Micro-Enterprise Reforms Opportunities and Growth in Iraq NOFO.pdf

U.S. Department of State Bureau of Near Eastern Affairs

Office of Assistance Coordination

Catalog of Federal Domestic Assistance (CFDA) Number: 19.600

Micro-Enterprise Reforms, Opportunities, and Growth in Iraq Opportunity Number: SFOP0008705

Key Information:

Announcement Type: New Date Opened: March 8, 2022 Deadline for Questions: April 5, 2022 Application Deadline: May 15, 2022 Expected Date of Notification: September 1, 2022 Federal Agency Contact: NEA-Grants@state.gov

Funding Opportunity Synopsis

A key lever to Iraq’s economic development is the private sector that has the potential to promote economic self-reliance. Without private sector engagement, Iraq’s economy will remain oil dependent, and Iraq will be unable to financially stabilize itself or integrate into the global economy. The lack of economic diversification in Iraq, and the twin impact of Covid 19 and depressed oil prices, continues to limit its economic, political, and social stability. To facilitate private sector engagement, domestic, as well as foreign, Iraq will need to improve the legal framework integral to doing business.

Projects will aim to support the Iraqi government and Micro, Small, Medium Enterprises

(MSMEs) to reform laws, regulations and provide training on procedures that promote opportunities for MSMEs in Iraq. Additionally, the project will adopt e-regulations for MSMEs that will significantly increase the number of enterprises scaling up and provide nurturing opportunities for MSMEs. NEA/AC will fund tailored projects to promote increased employment, economic growth, and U.S. commercial engagement by supporting a more robust private sector and business-friendly environment. Projects will be encouraged to seek partnerships with the U.S. and global businesses to leverage private sector expertise in entrepreneurship and innovation and leverage the U.S. Trade and Investment Framework

Agreement with Iraq.

Project success will be measured by assessing the number of laws reformed in support of

MSME’s overcoming barriers to finance and business growth (e.g., adopting e-regulations for

MSMEs to reduce administrative burdens and provide more transparency in government regulation vis-à-vis the commercial sector, access to credit, etc.); technical assistance; and partnership development. Proposals should pay special attention to gender and minority integration, ensuring a variety of groups including minorities gain from support, and that both northern and southern regions benefit.

All applications must be submitted in English. Complete information on how applicants can submit proposals for this opportunity can be found in Section VI below.

Applicants should read this NOFO in its entirety before writing their proposal, and should refer to the full Evaluation Criteria provided in Section VII while drafting all materials.

Eligible Countries and Territories

In this announcement, we seek to support projects in Iraq. Please note: Applications that focus on activities in countries and territories other than those listed will NOT be considered.

Background Information about NEA/AC

The U.S. Department of State’s Bureau of Near Eastern Affairs, Office of Assistance

Coordination (NEA/AC) offers Federal assistance to groups and individuals striving to bring about positive change in the Middle East-North Africa region. The Assistance Coordination

Office works in 20 countries and territories, partnering with governments, civil society organizations (CSOs), community leaders, youth and women activists and private sector groups to advance their efforts. Competitively selected projects aim to foster participatory governance, economic reform, and educational advancement in response to local interest and needs.

Table of Contents

FUNDING OPPORTUNITY DESCRIPTION

A. PROBLEM STATEMENT

B. ACHIEVABLE OBJECTIVES

C. PROJECT DESIGN

D. GENDER INTEGRATION

E. DEFINITIONS

MEASUREMENT OF RESULTS

AWARD INFORMATION

SUBSTANTIAL INVOLVEMENT

ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

B. REGISTRATION REQUIREMENTS

C. ADDITIONAL ELIGIBILITY CONSIDERATIONS

APPLICATION AND SUBMISSION INFORMATION

A. APPLICATION DOCUMENTS

B. APPLICATION FORMATTING REQUIREMENTS

C. SUBMITTING AN APPLICATION

D. SUBMISSION DATES AND TIMES

FUNDING LIMITATIONS, RESTRICTIONS, AND OTHER CONSIDERATIONS

A. AWARDS TO COMMERCIAL FIRMS OR FOR-PROFIT ORGANIZATIONS

B. AUDIT REQUIREMENTS

C. COMPLIANCE WITH APPLICABLE FEDERAL FUNDING REGULATIONS AND DOS TERMS AND CONDITIONS

APPLICATION REVIEW AND SELECTION PROCESS

A. APPLICATION EVALUATION CRITERIA

B. REVIEW AND SELECTION PROCESS

ADMINISTRATION INFORMATION

A. AWARD NOTICES

B. REPORTING REQUIREMENTS

C. TRAVEL NOTIFICATIONS

D. APPLICANT VETTING AS A CONDITION OF AWARD

E. SPECIAL PROVISION FOR PERFORMANCE IN A DESIGNATED COMBAT AREA (SPOT) REQUIREMENTS

F. BRANDING AND MARKING REQUIREMENTS FOR GRANTEES

G. UEI NUMBER REQUIREMENT FOR SUB AWARDEES

H. SUB AWARDEE REPORTING REQUIREMENT

AGENCY CONTACTS

DISCLAIMER

APPENDICES (Posted with NOFO)

