NOFO - BESS Project - HCMC AQM Final 7.28.docx

U.S. DEPARTMENT OF STATE

BUREAU OF EAST ASIAN AND PACIFIC AFFAIRS (EAP)

U.S. Consulate Ho Chi Minh City Notice of Funding Opportunity (NOFO)

Announcement Type: New Announcement

Assistance Type: Grant

Funding Opportunity Title: Battery Energy Storage System Pilot (BESSP)

Funding Opportunity Number: ESF-HoChiMinh-FY2020-0102

Catalog of Federal Domestic Assistance (CFDA) Number: 19.124

Eligibility Category: U.S. non-profit/non-governmental organizations (NGOs) having a 501(c)(3) status with the IRS, overseas-based non-profit/non-governmental organizations, U.S. and overseas private/state institutions of higher education, and for-profit and commercial firms.

Executive Summary:

The U.S. Consulate in Ho Chi Minh City, Vietnam, announces this Notice of Funding Opportunity (“NOFO”) for Battery Energy Storage System (BESS) Pilot.

A grant for up to $2,962,000 U.S. Dollars (USD) in FY 2020 Economic Support Funds (ESF) will be awarded (pending availability of funds) for work that will support a battery energy storage pilot project in Vietnam. The period of performance is 4 years. Funding authority rests in the Foreign Assistance Act of 1961, as amended.

Priority Region: Vietnam

Contact Person: See Section G.

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

A. PROJECT DESCRIPTION

A.1. Background

Vietnam is aiming to reduce its reliance on coal while also struggling to increase its total energy supply. Though Vietnam has significantly increased its renewable energy production over the past few years, it has been unable to take full advantage of increased production due to grid limitations. Battery energy storage options would be an effective method of addressing Vietnam’s grid deficiencies. Demonstrating the commercial viability of battery energy storage systems (BESS) could increase Vietnam’s use of renewable energy while simultaneously reducing its greenhouse gas emissions and reliance on coal.

A2. Program Goals

· Demonstrate the commercial viability of a BESS for renewable energy in Vietnam.

· Reduce curtailment of renewable energy production due to oversupply at non-peak hours.

· Showcase battery storage technology and opportunities for U.S. equipment, technology, and service exports.

· Demonstrate integration of stored energy into Vietnam’s electrical grid.

· Provide a pilot for the sale of stored energy into Vietnam’s electrical grid.

· The project should demonstrate U.S. leadership and commitment to Vietnam’s energy security and allow for the sharing of best practices in terms of equipment and technology.

A3. Expected Results

· Successful implementation of a BESS would minimize the need for the Vietnamese national power authority to curtail energy supply due to grid deficiencies and result in the increased use of renewable energy in Vietnam.

· Renewable energy suppliers, both within Vietnam and regionally, provide a greater percentage of Vietnam’s energy supply, as storage systems for renewables become more common, lowering costs and increasing availability renewable energy.

· Increased availability and use of renewable energy decreases Vietnam’s reliance on carbon producing energy sources such as coal and other fossil fuels.

A4. Main Activities

To achieve the goals and expected results, the program could include the following:

· Selection and purchase of a battery energy storage system (BESS), including all related software and hardware systems required for the BESS to be fully operational.

· Installation of a BESS at or near a renewable energy source producer/ industrial zone.

· A public awareness campaign aimed at increasing understanding of the importance of renewable energy and the role that BESS play in making renewables more cost effective and efficient.

· Phase 1: The public awareness campaign could include an announcement of the project on social media, and/or a website created on the pilot project, serving as a platform for interested parties to register and follow stages of implementation.

· An inauguration ceremony: the installation of the BESS should be marked with U.S. leadership presence to celebrate USG commitment to work with Vietnam in helping stabilize its grid and in exploring options to integrate more renewables into its energy matrix. The launch event could include think tanks, private energy companies’ representatives, and representatives from Vietnamese energy utilities.

