NOFO- Colombia final.docx

U.S. DEPARTMENT OF STATE

Bureau of Oceans and International Environmental and Scientific Affairs’ (OES) Office of Environmental Quality (ENV) Notice of Funding Opportunity

Funding Opportunity Title: Technical Improvements and Training for Mercury-free Gold Extraction Funding Opportunity Number: SFOP0009620 Deadline for Applications: 11:59 PM EST July 3rd , 2023 Assistance Listing Number: 19.017 Total Amount Available: $400,000 USD

For questions on technical content contact:

Jane Dennison, Ph.D.

Bureau of Oceans and International Environmental and Scientific Affairs DennisonJE@state.gov 202-647-6880

A. PROGRAM DESCRIPTION

A.1 Summary

The Bureau of Oceans and International Environmental and Scientific Affairs (OES) Office of Environmental Quality (ENV) of the U.S. Department of State announces an open competition for organizations to submit applications to carry out a project to improve technical aspects of mercury-free gold processing in the artisanal and small-scale gold mining sector. The country of focus is Colombia. Please follow all instructions below.

Priority Region: South America - specifically, Colombia with potential expansion to Peru and Brazil in following years if funding allows.

Priority Areas within Colombia: Choco, Antioquia, and Bolivar

Participants and Audiences:

Members of the ASGM sector and other stakeholders in Colombia with the potential to expand to Peru and Brazil should additional funding be made available.

A.2 Background:

Mercury is a potent neurotoxin, dangerous environmental pollutant, and major public health hazard. It is estimated that 70 percent of the total mercury deposited in the United States comes from global sources. The largest source of mercury emissions is the artisanal and small-scale gold mining (ASGM) sector. Mercury amalgamation has limited efficiency (around 45%) and is used in ASGM because it is a fast and easy method to extract gold. However, low extraction efficiency incentivizes further clearing of tropical forest and dragging riverbed banks in alluvial mining.

Mercury-free processing of gold ore has made slow but steady improvements over the last decade, primarily using gravimetric, chemical (cyanide), and flotation technologies. There have been successful demonstrations, especially with hard rock mining, showing that mercury-free techniques can extract at least as much gold when compared to extraction with mercury. However, those demonstrations are more difficult with alluvial mining. There has also been an increase in the re-processing of mercury-contaminated tailings using cyanide – a worst practice under the Minamata Convention on Mercury. Improved or innovative mercury-free methods with higher proven extraction rates of gold at an affordable cost will attract miners and reduce mercury use while minimizing impacts to human health and the environment.

A.3 Project Objectives:

This project is intended to support the implementation of the Minamata Convention on Mercury by reducing the use of mercury in ASGM through piloting promising technologies for alternative extraction techniques for use in the ASGM context. This includes alluvial and/or hard rock mining and the extraction of mercury and gold from ASGM tailings. The successful application must demonstrate that the technology (or technologies) it is piloting has already undergone significant study and is promising for widespread use in developing countries. This grant opportunity is not intended to fund research but is meant to take technologies from promising small-scale pilots to application in ASGM communities with the potential for broader uptake within those communities.

The application should discuss how the proposed technology would meet the criteria outlined above and the following criteria:

Mercury-Free Mining and Tailings Extraction Technologies:

a) Low fixed cost per unit – for potential uptake.

b) Low maintenance/variable cost + tropical weather resistance. The longer the device’s lifespan, the lower the fixed cost over time, and the more willingness to adopt it.

c) High Mobility (especially important in alluvial mining) - to avoid loss in remote and difficult environments or becoming a target for criminals.

d) Ease of operation - to encourage adoption.

e) Specific to tailings: Captures mercury in a way that is easy to transport and handle, with minimum contribution to hazardous waste generation.

A.4 Expected Results:

Results could include the following:

· New technologies are field tested/piloted and demonstrated to achieve equal or better gold recoveries (lab tested) than when mercury is used.

· Miners adopt and are trained in the use of mercury-free mining technology.

· The sustainable supply chain for equipment or other supplies needed to support the use of the technology is developed once it has been proven successful and there is sufficient interest from miners and other stakeholders.

A.5 Main Activities:

To achieve the goals and expected results, the program could include activities from the list below. Please note that these are intended to guide the applicant and are not compulsory or exclusive. The applicant may include other activities in its proposal towards this project’s intended goal and is encouraged to provide explanations for its rationale, which will also serve as evidence of the applicant’s experience.