APPENDIX 1— Budget Sample Template and Budget Narrative Guidance APPENDIX 2— Logic Model Template APPENDIX 3— Application Guidance APPENDIX 4— Results Monitoring Plan Template

FUNDING OPPORTUNITY DESCRIPTION

The Bureau of Near Eastern Affairs’ Office of Assistance Coordination (NEA/AC) seeks proposals to foster entrepreneurial activity in Iraq utilizing innovative solutions to economic challenges. The project should include better leveraging and reenergizing of the Trade and

Investment Framework Agreement discussions to unlock Iraq’s economic potential and open the door to new markets, investment, and business opportunities for Iraqi businesses. Proposed activities will establish pathways to growth for Iraqi Micro, Small, and Medium-Sized

Enterprises (MSMEs) by expanding sources of investment beyond donor-subsidized startup capital and increase access to finance to catalyze growth.

A. PROBLEM STATEMENT

The lack of economic diversification in the Middle East and North Africa (MENA) region continues to limit economic, political, and social stability. Research by the Middle East

Investment Initiative suggests that MSMEs are estimated to be between 19-23 million (formal and informal) and comprise roughly 80% of total businesses. The International Finance

Corporation (IFC) estimates there are over 1 million MSMEs in Iraq currently, providing about two-thirds of private sector employment. Their studies show 80 percent of these face difficulties in accessing finance and scaling up, with many closing within five years of operations.2

The twin impacts of Covid-19 and depressed oil prices strained Iraq’s fiscal situation. To address the reliance on energy exports, the Government of Iraq produced its high-quality White

Paper on Economic Reform in October 2020. This document garnered significant donor support and spurred the creation of a donor coordination group - the Iraq Economic Contact Group

(IECG) - which coordinates initiatives from the United States, the European Union, and other donors. However, other than an October 2020 currency devaluation of over 20 percent by the

Central Bank of Iraq, the government has so far failed to enact meaningful reforms suggested in the document.

In Iraq, governmental bureaucracy and byzantine regulations inhibit business initiation and growth across the spectrum, but especially with startups. Despite, interest in adopting e-regulations for companies to reduce administrative burdens, the GOI does not recognize the importance of easing business restrictions nor the effects these restrictions can have on business.

For example, relevant ministry approval for the sector in which a business operates is mandatory, but firms in new fields (E-commerce, consulting, climate, etc.) experience difficulties because they do not fit a specific mold and are either forced to comply with the existing structure or not approved at all. Continued engagement with startups highlights specific areas for U.S.

involvement to address legislation and regulations that constrain enterprises.

To make good on the diversification promise, Iraq should develop a flourishing private sector that will accelerate economic growth and create jobs for the 800,000 Iraqis who join the labor force each year. It is generally expected that once startups mature into small and medium sized enterprises, not only will they contribute to the GDP of the country, but also provide innovative solutions to economic challenges. However, a lack of mentors or apprenticeship opportunities in the business sector and universities inhibits micro enterprise development. Fostering entrepreneurial activity is a necessity and provides an opportunity for Federal assistance to direct and strengthen the sector.

Access to finance, which is necessary to catalyze growth, is extremely limited, especially for micro-enterprises. According to the IFC, fewer than seven percent of Iraq’s formal MSMEs have access to loans, while over 60 percent are fully or partially credit constrained. Most startups in the Baghdad region require limited capital - $2,000 - $5,000. Projects in the Iraq

Kurdistan Region are generally more advanced and require greater startup capital. In either case, neither banks nor investors fully understand the sector, leaving few startups with access to funding sources beyond family and friends. Available capital largely comes from donor countries. For example, the Central Bank of Iraq provides funding through both private and public banks for SME business innovation, but government funds remain underutilized and are generally treated like credit rather than equity.

In general, Iraqi investors are risk averse and equity financing involving angel investment, venture capital, and other non-traditional sources of investment are exceedingly rare. Thus, there exists a substantial funding gap as startups transition to the growth phase, leaving vast amounts of business and economic growth potential unrealized.

B. ACHIEVABLE OBJECTIVES

A successful project will:

a. Identify and recommend legislation to the Government of Iraq to promote the MSME sector.

b. Identify and recommend revisions to banking regulations to provide access to credit for establishing MSMEs.

c. Leverage the Trade and Investment Framework Agreement to unlock new markets, investment, and business opportunities for Iraqi businesses.

d. Support lenders or investors to develop new financial products and services.

e. Support MSMEs to inform and understand the regulatory environment to take advantage of benefits of government reforms and finance opportunities; promote the growth of diverse businesses and new sectors; and develop partnerships between the public and private sector.

C. PROJECT DESIGN

This solicitation invites applications in support of economic diversification and access to finance in Iraq.

Funds are available to support projects with the potential to promote this objective through activities that support MSMEs in Iraq, by providing pathways to growth through Access to finance and leveraging the Trade and Investment Framework Agreement.

Projects will be encouraged to develop partnerships with public and private sector partners, including U.S. and other businesses, multinational corporations, local incubators, government agencies, universities, mentors, trainers, and/or other financial sponsors. Partnerships should amplify ongoing support to incubators and the local startup community. Projects will also be expected to collaborate with U.S. companies and investors – as well as international businesses to leverage private sector expertise in entrepreneurship and innovation.