· Phase 2: Following three months or six months after the storage project is installed and data is gathered integrating the stored energy into the grid, a second event could be convened to share data on energy stored, used, and excess energy that is re-sold. Lessons learned can be highlighted to share best practices going forward.

· Phase 3: At the 1 year mark, a final public awareness event could be convened re-capping milestones met, sharing energy storage and consumption data, and on developments on more broadly applying storage to other projects in Vietnam.

· Once installed and running, the pilot could be a demonstration project that will share data on how the BESS saves energy, and in turn results in financial savings to renewable energy producers.

· End-use training ensuring that the BESS operator is fully prepared to maintain and operate the facility.

· Sessions on engagement/ training could entail the following:

Training for Energy Suppliers:

· The process of finding a BESS suitable for various sized projects/ facilities.

· Discussions on working with the Vietnamese authorities on integrating stored energy into the grid.

· A training on software available to analyze data on the efficiency of storage systems, and analysis on how to determine how much energy is stored and how much is either sold back to the grid or consumed (that otherwise would have been lost without a BESS).

· Training on how to continue and maintain operations of the BESS

Training for Vietnamese Government:

· Working with the government on streamlining a process to supply stored energy to the grid, such as producing a standard purchase arrangement for storage.

· Analyzing data to review optimal times to use stored energy, how best to integrate stored energy into grid.

· Training on how best to store data from BESS storage projects going forward especially as more BESS projects will likely be integrated, and how to assess successful implementation and how to use metrics to calculate how much more renewable energy is deployed that otherwise would have been ‘wasted’ due to grid deficiencies. Assessment can be made regarding where to prioritize future BESS projects.

A5. Performance Indicators

The project should monitor and report on performance indicators that are specific, measurable, achievable, reasonable, and time-bound. Establish, where possible, performance baseline data and expected performance targets for each expected result, and include details on what sources of data will be used to document performance, how the indicators will be measured, frequency of measurement, and units of measure. Where possible, indicators should also allow for sex disaggregation. Indicators should reflect key project outputs or outcomes that reflect on the primary goals or objectives of the project and that the implementer can collect with high quality data.

Applicants must fill out the table below and insert it into the proposal document. Additional non-Department of State (DOS) indicators may be added that are relevant to the project by adding rows to the chart.

All applicable indicators should be included in the proposal and subsequent to the award, routine, periodic reporting of all indicators will be required. The implementer will be responsible for quarterly progress reporting on each performance indicator included in the award agreement as well as analysis of progress or impediments to reach indicator targets.

The following are required indicators. Applicants are welcome to propose other indicators relevant to the primary objectives and expected results of the project.

The following are suggested indicator/s for this project:

B. FEDERAL AWARD INFORMATION

B.1. Available Funding

The U.S. Consulate in Ho Chi Minh City anticipates having approximately $2,962,000 of FY20 Economic Support Funds (ESF) available to support one successful application submitted in response to this NOFO, subject to the ability of funding. The authority for this funding opportunity is found in the Foreign Assistance Act of 1961, as amended (FAA).

Applicants should include an anticipated start date between August and September 2021 and the period of performance should be 4 years.

The Department of State may make award(s) on the basis of initial applications received, without discussions or negotiations. Therefore, each initial application should contain the applicant's best terms from a cost and technical standpoint. The Department of State reserves the right (though it is not under obligation to do so), however, to enter into discussions with one or more applicants in order to obtain clarifications, additional detail, or to suggest refinements in the project description, budget, or other aspects of an application.

Depending on the quality of performance and other factors, the U.S. Consulate in Ho Chi Minh City may consider additional supplemental funding to continue activities and extend the period of performance, if funds are available and the U.S. Consulate in Ho Chi Minh and the Recipient mutually agree.

Summary of Award Information

This notice is subject to availability of funding.

B2. Award Management

The successful applicant awarded under this NOFO may need to routinely collaborate with the U.S. Department of State.