· Demonstrating mercury-free mining processes and equipment to miners, preferably through side-by-side comparisons with processing that uses mercury.

· Train-the-trainer efforts to disseminate how to use the technology, including training for the Colombian government agency responsible for training the ASGM sector or any other equivalent.

· Providing technical assistance to help national/subnational governments and customary leaders establish or improve regulations and/or create national and/or local action plans to control mercury use in ASGM.

· Development of a supply chain for the equipment and supplies needed for the successful technology.

· An analysis of the impact of the successful technology on regulatory frameworks and suggestions for appropriate changes.

A.6 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. See section F.3 for more information. An optional monitoring template has been included as an attachment to this award announcement.

· Additional indicators for this project could include:

· Number of people trained in mercury-free gold processing.

· Amount of mercury-free gold produced as directly contributable to project activities.

· Number of orders for mercury-free processing equipment.

· Laws and/or regulations at national or sub-national level on ASGM drafted and/or submitted.

B. FEDERAL AWARD INFORMATION

Length of performance period: 36 months Number of awards anticipated: 1 award Total available funding: $400,000 USD Type of Funding: FY22 Economic Support Funds under the Foreign Assistance Act Anticipated project start date: September 29th, 2023

This notice is subject to availability of funding.

Primary organizations can submit 1 application in response to the NOFO. If an applicant submits multiple applications to this NOFO, only the first timestamped application will be considered for review.

The U.S. government may: (a) reject any or all applications, (b) accept other than the lowest cost application, (c) accept more than one application, and (d) waive irregularities in applications received.

The U.S. government 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 U.S. government reserves the right (though it is under no 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.

OES anticipates awarding cooperative agreement depending on the needs and risk factors of the program. The final determination on award mechanism will be made by the Grants Officer. The distinction between grants and cooperative agreements revolves around the existence of “substantial involvement.” Cooperative agreements require greater Federal government participation in the project. If a cooperative agreement is awarded, OES will undertake reasonable and programmatically necessary substantial involvement. Examples of substantial involvement can include, but are not limited to:

1. OES will review data from pilot studies on gold (and mercury, if appropriate) recoveries, equipment mobility and costs, and potential for miner adoption before the project proceeds with follow-on activities such as supply chains for equipment, training on use and maintenance of the equipment, dissemination of results with stakeholders and any other activities that depend on positive results.

To maximize the impact and sustainability of the award(s) that result from this NOFO, OES retains the right to execute non-competitive continuation amendment(s). The total duration of any award, including potential non-competitive continuation amendments, shall not exceed 54 months, or four and a half years. Any non-competitive continuation is contingent on performance and pending availability of funds. A non-competitive continuation is not guaranteed, and the Department of State reserves the right to exercise or not to exercise this option.

C. ELIGILIBITY INFORMATION

C.1 Eligible Applicants

The following organizations are eligible to apply:

Eligibility is limited to U.S. non-profit/nongovernmental organizations subject to section 501 (c) (3) of the U.S. tax code, foreign non-profit organizations, and public international organizations.

Technically eligible submissions are those which: 1) arrive electronically to www.grants.gov or https://mygrants.service-now.com 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.

Applicants must submit evidence of expertise and a proven track record in the development of processing technologies for the extraction of gold (and mercury, where applicable) for artisanal and small-scale gold mining. In addition, they must provide evidence of experience working in Colombia and relevant partners and contacts.

C.2 Cost Sharing or Matching

Providing cost sharing, matching, or cost participation is not an eligibility factor or requirement for this NOFO and providing cost share will not result in a more favorable competitive ranking. Per 2 CFR §200.306, items that are proposed for cost share must be allowable per 2 CFR §200, Subpart E—Costs Principles.

C.3 Other Eligibility Requirements

Any applicant listed on the Excluded Parties List System in the System for Award Management (SAM.gov) (www.sam.gov) and/or has a current debt to the U.S. government 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 or person listed on the Excluded Parties List System in SAM.gov can participate in any activities under an award. All applicants are strongly encouraged to review the Excluded Parties List System in SAM.gov to ensure that no ineligible entity or person is included in their application.

D. APPLICATION AND SUBMISSION INFORMATION

D.1 Address to Request Application Package

Applicants can find application forms, kits, or other materials needed to apply on www.grants.gov and SAMS Domestic (https://mygrants.servicenowservices.com) under the announcement title “Technical Improvements and Training for Mercury-free Gold Extraction,” funding opportunity number “SFOP0009620.” Please contact the OES point of contact listed in Section G if requesting reasonable accommodations for persons with disabilities or for security reasons. Please note that reasonable accommodations do not include deadline extensions.