Projects should provide support to established entrepreneurs, and work with MSMEs that are best positioned for growth and expansion. Businesses in Iraq will benefit from best practices to attract investment to grow and export their products to new regions and overseas markets in order to scale up commercial activity. Support and technical assistance should focus on overcoming barriers to finance and supporting existing MSMEs for scaling businesses, with a critical focus on using resources from the U.S. Trade and Investment Framework Agreement with Iraq.

Project activities shall include:

a. Identifying legislation targeting business growth barriers and proposing legislation reform with a network of stakeholders

b. Building and promoting business collaboration between the public and private sectors, including U.S. and other businesses, multinational corporations, local incubators, government agencies, universities, mentors, trainers, and/or other financial sponsors

c. Mentoring and apprenticeship provided to MSMEs on access to finance

Project beneficiaries shall include:

a. Women, minority and youth-owned MSMEs;

b. Public and private sector lenders, including banks, non-traditional lenders, or investors; and

c. Private-sector MSMEs.

The following activities and costs are NOT ALLOWED under this announcement:

• Exchange activities with other countries or territories;

• Social welfare projects;

• Paying to complete activities begun with other funds;

• Activities that appear partisan or that support individual or party electoral campaigns;

• Academic or analytical research (if not necessary as part of a larger project);

• One-time events, such as stand-alone conferences and one-off round tables;

• Medical and psychological research and clinical studies;

• Projects of a commercial or profit-making nature;

• Cultural presentations, cultural research, cultural clubs, or festivals, etc.; and

• Entertainment costs (e.g., receptions, social activities, ceremonies, alcoholic beverages, guided tours).

NOTE: Applications that include any of these activities or costs above may be eliminated at the

Technical Eligibility Review stage and will not advance to the Merit Review Panel.

D. GENDER INTEGRATION

NEA/AC requires that all activities fully address gender considerations, ensuring that both men and women benefit from support where applicable, and that gender awareness is a built-in component of project activities. This should be documented through gender analysis in the project narrative that identifies any relevant gender gaps and ways the proposed activities will address those gaps. Proposals should demonstrate how addressing relevant gender gaps will enhance the project’s goals and objectives. Applicants who are unfamiliar with integrating gender in foreign assistance programing should view the training video located here:

https://encompassworld.com/elearningfiles/DOS/DOS_Gender_Integration_E-

Course/story_html5.html

E. DEFINITIONS

The following are definitions of activities accepted under this announcement:

Micro, Small, and Medium-sized Enterprises (MSMEs) as non-subsidiary, independent firms which employ less than a given number of employees.

a. Micro enterprise: fewer than 10 employees

b. Small enterprise: fewer than 50 employees

c. Medium-sized enterprise: fewer than 250 employees

MEASUREMENT OF RESULTS

Applicants shall provide a logic model or a theory of change to demonstrate how the proposed project (including activities, the project design, and the surrounding context) will achieve the stated objectives. The logic model or theory of change statements can be generated using the template in Appendix II. Please see Section VI below for more information.

Applicants are also required to include create a Results Monitoring Plan (RMP) in their application. The purpose of the Results Monitoring Plan (RMP) is to describe how the proposed project will capture and measure data that demonstrates progress toward achieving the specific objectives of the proposed project. The RMP may also include project-specific sub-objectives

(i.e., project outcomes). The quality and feasibility of the proposed RMP will be among the elements on which applications are evaluated (See Part VIII, Section A below for more information). More information about preparing this Plan can be found in Appendix 4.

The RMP will be judged based on the following elements:

• Well-defined objectives: Do the objectives provide a clear statement of what the project plans to achieve? Objectives should be specific, measurable, achievable, realistic, and time-bound. Objectives should contribute towards Intermediate Results and the overall

U.S. foreign policy goal of economic reform in Iraq.

• Well-defined qualitative and quantitative indicators: Indicators should objectively measure project progress towards achieving the application’s proposed objectives. To this end, applicants may include both output and outcome indicators. Indicators should be specific, measurable, achievable, relevant, realistic, and time-bound. Indicators must all contribute towards an objective measurement of progress towards achieving project objectives. Applicants should not include indicators that track progress towards project milestones, deliverables, or activities.

• Data collection and analysis: How (and how often) will you collect and present indicator data and analysis to show progress toward the project objectives? Data collection methods should be sound and realistic.

• Monitoring and reporting: How will you monitor and assess results during the implementation of the project to adapt to changes on the ground and maintain progress?

Do you plan to conduct or manage any internal or external evaluations?

As part of the negotiation process, successful applicants will work with the NEA/AC program and monitoring and evaluation (M&E) teams to finalize their proposed RMP based on their proposal in order to ensure it meets the above-mentioned standards. Successful applicants will be responsible for collecting and reporting on data against these indicators, which will be monitored throughout the period of performance of the award. NEA-AC and project staff will, as necessary or required, gauge modifications to the project’s design and assess the project’s success in meeting expected outcomes.