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

C. ELIGIBILITY INFORMATION

C.1 Eligible Applicants

The following organizations are eligible to apply:

· U.S. Non-profit/non-governmental organizations (NGOs) having a 501(c)(3) status with the IRS.

· overseas-based non-profit/non-governmental organizations.

· U.S. and overseas private/state institutions of higher education.

· for-profit and commercial firms.

Technically eligible submissions are those which: 1) arrive electronically to www.Grants.Gov or by email to Nhu Vu at vunb@state.gov by the designated deadline; 2) have heeded all instructions contained in the Notice of Funding Opportunity (NOFO), including registrations and length and completeness of submission; and 3) do not violate any of the guidelines stated in the solicitation and this document.

Please see 2 CFR 200.307 for regulations regarding program income.

C.2 Cost Sharing or Matching

Providing cost sharing, matching, or cost participation is not an eligibility requirement for this NOFO.

Please note: If cost-share is included in the budget then the recipient must maintain written records to support all allowable costs that are claimed as its contribution to cost-share, as well as costs to be paid by the Federal government. Such records are subject to audit. In the event the recipient does not meet the minimum amount of cost-sharing as stipulated in the recipient’s budget, the Department of State’s contribution may be reduced in proportion to the recipient’s contribution.

C.3 Other Eligibility Requirements

In order to be eligible to receive an award, all organizations must have a unique entity identifier (Data Universal Numbering System/DUNS number from Dun & Bradstreet), as well as a valid registration on www.SAM.gov. Please see Section D.3 for information on how to obtain these registrations.

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

Organizations must have a commitment to equal opportunity employment practices and to non-discrimination practices with regard to beneficiaries, without regard to race, religion, ethnicity, gender, sexual orientation, or political affiliation Organizations may only submit one application per organization. If more than one application is submitted by an organization, only the first application received from that institution will be reviewed for eligibility and funding.

D. APPLICATION AND SUBMISSION INFORMATION

D.1 Address to Request Application Package

Applicants can find application forms and other materials need to apply on Grants.gov under the announcement title and funding opportunity number provided above.

Applicants are able to apply electronically at www.Grants.gov or by email to Nhu Vu at vunb@state.gov by the designate deadline.

Please contact the point of contact listed in section G if requesting reasonable accommodations for persons with disabilities or for security reasons. Please note: reasonable accommodations do not include deadline extensions.

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

D.2 Content and Form of Application Submission

Any prospective applicant who has questions concerning the contents of this NOFO should submit them by email to the point of contact listed in section G. Please refer to the funding opportunity number. Any updates about this NOFO will also be posted on www.Grants.gov.

Please follow all instructions below carefully. Applications that do not meet the requirements of this announcement or fail to comply with the stated requirements will be ineligible.

For all submitted application documents, please ensure:

· The proposal clearly addresses the goals and objectives of this funding opportunity

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

· All budget costs are in U.S. dollars;

· All pages are numbered, including budgets and attachments;

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

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

Complete applications must include the following required documents:

1. Completed and signed SF-424, SF-424A, and SF-424B and SF-LLL forms. These forms are available electronically via Grants.gov. The SF-424 B is required only for those applicants who have not registered in SAM.gov or recertified their registration in SAM.gov since February 2, 2019 and completed the online representations and certifications. The SF-LLL is required for applicants that may engage in lobbying activities.

2. Summary Page: Cover sheet stating the applicant name and organization, proposal date, program title, program period proposed start and end date, and brief purpose of the program.

3. Table of Contents that includes a page numbered contents page and any attachments.

4. Proposal Narrative (not to exceed 10 pages), should be organized using the following section headings: Executive Summary, Organizational Capacity and Past Performance, Program Strategy, Performance Monitoring and Evaluation, and Management Plan. Please see the “Narrative Components” section below for details on the information to include in the proposal.

(The 10-page limit does not include the Summary Page, Table of Contents, Budget, Budget Narrative, Letter of Disclosure, Letter of Institutional Support, NICRA, Audit, CVs, or SF-424s).

