes only https://eca.state.gov/about-bureau https://eca.state.gov/impact/eca-evaluation-division/capacity-building 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 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

An overview of proposed learning plan and feedback loops to ensure that the GO/GOR are informed on performance monitoring issues at regular intervals

RESULTS PERFORMANCE MONITORING 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 impact 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 template 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.

Consistency with ECA Indicators: Key terms are defined the same way. Disaggregations align where appropriate, and calculations follow the same structure.

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

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 impact 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 participants who traveled abroad for the first time on an ECA exchange program

Participant - A person or group of persons that has directly participated in, and benefits from, an

ECA exchange program.

Note that participants also include ECA’s

Office of Private Sector

Exchange’s (ECA/EC)

“Exchange Visitors”.

Abroad – A country outside of one’s home country

Counting 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 “no” while denominator is the total number of survey respondents. Divide the numerator by the denominator and then multiply by 100 for the percent value.

To be completed by the applicant

To be completed by the applicant

Before this exchange program, did you travel outside of your home country? [Yes/No] If yes, why did you travel outside of your home country [select all that apply]:

Tourism/

Visit friends/family

Participation in another ECA exchange program

Study

Work

Other:

Post-

Program:

Data should be collected no earlier than before the participant departs the United

States and no later than 6 weeks after an activity has ended.

Award recipients

Percent of foreign participants who traveled to the United States for the first time on an ECA exchange program

Participant - A person or group of persons that has directly participated in, and benefits from, an

ECA exchange program.

Note that participants also include ECA’s

Office of Private Sector only be counted once per reporting year following value, numerator is number of respondents who reply “no” while denominator is the total number of survey respondents. Divide the numerator by the denominator and then multiply by 100 for the percent value.

To be completed by the applicant

To be completed by the applicant

Before this exchange program, did you travel to the United States?

[Yes/No] If “yes”, why did you travel to the

United States [select all that apply]:

Tourism

Visit friends/family

Participation in another ECA exchange program

Study

Work

Other:

Post- Program:

Data should be collected no earlier than before the participant departs the United States and no later than 6 weeks after an activity has ended.

Award recipients

Percent of participants reporting that their exchange experience offered opportunities to engage with other cultures

Participant-A person or group of persons that has directly participated in, and benefits from, an

ECA exchange program.

Note that participants also include ECA’s

Office of Private Sector

To be completed by the applicant

To be completed by the applicant

My exchange program’s activities offered opportunities for cultural connectedness and sharing. For example:

Conversations about each other’s’ countries, attending cultural events, etc.[Y/N]

Post-

Program:

Data should be collected no earlier than before the participant departs the United

States and no later than 6 weeks only be counted once per reporting year following value, numerator is number of respondents who reply “yes” while denominator is the total number of survey respondents. Divide the numerator by the denominator and then multiply by 100 for the percent value.

after an activity has ended.

Percent of foreign participants with more favorable opinions of the United

States Government

Participant - A person or group of persons that has directly participated in, and benefits from, an

ECA exchange program.

Note that participants also include ECA’s

Office of Private Sector

Exchange’s (ECA/EC)

“Exchange Visitors”.

This indicator only applies only to foreign participants.

only be counted once per reporting year following value, numerator is

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

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

Post- Program:

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.

recipient 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.

Percent foreign participants with more favorable opinions of the American

People

Participant - A person or group of persons that has directly participated in, and benefits from, an

ECA exchange program.

Note that participants also include ECA’s

Office of Private Sector

Exchange’s (ECA/EC)

“Exchange Visitors”.

This indicator only

Host Community - A community or institution that sponsors, supports, or provides exchange programs support or services. Host communities and institutions do not necessarily directly participate in a program.

Benefits to this group most often occur through interaction with the participants and/or alumni during or after the program. This indicator applies specifically to the

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

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

Post-

Program:

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.

United States as the host community.

only be counted once per reporting year following value, numerator is number of respondents who respond “more favorable” about the

American people while denominator is the total number of survey respondents.

Percent of foreign participants indicating a change in understanding of United

States culture and values

Participant - A person or group of persons that has directly participated in, and benefits from, an

ECA exchange program.

Note that participants also include ECA’s

Office of Private Sector

Exchange’s (ECA/EC)

“Exchange Visitors”.

This indicator only

Host Community - A community or institution that sponsors, supports, or provides exchange programs support or services. Host communities and institutions do not necessarily directly

To be completed by the applicant

To be completed by the applicant

Survey (self-reported data) How much did participation in the program change your understanding or knowledge of the following topics?

United States democracy

United States economy

Foreign affairs in the

United States

Domestic affairs in the

United States

United States values and culture

Daily life in the United

States

Religious and ethnic diversity in the United

States

Post-

Program:

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.

participate in a program.

Benefits to this group most often occur through interaction with the participants and/or alumni during or after the program. This indicator applies specifically to the

United States as the host community.

only be counted once per reporting year following

Responses to each item should be scored in the following manner:

No change – 1

Minimal change – 2

Moderate change – 3

Substantial change – 4

The response scores for each item should be summed and divided by the number of items they responded to in order to give a total question score for each respondent.

value, numerator is number of respondents whose response value is 2 or greater while denominator is the total number of survey

Freedom of speech and press in the United

States

Voluntary community service in the United

States

Scale: no change, minimal change, moderate change, substantial change respondents. Divide the numerator by the denominator and then multiply by 100 for the percent value.

Percent of foreign participants expressing support of democratic values

Participant: A person or group of persons that has directly participated in, and benefits from, an

ECA exchange program.

Note that participants also include ECA’s Office of Private Sector

“Exchange Visitors”

Count Frequency only be counted once per reporting year following

The values for each response are combined and divided by the total number of response categories answered, producing the average value for an individual respondent to that question. The indicator value is the percentage of respondents whose average value is greater than or equal to 4 on a 1-

5 scale (respondents indicating, on average, that they agree or strongly agree);

denominator is total number of respondents.

Divide the numerator by the denominator and then multiply by 100 for the percent value.

To be completed by the applicant

To be completed by the applicant

Survey (self-reported data)

To what extent do you agree or disagree with the statements below?

• Voting is important because real decisions are made in elections

• Free and fair elections are the cornerstone of democracy

• An independent media is important to the free flow of information

• All citizens in a country should have equal rights and protections under the law, regardless of circumstances

• The Rule of Law is fundamental to a functioning democracy

• Individuals and organizations have the right to free speech and to voice opposition

• Democratic principles enhance the workplace.

Supervisors should incorporate democratic principles into their management practices

[Scale – Strongly

Disagree, Disagree, Neither Agree not Disagree, Agree, Strongly Agree]

Post-

Program:

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.

foreign participants who are more likely to recommend the United

States as a good place to study

Participant - A person or group of persons that has directly participated in, and…