Projects funded through this NOFO will be required to complete a final evaluation of the project at the end of the period of performance with support from the NEA/AC M&E team. Successful applicants will dedicate between 3% and 5% of their total budget to monitoring and evaluation.

Selected applicants are required to have project information available for up to twelve months after the project closeout for the NEA/AC and Embassy Baghdad team to evaluate long-term outcomes.

AWARD INFORMATION

Funding Mechanism Type: Grant

Estimated Number of Awards: 1

Estimated Total Program Funding: $1,500,000

Estimated Initial Award Ceiling: $500,000

Estimated Award Floor: $500,000

Cost-Sharing or Matching: Encouraged; NOT Required

Estimated Length of Project Period: 3 Years

Contingent on the availability of funds, approximately $1,500,000 in Economic Support Funds for approximately 1 awards will be awarded through this announcement. If selected to receive an award, an applicant will be awarded funds for up to 3 Years, depending on the activities proposed. The estimated start date for this project is October 1, 2022.

NEA/AC reserves the right to award more or less than the estimated program funding, and reserves the right to award funding under this announcement for a period of up to two years after the announcement’s close date.

This request for full applications does not constitute an award or commitment on the part of the

U.S. government to make any awards, nor does it commit the U.S. government to pay for costs incurred in the preparation and submission of an application.

Incremental Funding

NEA/AC intends to provide up to $1,500,000 in total funding over a 3 year period. Funding for this award will be provided on an incremental basis subject to the availability of funds and successful performance. NEA/AC reserves the right to change the funding amounts, period of performance, and terms of the Award as a result of U.S. Government requirements, Recipient performance, project results, and the availability of funds. The Recipient will be notified in writing should such changes occur.

The resulting award will utilize an incremental funding mechanism and will only fund the first increment in the initial award. Up to $500,000 is available for the first increment of funding

(ceiling amount). It is estimated that the first increment will provide funding for the initial 12 months of the award (anticipated: October 1, 2022 to September 30, 2023), and the second increment will provide funding for an additional 12 months (anticipated: October 30, 2023 to

September 30, 2024) and the third increment will provide funding for an additional 12 months

(anticipated: October 30, 2024 to September 30, 2025) for a 3-year period of performance. The second and third increments of funding is contingent upon the availability of funds and will be awarded at NEA/AC’s discretion.

Special instructions regarding incremental funding:

Please provide a complete proposal that includes total project funding. The proposal narrative and budget should clearly specify the activities, budget breakdown, and timeframes for each funding increment. Additionally, the applicant should ensure that the project is severable after the completion of the first increment. The proposal should clearly demonstrate the value delivered at the end of the first increment which could stand on its own merits should funding for a second increment be unavailable.

SUBSTANTIAL INVOLVEMENT

N/A

ELIGIBILITY INFORMATION

All applicants will be screened by NEA/AC to determine whether they meet all of the program eligibility requirements detailed below.

NOTE: Applications that do not demonstrate that they meet all of the eligibility requirements in Section A and Section B will not advance past the Technical Eligibility

Review stage and may be deemed ineligible for funding under this announcement. Nothing can be added to an application once the competition deadline has passed.

F. ELIGIBLE APPLICANTS

Eligible applicants include:

- U.S. or foreign o Non-profit organizations;

o For-profit organizations;

o Small and Medium-sized businesses with function and regional experience in the areas of entrepreneurship and communication and financial technology in the

MENA region.

A.1. Prime Applicant

To be considered for funding under this opportunity, applicants SHALL:

• Have demonstrable previous experience working in the MENA region. This should be addressed within the project narrative section of your application.

• Meet ALL of the registration requirements listed below.

• Meet any requirements listed as MANDATORY in Additional Eligibility Considerations, below.

• Demonstrate the ability to engage the Government of Iraq.

• Demonstrate experience working in the MENA region.

• Demonstrate ability to form relationships/partnerships with MENA-based technology organizations and premier U.S. private sector entities to ensure that all project activities can be implemented effectively and efficiently.

A.2. Local Partners

Applicants are REQUIRED to include partnerships with local organizations as part of their project design for this NOFO. Applicants who do not incorporate local partners in their proposal will be deemed ineligible and will not advance past the Technical Eligibility

Review stage. Applicants should propose partners that would work together on specific programmatic objectives or priorities and that utilize local expertise. Partnerships may, but are not required to, take the form of sub-awards.

G. REGISTRATION REQUIREMENTS

To apply for NEA/AC (Federal) funding, organizations, whether based in or outside the

U.S., must have a Unique Entity Identifier (UEI) number, currently referred to as a DUNS number, and an active account with the System for Award Management (SAM). Applicants who do not meet all registration requirements are NOT eligible for funding under the opportunity.

UEI Number

All applicants must have a Unique Entity Identification (UEI) number.

Up to April 3, 2022, entities that are not already registered in SAM.gov and who wish to do business with the federal government need to obtain and/or use a UEI (DUNS) to register their entity on SAM.gov.

To obtain a UEI DUNS number, please follow the steps below:

Go to http://fedgov.dnb.com/webform/pages/CCRSearch.jsp.