5. Summary and Detailed Line-Item Budget (in Microsoft Excel) that includes three [3] columns including the request to DOS, any cost sharing contribution, and total budget (see below for more information on budget format). The federal share requested should not exceed the amount of funds available under section B. A summary budget should also be included using the OMB approved budget categories (see SF-424A for budget categories). Costs must be in U.S. dollars. Detailed line-item budgets for sub-awardees should be included in additional tabs within the excel workbook. A template budget is provided, but is not required, as long as the submitted budget follows OMB budget categories.

6. Budget Narrative (in Microsoft Word) that includes substantive explanations and justifications for each line item in the detailed budget spreadsheet, as well as the source and a description of all cost-share offered. For ease of review, DOS recommends applicants order the budget narrative as presented in the detailed budget. Personnel costs must include a clarification of the roles and responsibilities of all staff, base salary, and percentage of time devoted to the project. The budget narrative should support the activities described in the proposal and provide additional information that might not be readily apparent in the detailed-line item budget, not simply repeat what is represented numerically in the budget, i.e. salaries are for salaries or travel is for travel. The budget narrative should also explain any cost share provided.

7. NICRA: If your organization has a Negotiated Indirect Cost Rate Agreement (NICRA) and includes NICRA charges in the budget, your most recent NICRA should be included as a PDF file. This document will not be reviewed by the panelists, but rather used by project and grant staff if the submission is recommended for funding and therefore does not count against the submission page limitations. If your proposal involves subawards to organizations charging indirect costs, please submit the applicable NICRA.

Per 2 CFR200.414(f), organizations that have never had a NICRA may request a de minimis indirect rate of up to 10% of the Modified Total Direct Costs (MTDC) as defined in 2 CFR 200.68. MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward in excess of $25,000. The budget narrative should indicate what costs will be covered using the 10% de minimis rate.

8. Letter of Disclosure for proposed consultants/personnel (if applicable) of potential conflicts of interest, employment with a local/state/federal government.

9. A PDF file copy of your organization’s most recent single audit is required, if your organization meets the threshold as defined in 2 CFR 200 Subpart F.

Narrative Components As stated above, the proposal may be a maximum of 10 pages. The proposal must include the following information:

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

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

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

· Discuss the applicant’s experience in operating, developing, and maintaining energy projects including renewable energy projects or the design, construction, or installation of battery energy storage systems, experience interacting with energy regulators in Vietnam, and experience completing energy-related projects in Vietnam.

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

c. Program Strategy

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

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

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

Activity 123

Etc.

d. Performance Monitoring and Evaluation Plan

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

e. Management Plan

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

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

· Recognizing that COVID-19 has limited where and when staff/participants can travel, the Recipient should also include a contingency plan should restricted travel remain through some portion of the period of performance. Contingency plans could include remote or virtual training tools.

Note: Applications that do not include all required documents will be marked as incomplete, and will therefore be deemed technically ineligible.

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

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

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

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

All organizations applying for grants must obtain these registrations. All are free of charge:

· Unique Entity Identifier from Dun & Bradstreet (DUNS number)

· NCAGE/CAGE code

· www.SAM.gov registration

Step 1: Apply for a DUNS number and an NCAGE number (these can be completed simultaneously)

DUNS application: Organizations must have a Data Universal Numbering System (DUNS) number from Dun & Bradstreet. If your organization does not have one already, you may obtain one by calling 1-866-705-5711 or visiting http://fedgov.dnb.com/webform

NCAGE application: Application page here: https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx

Instructions for the NCAGE application process:

https://eportal.nspa.nato.int/AC135Public/Docs/US%20Instructions%20for%20NSPA%20NCAGE.pdf

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

Step 2: After receiving the NCAGE Code, proceed to register in SAM.gov by logging onto: https://www.sam.gov. SAM registration must be renewed annually.