D.2 Content and Form of Application Submission

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

D.2.1 Application Requirements Please ensure:

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

· All documents are in English

· All budgets are in U.S. dollars

· All pages are numbered

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

· All Microsoft Word documents are single-spaced, 12 point Calibri font, with a minimum of 1-inch margins.

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

The following documents are required:

1. Mandatory application forms

· SF-424 (Application for Federal Assistance – organizations)

· SF-424A (Budget Information for Non-Construction programs)

· SF-424B (Assurances for Non-Construction programs) (note: the SF-424B is only required for individuals and for organizations not registered in SAM.gov)

2. Cover Page/Executive Summary (not to exceed one (1) page, preferably as a Word Document) that includes a table with the organization name, project title, target country/countries, and name and contact information for the application’s main point of contact and brief section that clearly outlines the (1) the problem statement addressed by the project (2) research-based evidence justifying the applicant’s approach, and (3) quantifiable project outcomes and impacts.

3. Proposal (10 pages maximum): Please note the ten-page limit does not include the Cover Page/Executive Summary, Attachments, Detailed Budget, Budget Narrative, Audit, or NICRA. Applicants are encouraged to combine multiple documents into a single Word Document or PDF (i.e. Cover Page, Table of Contents, Executive Summary, and Proposal Narrative in one file). The Narrative must include the following:

· Introduction to the Organization applying: A description of past and present operations, showing ability to carry out the program, including information on all previous grants from the U.S. Embassy and/or U.S. government agencies.

· Problem Statement: Clear, concise and well-supported statement of the problem to be addressed and why the proposed program is needed

· Program Methods and Design: A description of how the program is expected to work to solve the stated problem and achieve the goal. Include a map of intended municipalities where the awardee intends to implement the proposal

· Program Goal and Objectives: The “goal” describes larger outcome intended. The “objectives” refer to the intermediate accomplishments and measurable targets to achieve a goal. Objectives of the program should be SMART:

· Specific: Detailed and specifies what will be achieved

· Measurable: have associated metrics or measurements of success

· Attainable: appropriately challenging, objectives can be reasonably attained give the available resources

· Relevant: align with the policy/program goal and appropriate within the country or beneficiary audience

· Time-Bound: achievable within the timeframe of the program

· Program Activities: Describe specific actions taken under Objective. All activities should be clearly developed and sufficiently explain the resource and time requirements (inputs) and things done or produced (outputs). Activities should detail: target areas, participant groups or selection criteria for participants; how relevant stakeholders will be engaged; actions taken by local partners as appropriate/relevant.

· Key Personnel: Names, titles, roles and experience/qualifications of key personnel involved in the program. What proportion of their time will be used in support of this program? Indicate any potential conflicts of interest, employment with a local/state/federal government, etc.

· Program Partners: List the names and type of involvement of key partner organizations and sub-awardees.

· Program Monitoring and Evaluation Plan: This is an important part of successful grants. Throughout the time-frame of the grant, how will the activities be monitored to ensure they are happening in a timely manner, and how will the program be evaluated to make sure it is meeting the goals of the grant? Describe your approach and include which key personnel will be accountable for carrying out each aspect. (See attached Monitoring Indicator Table Sample)

· Future Funding or Sustainability Applicant’s plan for continuing the program beyond the grant period, or the availability of other resources, if applicable. Include ways program activities will ensure sustainability.

· Risk Analysis - identify the internal and external risks associated with the proposed project, rate the likelihood of the risks, rate the potential impact of the risks on the project, and identify actions that could help mitigate the risks.

4. Budget Justification Narrative: After filling out the SF-424A Budget (above), use a separate file to describe each of the budget expenses in detail. See section H. Other Information: Guidelines for Budget Submissions below for further information. (preferably as a Word Document) Justify each line-item in the budget and explain how the amounts were derived, consistency with the applicant's documented policies, as well as the source and description of all proposed costs (and cost-share, if applicable). The narrative should complement the budget rather than repeat information provided in the budget. For example, the narrative should provide details on the purpose of costs, reasonability of costs, cost price analysis, explain allocations, explain any yearly variances and tie expenses to program activities and/or objectives where appropriate. Sources of all cost-share offered in the application should be identified and explained in the budget narrative. (See Tab 1 Budget Guidelines-Template for Multi-Year Awards (FY2023) for more information.)