Select the country or territory where your organization is physically located. Complete and submit the form. Organizations will need to provide basic information, including physical and mailing addresses, name and title of the chief executive, primary Standard Industrial Code (SIC)

( https://www.osha.gov/pls/imis/sic_manual.html), and annual revenue. For technical difficulties in obtaining this number, please contact D&B at: govt@dnb.com.

On and after April 4, 2022, entities can register in SAM.gov and will be assigned their Unique

Entity ID (SAM) within SAM.gov. Entities will no longer obtain or use a UEI (DUNS) for entity registration or reporting.

System for Award Management (SAM)

SAM is a U.S. government wide registry of vendors doing business with the Federal government and requires annual renewal. The system centralizes information about grant applicants/recipients and provides a central location for grant applicants/recipients to change organizational information.

Further, each applicant must maintain active SAM.gov registration, with current information, while its application is under consideration for funding. To keep an active

SAM.gov account, an applicant must renew it at least once each year. If an organization’s registration expires, the organization cannot submit a grant application until it is renewed.

To create a new SAM account, go to https://sam.gov/content/entity-registration.

Organizations must have a UEI number and a CAGE number (US Domestic Organizations) or a

NCAGE number (Foreign Organizations), to create an account. The CAGE code will be issued by SAM.gov. Overseas entities must request a NCAGE code at https://eportal.nspa.nato.int/Codification/CageTool/request-new-cage.

For help with SAM.gov, please visit their support page at https://www.fsd.gov or contact them at: 866-606-8220 (U.S.) or +1-334-206-7828 (international).

Note: Obtaining an active SAM.gov registration may take 12 - 15 business days to complete the process of creating an account in the system.

H. ADDITIONAL ELIGIBILITY CONSIDERATIONS

Cost-Sharing or Matching

There is no minimum or maximum percentage required for this competition. However, NEA/AC encourages applicants to provide maximum levels of cost sharing and funding in support of its programs.

Cost-sharing or matching is not an evaluation criteria of this NOFO.

APPLICATION AND SUBMISSION INFORMATION

I. APPLICATION DOCUMENTS

All applications must include the application components detailed below. All application documents must be submitted in English. Applicants may submit only 1 application Please refer to Section B below for additional submissions guidance and requirements.

NOTE: Applications that do not include all the required documentation described in

Section 1 below will not advance past the Technical Eligibility Review stage. Further, applications that exceed the allowable page limits will not be reviewed by the review panel.

Applicants may not add any materials to an application once it has been submitted and the competition deadline has passed.

A.1. Required Documents

Federal Assistance Application Forms (SF-424 and SF424a)

Applicants must complete each of these forms online to be considered for funding.

Guidance on how to complete the SF-424 and SF424a is provided in Appendix 3. NOTE: In addition to following all guidance outlined below regarding application materials, applicants are strongly encouraged to review the Application Evaluation Criteria section of this NOFO closely as they prepare their proposal. The Evaluation Criteria section is the rubric by which each application will be scored.

Project Narrative

The Project Narrative describes the efforts the applicant will undertake to address the priorities and goals of this announcement. It may be no longer than 15 pages. More details on preparing the Project Narrative are provided in Appendix 3. Applicants are strongly encouraged to review Appendix 3 before preparing their Narrative.

Budget & Budget Narrative Submission

Applicants must provide the following three elements as part of their budget submission:

• Summary Budget

• Detailed Line-Item Budget

• Budget Narrative

There is no page limit for this section of an application. A sample fillable template can be found in Appendix 1. This template includes three tabs: The first tab includes written guidance on preparing the Budget Narrative. Applicants are strongly encouraged to create their

Budget Narrative in Word and submit as either a Word Doc or PDF file. Please note that the

Budget Narrative should include designations of who is considered Key Personnel for this project. As defined in the Department of State Standard Terms and Conditions (for assistance awards, Key Personnel means, “…key professional and supervisory personnel; i.e., the members of the professional staff in a program supervisory position engaged for or assigned to duties under the award.” The second tab has the template for the Summary Budget. This tab will auto-fill as you complete the Detailed Line Item Budget, which can be found on the third tab. The third tab is where you can fill in the template for the Detailed Line Item Budget as stated above. NOTE:

Applicants are strongly encouraged to use the same format as provided in the template, and to submit summary and detailed line item budgets in Excel form, and the Budget

Narrative as either a PDF or Word file. If the applicant does not use the template, the applicant must ensure that their submission includes all elements outlined in the sample. The template, which includes more detailed instructions, can be found in Appendix 1. Applicants are strongly encouraged to review Appendix 1 before preparing their Budget and Budget

Narrative.

Logic Model

Applicants shall provide a logic model or theory of change to demonstrate how the proposed project (including activities, the project design, and the surrounding context) will achieve the stated objectives. The logic model or theory of change statements can be generated using the template in Appendix 2. NOTE: Applicants are strongly encouraged to use the same format as found in the sample. If the applicant does not use the template, the applicant must ensure that their submission includes all elements outlined in the sample. This section may be no longer than 3 pages.