Applicants must have an active registration in SAM (www.sam.gov) prior to submitting an application, must prove a valid Unique Entity Identifier (UEI) number, formerly referred to as a DUNS number, and must continue to maintain an active SAM.gov registration with current information at all times during which it has an active Federal award or an application or plan under consideration by the U.S. government. If an organization does not have an active registration in SAM.gov prior to submitting an application, the application will be deemed ineligible. Note: The process of obtaining a SAM.gov registration may take anywhere from 4-8 weeks. Please begin your registration as early as possible.

The Unique Entity Identifier (UEI) is one of the data elements mandated by Public Law 109-282, the Federal Funding Accountability and Transparency Act (FFATA), for all Federal awards. SAM is the Federal government's primary database for complying with FFATA reporting requirements. OMB designated SAM as the central repository to facilitate applicant and recipient use of a single public website that consolidates data on all federal financial assistance. Under the law, it is mandatory to obtain a UEI number and register in SAM.

SAM requires all entities to renew their registration once a year in order to maintain an active registration status in SAM. It is the responsibility of the applicant to ensure it has an active registration in SAM and to also maintain its active registration in SAM.

An exemption from this requirement may be permitted on a case-by-case basis if the applicant’s identity must be protected due to possible endangerment of their mission, their organization’s status, their employees, or individuals being served by the applicant. Organizations requesting an exemption should email the point of contact listed in Section G of this NOFO.

Please note: foreign organizations will be required to register with the NATO Support Agency (NSPA) to receive a NATO Commercial and Government Entity (NCAGE) code in order to register in SAM. NSPA will forward your registration request to the applicable National Codification Bureau (NCB) if your organization is located in a NATO or Tier 2 Sponsored Non-NATO Nation. (As of January 2015, NATO nations included Albania, Belgium, Bulgaria, Canada, Croatia, Czech Republic, Denmark, Estonia, France, Germany, Greece, Hungary, Iceland, Italy, Latvia, Lithuania, Luxembourg, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Turkey, United Kingdom, and the United States of America; and Tier 2 nations included Australia, Austria, Brazil, Finland, Israel, Republic of Korea, Malaysia, Morocco, New Zealand, Serbia, and Singapore.)

NSPA and/or the appropriate NCB forwards all NCAGE code information to all Allied Committee 135 (AC/135) nations, which as of January 2015 also included Afghanistan, Argentina, Bosnia & Herzegovina, Brunei Darussalam, Chile, Colombia, Egypt, Georgia, India, Indonesia, Japan, Jordan, Montenegro, Oman, Papua New Guinea, Peru, Saudi Arabia, South Africa, Sweden, Thailand, Republic of Macedonia, Ukraine, and the United Arab Emirates.

D.4 Submission Dates and Times

Applications are due no later than 11:59 p.m. Eastern Daylight Time (EDT) on August 06, 2021.

Applicants are urged to begin the application process well before the submission deadline. No exceptions will be made for organizations that have not completed the necessary steps.

Applications received after the deadline will not be considered.

Grants.gov automatically logs the date and time an application submission is made and emailed applications also log date and time an application is submitted. The Department of State will use this information to determine whether an application has been submitted on time. Late applications are neither reviewed nor considered.

If ultimately provided with a notification of intent to make a Federal award, applicants typically have two to three weeks to provide additional information and documents requested in the notification of intent. The deadlines may vary in each notification of intent and applicants must adhere to the stated deadline in the notification of intent.

D.5 Funding Restrictions

The Department of State will not consider applications that reflect any type of support for any member, affiliate, or representative of a designated terrorist organization. No entity listed on the Excluded Parties List System in SAM is eligible for any assistance.

Project activities that provide training or other assistance to foreign militaries or paramilitary groups or individuals will not be considered for DOS funding given purpose limitations on funding.

The Leahy Law prohibits Department foreign assistance funds from supporting foreign security force units if the Secretary of State has credible information that the unit has committed a gross violation of human rights. Per 22 USC §2378d(a) (2015), “No assistance shall be furnished under this chapter [FOREIGN ASSISTANCE] or the Arms Export Control Act [22 USC 2751 et seq.] to any unit of the security forces of a foreign country if the Secretary of State has credible information that such unit has committed a gross violation of human rights.” Restrictions may apply to any proposed assistance to police or other law enforcement. Among these, pursuant to section 620M of the Foreign Assistance Act of 1961, as amended (FAA), no assistance provided through this funding opportunity may be furnished to any unit of the security forces of a foreign country when there is credible information that such unit has committed a gross violation of human rights. In accordance with the requirements of section 620M of the FAA, also known as the Leahy law, project beneficiaries or participants from a foreign government’s security forces may need to be vetted by the Department before the provision of any assistance.

If a proposed grant or cooperative agreement will provide assistance to foreign security forces or personnel, compliance with the Leahy Law is required. Federal awards generally will not allow reimbursement of pre-award costs; however, the Grants Officer may approve pre-award costs on a case-by-case basis. Generally, construction costs are not allowed under DOS awards.

The following activities and costs are not covered under this announcement:

· Construction is not an allowable activity under this award.

· Activities that appear partisan or that support individual or party electoral campaigns.

· Direct support or the appearance of direct support for any religious organization, to include repair or building of structures used for religious purposes.

· Military assistance of any kind, including weapons buy-back or rewards programs.

· Purchase of firearms, ammunition, or removal of unexploded ordnances.

· Para-police (i.e., militias, neighborhood watch, security guards) and prison-related projects. This restriction includes no funding of any secondary need in a law-enforcement organization.

· Payments for any partner government, military, or civilian government employee salary or pension.

· Duplication of services immediately available through municipal, provincial, or national government.

· Funds for market research, advertising (unless public service related to grant program), or other promotional expenses.

· Expenses made prior to the approval of a proposal or unreasonable expenditures will not be reimbursed.

· Charitable or development activities;

· Fund-raising campaigns;

· Lobbying for specific legislation or projects;

· Scientific research;

· Projects intended primarily for the growth or institutional development of the organization;

· Projects seeking funds for personal use;

· Projects that require a participation fee.

Representation by Organization Regarding a Delinquent Tax Liability or a Felony Criminal Conviction: In accordance with section 7073 of Division K of the Consolidated Appropriations Act, 2014 (Public Law 113-76) none of the funds made available by that Act may be used to enter into an assistance award with any organization that –

(1) Was “convicted of a felony criminal violation under any Federal law within the preceding 24 months, where the awarding agency has direct knowledge of the conviction, unless the agency has considered, in accordance with its procedures, that this further action is not necessary to protect the interests of the Government”; or

(2) Has any “unpaid Federal tax liability that has been assessed for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability, unless the Federal agency has considered, in accordance with its procedures, that this further action is not necessary to protect the interests of the Government.”

For the purposes of Section 7073, it is the Department of State’s policy that no award may be made to any organization covered by (1) or (2) above, unless the Procurement Executive has made a written determination that suspension or debarment is not necessary to protect the interests of the Government.

D.6 Other Submission Requirements

All application submissions must be made either electronically through Grants.gov or by email to Nhu Vu at vunb@state.gov.

DOS bears no responsibility for disqualification that result from applicants not being registered before the due date or for data errors resulting from transmission or conversion processes. Additionally, you must save a screen shot of the checklist showing all documents submitted in case any document fails to upload successfully.

Faxed or couriered applications will not be accepted. Reasonable accommodations may, in appropriate circumstances, be provided to applicants with disabilities or for security reasons.

Applicants must follow all formatting instructions in the applicable solicitation and these instructions.

It is the responsibility of the applicant to ensure that it has an active registration in Grants.gov and that an application has been received by the system in its entirety.

Organizations new to Grants.gov: In order to register to use Grants.gov, an organization must complete a number of steps, which include those registration requirements listed in D3. Completing all of these steps can take up to 4 weeks, especially for an international organization.