Results Monitoring Plan

Applicants shall provide an RMP outlining how the proposed project will capture and measure data that demonstrates progress toward achieving the specific project objectives. The RMP can be generated using the template in Appendix 4. NOTE: Applicants are strongly encouraged to use the same format as found in the sample. If the applicant does not use the template, the applicant must ensure that their submission includes all elements outlined in the sample. This section may be no longer than 4 pages.

Project Timeline

Applicants must provide an overall breakdown of the order and timeframe in which all project activities will take place. This item should provide a macro snapshot of what will take place from beginning to end of the project. Applicants must ensure that the timeline of activities/events corresponds with details provided in the Project Narrative and Logic Model / Theory of Change.

This section may not exceed 2 pages.

Job Descriptions / Biographical Info for Key Personnel Positions

For each position designated as key personnel for this project, applicants must provide the following:

1. If the position is already filled: Provide brief biographical information summarizing the person’s qualifications, as well as a brief description of the roles or responsibilities pertaining to this project.

OR

2. If the person to fill a key position has not yet been hired: Provide a brief summary of the job description, which should include a description of the roles and responsibilities pertaining to this project, as well as a description of qualifications of eligible candidates.

NOTE: If an applicant is proposing sub grant partner(s) as part of their project design, Key

Personnel/Positions of the sub grantee must also be included. This section of the application may not exceed 5 pages.

Negotiated Indirect Cost Rate Agreement

Applicants proposing indirect costs in the Budget greater than a 10% de minimis rate must provide a copy of their Negotiated Indirect Cost Rate Agreement (NICRA). This item will not be counted toward any page limits.

A.2. Optional Documents

Applicants may submit additional documents for consideration with their application.

These documents are not required and there is a 10 page limit for this section of the application. Below are examples of some additional documents an applicant may wish to submit.

1. Letters of Agreement or Letters of Intent: Applicants proposing partner organizations and/or government bodies should include Letters of Intent or Letters of Agreement from their proposed partners.

2. Organizational Chart: The organizational chart outlines the clear lines of responsibility and authority in the applicant organization to include budgeted level of effort listed by each person.

3. Sustainability Plan: The sustainability plan outlines how the proposed project will be sustained beyond the initial award period. More information on preparing the

Sustainability Plan is provided in Appendix 3. Sustainability Plans may not exceed 2 pages.

4. Security, Risk Mitigation, & Contingency Planning Summary: This item should provide detail regarding the applicant’s intended due diligence to assess and mitigate risks, and put in place adequate security measures to ensure the safety and well-being of project staff, participants, and partners, if applicable. This should include specific actions by the applicant to ensure risks are adequately and routinely assessed, and that security measures are commensurate with operational concerns specific to the locale. The applicant should also include a contingency plan that highlights potential challenges and limitations to project implementation in the operating environment and propose contingency plans should program activities be impacted. Please note that this section should not be limited to physical security and risk but should cover any applicable factors relevant to the given operating environment. This section may not exceed 5 pages.

NOTE: Applicants must adhere to all maximum allowed page counts. Applications that exceed any of the allowable page limits will not advance past the Technical Eligibility

Review stage.

J. APPLICATION FORMATTING REQUIREMENTS

The required font is 12-point, Times New Roman. All application documents must be single spaced, with all margins (left, right, top, and bottom) of at least one inch each. Also, applicants should ensure all pages in the application package are numbered consecutively and meet the page limit requirements outlined in Section VI above. The Standard Forms 424 (SF-424 and SF-

424a) are excluded from the page numbering.

It is strongly recommended that applicants submit grant applications using Microsoft

Office. If applicants do not have access to Microsoft Office products, Adobe PDF files may be submitted.

K. SUBMITTING AN APPLICATION

Applicants must submit their application electronically using SAMS Domestic. Applications will

NOT be accepted from grants.gov. SAMS Domestic requires that the applying organization have an account with the system and both require a UEI number and SAM.gov account as detailed in

Section V. It is the responsibility of the applicant to ensure they have an active account and will be able to submit its application. There are no exceptions to these requirements.

The application process is not complete until the applicant receives notification that its application has been validated and forwarded to the granting agency (NEA/AC). Please allow sufficient time for entering the application into these systems. It is the responsibility of the applicant to monitor its application to ensure that it is successfully received and validated.

SAMS Domestic

SAMS Domestic is a comprehensive grants management system that allows applicants to apply for, manage, and report on the use of U.S. government funds for multiple programs, accessed online at mygrants.service-now.com.

To create an account, go to https://afsitsm.servicenowservices.com/ilms/, and click the

“create an account” hyperlink, located above the user name prompt. Users will be directed to a page entitled “User Registration Request;” complete the online form and click the “Submit” button. Users will receive an activation email entitled “Verify Your Grants Account

Registration;” click the activation link within the email to receive a username and password.

SAMS Domestic has Quick Tours available to educate users about the system. These documents can be found on the Support tab upon logging into the system.

L. SUBMISSION DATES AND TIMES

Applications must be time stamped before 17:00:00 eastern time (ET) on May 15, 2022.