E. APPLICATION REVIEW INFORMATION

E.1 Criteria

Each application will be evaluated and scored on the five-part Proposal Components and the two-part Budget Components using a 100-point scale. Each application will be evaluated individually against the criteria below and not against competing applications.

Proposal Narrative: The Review Panel will score each of the five sections of the Proposal Narrative based on how completely they address the bulleted points described in the Proposal Narrative Guidance in Section D2. The Panel will assign up to 80 points for the proposal narrative. The importance of each section is indicated by the maximum score as follows:

· Executive Summary – 10 points

· Organization Capacity and Past Performance – 20 points

· Program Strategy – 25 points

· Performance Monitoring and Evaluation – 15 points

· Management Plan – 10 points

Budget: The Review Panel will also review the budget components in order to assign up to 20 points for the overall program budget and cost-effectiveness. Proposals should keep estimated overhead and administrative costs as low as possible and have proposed expenditures that are reasonable, allowable, and allocable to the proposed project activities and reflect the applicant’s understanding of the allowable cost principles established by Office of Management and Budget (OMB) in 2 CFR 200. Applicants should provide clear explanations and justifications for costs in relation to the work involved. All budget items should be clearly explained and justified to demonstrate its necessity, appropriateness, and its link to the project objectives. Amount of funding contributed by the applicant, sub-awardees, and other partners – while not required – shows a commitment to the success of the project.

· Budget Appropriateness – 10 points

· Cost-effectiveness – 10 points

E.2 Review and Selection Process

DOS strives to ensure each application receives a balanced evaluation by a Review Panel. All technically eligible applications for a given notice of funding opportunity are reviewed against the same criteria, listed above. Additionally, the Review Panel will evaluate how the application addresses the NOFO request, U.S. foreign policy goals, and the priority needs of DOS-EAP overall.

The Review Panel generally includes representatives from the Department of State, and may include additional panelists from U.S. embassies, other U.S. government departments or agencies. All Panelists must sign non-disclosure agreements and conflicts of interest agreements.

Review Panels may provide conditions and recommendations on applications to enhance the proposed project, which must be addressed by the applicant before further consideration of the award. To ensure effective use of DOS funds, conditions or recommendations may include requests to increase, decrease, clarify, and/or justify costs and project activities.

E.3 Federal Awardee Performance & Integrity Information System

The Department of State, prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold, is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313).

The applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM.

The Department of State will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in §200.205 Federal awarding agency review of risk posed by applicants.

F. FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 Federal Award Notices

The U.S. Consulate in Ho Chi Minh City will provide a separate notification to applicants on the result of their applications. Successful applicants will be notified by the consulate via email. This notification is not an authorization to begin activities and does not constitute formal approval or a funding commitment.

Additional information that successful applicants may be asked to submit after notification of intent to make a Federal award, but prior to issuance of a Federal award, may include:

· Written responses and any revised application documents addressing any conditions or recommendations from the Review Panel;

· Completion of the Department’s Financial Management Survey, if receiving DOS funding for the first time or requested by the Grants Officer;

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

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

The grant award or cooperative agreement will be written, signed, awarded, and administered by the warranted Grants Officer. The signed assistance award agreement is the sole authorizing document and it will be provided via email to the recipient’s authorized signatory for review and signature. The recipient may only start incurring program expenses beginning on the start date show on the award document signed by the Grants Officer.

If a proposal is selected for funding, the Department of State has no obligation to provide any additional future funding. Renewal of an award to increase funding or extend the period of performance is as the discretion of the Department of State.

F.2 Administrative and National Policy Requirements

Before submitting an application, applicants should review all the terms and conditions and required certifications which will apply to this award, to ensure that they will be able to comply.

These include:

· 2 CFR 25 - UNIVERSAL IDENTIFIER AND SYSTEM FOR AWARD MANAGEMENT

· 2 CFR 170 - REPORTING SUBAWARD AND EXECUTIVE COMPENSATION INFORMATION

· 2 CFR 175 - AWARD TERM FOR TRAFFICKING IN PERSONS

· 2 CFR 182 - GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE (FINANCIAL ASSISTANCE)

· 2 CFR 183 - NEVER CONTRACT WITH THE ENEMY

· 2 CFR 600 – DEPARTMENT OF STATE REQUIREMENTS

· U.S. DEPARTMENT OF STATE STANDARD TERMS AND CONDITIONS

In accordance with the Office of Management and Budget’s guidance located at 2 CFR part 200, all applicable Federal laws, and relevant Executive guidance, the Department of State will review and consider applications for funding, as applicable to specific programs, pursuant to this notice of funding opportunity in accordance with the following: NOTE:

· President’s September 2, 2020 memorandum, entitled Memorandum on Reviewing Funding to State and Local Government Recipients of Federal Funds that Are Permitting Anarchy, Violence, and Destruction in American Cities;

· Executive Order on Protecting American Monuments, Memorials, and Statues and Combating Recent Criminal Violence (E.O. 13933); and

· Guidance for Grants and Agreements in Title 2 of the Code of Federal Regulations (2 CFR), as updated in the Federal Register’s 85 FR 49506 on August 13, 2020, particularly on:

· Selecting recipients most likely to be successful in delivering results based on the program objectives through an objective process of evaluating Federal award applications (2 CFR part 200.205),

· Prohibiting the purchase of certain telecommunication and video surveillance services or equipment in alignment with section 889 of the National Defense Authorization Act of 2019 (Pub. L. No. 115—232) (2 CFR part 200.216),

· Promoting the freedom of speech and religious liberty in alignment with Promoting Free Speech and Religious Liberty (E.O. 13798) and Improving Free Inquiry, Transparency, and Accountability at Colleges and Universities (E.O. 13864) (§§ 200.300, 200.303, 200.339, and 200.341),

· Providing a preference, to the extent permitted by law, to maximize use of goods, products, and materials produced in the United States (2 CFR part 200.322), and

· Terminating agreements in whole or in part to the greatest extent authorized by law, if an award no longer effectuates the program goals or agency priorities (2 CFR part 200.340).

Applicants should plan to coordinate with DOS throughout the course of the agreement to ensure assistance is provided only to eligible participants.

F.3. Payment Method

Request for Payment will be submitted through a SF-270. Payments shall be disbursed via EFT upon receipt of a signed SF-270 form and required reporting.

F.4 Reporting

Recipients will be required to complete regular financial reports and program progress reports.

Please note that all substantiating documentation supporting reporting and data collected, including survey responses and contact information, must be maintained for a minimum of three years and provided to the Department of State upon request. All reports must be written in English

1. Financial Reports: The recipient will be required to submit quarterly financial reports through the project period. The Federal Financial Report (FFR SF-425) is the required form for the financial reports. Financial reports are due 30 calendar days after the end of each reporting period and can be found on Grants.gov.

Foreign Assistance Data Review: As required by Congress, the Department of State must make progress in its efforts to improve tracking and reporting of foreign assistance data through the Foreign Assistance Data Review (FADR). The FADR requires tracking of foreign assistance activity data from budgeting, planning, and allocation through obligation and disbursement. Successful applicants will be required to report and draw down federal funding based on the appropriate FADR Data Elements, indicated within their award documentation. In cases of more than one FADR Data Element, typically program or sector and/or regions or country, the successful applicant will be required to maintain separate accounting records.

2. Progress Reports: The recipient will be required to submit quarterly narrative progress reports. Progress reports are due 30 days after the end of the reporting period. Where relevant, progress reports should include the following information:

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

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

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

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

· An update on expenditures during the reporting period; and

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

· Performance indicator results and supporting documentation

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

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

3. Final Report: A final narrative report and financial report will be required within 120 days after the completion of the award. The final narrative should include an in-depth impact assessment and/or project evaluation.