There is no grace period, and any application not received by the application deadline will be deemed ineligible and will not advance to be reviewed. Each applicant is encouraged to submit an application far enough in advance of the deadline so that the applicant can alert

NEA/AC (nea-grants@state.gov) of any technical difficulties and allow sufficient time to resolve difficulties before the deadline. Although NEA/AC will work with applicants to resolve technical issues, there are no exceptions to the submission requirements outlined in this announcement.

FUNDING LIMITATIONS, RESTRICTIONS, AND OTHER

CONSIDERATIONS

M. AWARDS TO COMMERCIAL FIRMS OR FOR-PROFIT ORGANIZATIONS

The Department of State prohibits profit under its assistance awards to commercial organizations. No funds will be paid as profit to any recipient that is a commercial organization.

Profit is defined as any amount in excess of allowable direct and indirect costs. The allowability of costs incurred by commercial organizations is determined in accordance with the provisions of the Federal Acquisition Regulation (FAR) at 48 CFR Part 31. Program income earned by the recipient may be:

• added to the total of the amount of this award, including the required cost sharing or matching, and use it to further eligible project objectives;

• used to meet the Recipient’s cost sharing or matching requirement;

• OR deducted from the total project or program allowable cost in determining the net allowable costs on which the federal share of costs is based.

N. AUDIT REQUIREMENTS

Domestic and foreign organizations that expend $750,000 or more in a fiscal year in federal assistance must perform an independent, recipient-contracted Single Audit or Program Specific

Audit. (Program-specific Audit means an audit of one Federal award program. Single Audit means an audit which includes both the entity’s financial statements and the Federal Awards to be conducted in accordance with Generally Accepted Government Auditing Standards

(GAGAS). The audits must be independently and professionally executed in accordance with

GAGAS either prescribed by a government’s Supreme Audit Institution with auditing standards approved by the Comptroller General of the United States, or the host country’s laws or adopted by the host country’s public accountants or associations of public accountants, together with generally accepted international auditing standards. However, foreign entity audits consistent with International Standards for Auditing or other auditing standards are acceptable with the

Grants Officer’s approval. More information can be found at https://www.gao.gov/assets/700/693136.pdf

For sub-non-Federal entities expending $750,000 or more in Department of State award funding during their fiscal year, Department of State standard audit provisions require that Prime non-

Federal entities certify that audits of sub-non-Federal entities are performed annually and according to the standards described above. The cost of audits required under this policy may be charged either as an allowable direct cost to the award OR included in the organizations established indirect costs in the award’s detailed budget.

O. COMPLIANCE WITH APPLICABLE FEDERAL FUNDING REGULATIONS AND DOS

TERMS AND CONDITIONS

Payment of funds awarded under this Notice of Funding Opportunity will not be disbursed until the DOS has been assured that the Recipient’s financial management system will provide effective control over and accountability for all Federal funds in accordance with 2 CFR 200 and

2 CFR 600 as applicable. Awards issued under this NOFO are subject to the Department of State

Standard Terms and Conditions (https://www.state.gov/wp-content/uploads/2019/10/U.S.-

Department-of-State-Standard-Terms-and-Conditions-10-01-2019508.pdf) and 2 CFR 200 and 2

CFR 600 as applicable.

APPLICATION REVIEW AND SELECTION PROCESS

A. APPLICATION EVALUATION CRITERIA

Achievable Objectives (30 points)

Each of the project objectives listed above (in Section I) are clearly addressed.

• Impact and Effectiveness: The applicant describes the project’s potential contribution to solving the problem addressed in the problem statement and achieving results.

• Timeframe: The applicant describes realistic results to be accomplished within the timeframe of the proposed award.

• Beneficiaries: The applicant clearly identifies the anticipated beneficiaries and explains how the project’s objectives will positively affect them.

• Milestones: The applicant provides realistic milestones to indicate progress toward goals and objectives as described in the program announcement.

• M&E: The applicant explains how monitoring and evaluation activities will be carried out throughout the award’s period of performance and who will be responsible for them.

• M&E: The applicant includes a final evaluation of the project at the completion of the award.

Project Design (30 points)

The applicant clearly describes how each proposed project activity will address each of the objectives outlined in the requested priority area above (Section I).

• Responsiveness to NOFO: Explain how the proposed activities respond to the objectives listed in the NOFO.

• Rationale: To justify how the proposed activities will achieve the above objectives in this context.

• Project Management: Clear description of how the project will be managed in terms of initiation, planning, implementation and closing.

• Partnerships and Buy-ins: The applicant addresses how the project will engage or obtain support from relevant stakeholders and identifies any local partners.

• Feasibility: The applicant proposes activities that are feasible, and are also practical, and/or experiential in nature to encourage innovation.

• Beneficiaries Selection Criteria and Process: The applicant explains how participants will be selected (e.g., criteria for selection, selection process).

• Duplication: The applicant acknowledges if activities similar to those proposed are already taking, or have taken place previously, and provides an explanation as to how proposed new activities will not duplicate or merely add to existing/recent activities.

• Contingency Plan: The applicant articulates programming assumptions and potential challenges to project implementation and proposes contingency plans.

• Division of Labor: The application describes the division of labor among the applicant and any partners.

• Marginalized Populations: The applicant identifies and addresses support for marginalized populations in all proposed activities and objectives and provides specific means for their inclusion.

• Gender Considerations: The applicant includes gender analysis in the project narrative that identifies relevant gender gaps and ways the proposed activities will address those gaps. Proposals should demonstrate how addressing relevant gender gaps will enhance the program’s goals and objectives and how the project will benefit both men and women.

• Program Logic: Is it theoretically sound? Do all elements of the logic model fit together showing plausible pathways to achieving project outcomes? Have all the key assumptions been identified and their potential influences described? Are the risks to implementation

(external factors) fully accounted for and described?

Organizational Capacity (30 points)

• The applicant demonstrates experience (e.g., has previously worked and/or has established contacts/partners) in the proposed country/territory/region.

• The applicant demonstrates an institutional record of successful programs in Micro, Small, Medium-Enterprise programming.

• The applicant demonstrates capacity for responsible fiscal management of donor funding

(e.g., successful management of a previous sub-award or grant).

• The applicant demonstrates the ability to meet monitoring and evaluation requirements.

• The applicant has adequate staffing and demonstrates the capacity to manage the proposed project.

• The applicant includes letters of intent/commitment/agreement from any proposed partners.

Staff and Position Specifications (10 points)

• Pre-identified key staff members, including volunteers, demonstrate experience working in the country/territory/region proposed, in the proposed content area, and with participants from that area (e.g., language skills, cultural understanding).

• A description of the roles of each person or position on the project – whether staff, partner, consultant, or volunteer – demonstrating that the project will be sufficiently staffed but will avoid redundancy or duplication of effort.

• A job description, including hiring criteria, is provided for each open key position.

• Applicant and/or partner staff have relevant language competencies.

Budget & Budget Narrative (Acceptable or Not Acceptable)

• The costs proposed are reasonable in relation to the proposed activities and anticipated results, which are clearly explained in the budget narrative.

• The budget provides details of calculations, including estimation methods, quantities, unit costs, and other similar quantitative detail sufficient for the calculation to be duplicated.

• The preponderance of the budget is spent on supporting the project participants/activities in country.

• The budget includes costs dedicated to management, monitoring, and evaluation, and any costs needed for further gender analysis and for addressing gender gaps.

• Adequate travel costs are proposed.

• Additional sources (cost-share or matching) for project funding are proposed, as well as an explanation of how those additional sources will be used.

• The budget demonstrates a reasonable cost per participant.

• The budget accounts for monitoring and evaluation costs.

P. REVIEW AND SELECTION PROCESS

NEA/AC is committed to ensuring a competitive and standardized process for awarding funding.

Applications will be screened initially in a Technical Eligibility Review stage to determine whether applicants meet the eligibility requirements outlined in Section V and have submitted all required documents outlined in Section VI. Applications that do not meet these requirements will not advance beyond the Technical Eligibility Review stage and will be deemed ineligible for funding under this NOFO.

NEA/AC reserves the right to have all applications deemed to be technically eligible undergo a

Subject Matter Expert (SME) review prior to the Merit Review Panel. Applications that do not pass SME review will not proceed to the Merit Review Panel.

All applications that proceed to the Merit Review Panel will be evaluated by U.S. government and non-governmental subject matter and/or country-specific experts and will be rated on a 100-point scale. Point values for individual elements of the application are presented in Section VIII.

Panel Reviewers’ ratings, and any resulting recommendations, are advisory.

Final award decisions will be influenced by whether the application meets NEA/AC’s programmatic goals and objectives, how it supports the Department’s overarching foreign policy priorities, and the geographic distribution of the top-ranking applications.

ADMINISTRATION INFORMATION

Q. AWARD NOTICES

Applicants who do not advance beyond the Technical Eligibility Review stage will be notified 30 business days after the closing of the announcement. The authorized representative and program point of contact listed on the SF-424 will receive the notification via email. If an applicant does not receive such a notification, their submission was put forward for review.

NEA/AC expects to notify applicants who proceeded past the Technical Eligibility Review stage about the status of their application by July 1, 2022. Final awards cannot be made until funds have been appropriated by Congress, allocated and committed through internal bureau procedures. Successful applicants will receive a Federal Assistance Award (FAA) from the bureau’s Grants Office. The FAA and the original proposal with subsequent modifications

(if applicable) shall be the only binding authorizing document between the recipient and the U.S.

Government. The FAA will be signed by an authorized Grants Officer and transmitted to the recipient’s responsible officer identified in the application. NEA/AC reserves the right to award funding to applicants under this announcement for a period of up to two years after the announcement’s close date.

R. REPORTING REQUIREMENTS

Reporting is critical to effective program management and oversight. Reports are required as a means of evaluating the recipient’s progress and utilization of resources. They are divided between a performance progress report and a financial status report.

Recipients will, at a minimum, be required to submit Quarterly Performance Reports (QPR) and a Quarterly Financial Report (QFR). The QPRs will compare actual to planned performance and indicates the progress made in accomplishing each assistance award tasks/goals noted in the grant agreement and will contain analysis and summary of findings, both quantitative and qualitative, for key indicators. The QFRs provide a means of monitoring expenditures and comparing costs incurred with progress.

Recipients must report immediately when a program…