5. Budget: (preferably as an Excel workbook) that includes three (3) columns containing the request to OES, any cost sharing contribution, and the total budget. A summary budget should also be included using the OMB-approved budget categories (see SF-424A as a sample) in a separate tab. Costs must be in U.S. Dollars. Detailed line-item budgets for sub-grantees should be included as additional tabs within the Excel workbook (if available at the time of submission). Please see attached Budget Guidelines-Template for Multi-Year Awards (FY2023)

6. Timeline (not to exceed one (1) page, preferably as a Word Document or Excel Sheet). The timeline of the overall proposal should include activities, evaluation efforts, and program closeout. Sufficient time should be included to conduct and finalize internal/external evaluations and allow any sub-recipients time for final reporting. (See attached Sample Timeline)

7. Key Personnel (not to exceed two (2) pages, preferably as a Word Document). This can represent staff within your organization or outside of your organization (subgrantee, consultants, contractors), carrying out administrative or technical responsibilities, who are integral to the success of the program. Provides names, titles, roles under the program. Also include a 1-page CV or resume of key personnel who are proposed for the program. Limited to 3-5 individuals.

8. Required Attachments:

· If your organization has a Negotiated Indirect Cost Rate Agreement (NICRA) and includes NICRA charges in the budget, your latest NICRA should be included as a PDF file.

· Official permission letters, if required for program activities

9. Optional Attachments:

· Letters of support from program partners describing the roles and responsibilities of each partner.

Applications that do not include the elements listed above will be deemed technically ineligible. To ensure that all applications receive a balanced evaluation, the review panel will review from the first page of each section up to the page limit and no further.

D.2.2 Additional Information Requested For Those Receiving Notification of Intent

Successful applicants must submit, after notification of intent to make a Federal award, but prior to issuance of a Federal award:

· Written responses and revised application documents addressing conditions and recommendations from the review panel;

· A copy of the applicant’s latest NICRA as a PDF file, if the applicant has a NICRA and includes NICRA charges in the budget;

· A completed copy of the Department’s Financial Management Survey, if receiving USG funding for the first time;

· Submission of required documents to register in the Payment Management System managed by the Department of Health and Human Services, if receiving OES funding for the first time (unless an exemption is provided);

· 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;

· Applicants who submit their applications through Grants.gov will be required to create a SAMS Domestic account in order to accept the final award. Accounts must be logged into to every 60 days in order to maintain an active account.

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

All prime organizations, whether based in the United States or in another country, must have a Unique Entity Identifier (UEI), formerly referred to as DUNS, and an active registration with the SAM.gov before submitting an application. OES may not review applications from or make awards to applicants that have not completed all applicable UEI and SAM.gov requirements. A 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.

The 2 CFR 200 requires that sub-grantees obtain a UEI number. Please note the UEI for sub-grantees is not required at the time of application but will be required before the award is processed and/or directed to a sub-grantee.

The 2 CFR 200 requires that sub-grantees obtain a UEI number. Please note the UEI for sub-grantees is not required at the time of application but will be required before an award is processed and/or directed to a sub-grantee.

Note: The process of obtaining or renewing a SAM.gov registration may take anywhere from 4-8 weeks. Please begin your registration as early as possible.

· Organizations based in the United States or that pay employees within the United States will need an Employer Identification Number (EIN) from the Internal Revenue Service (IRS). A Commercial and Government Entity (CAGE) code and a UEI number are issued through SAM.gov. Once received continue with the remainder of the SAM.gov registration.

· Organizations based outside of the United States and that do not pay employees within the United States do not need an EIN from the IRS but do need a UEI number prior to registering in SAM.gov. Please note that as of November 2022 and February 2022 respectively, organizations based outside of the United States that do not intend to apply for U.S. Department of Defense (DoD) awards are no longer required to have a NATO CAGE (NCAGE).

· If an applicant organization is mid-registration and wishes to remove a CAGE or NCAGE code from their SAM.gov registration, the applicant should submit a help desk ticket (“incident”) with the Federal Service Desk (FSD) online at www.fsd.gov using the following language: “I do not intend to seek financial assistance from the Department of Defense. I do not wish to obtain a CAGE or NCAGE code. I understand that I will need to submit my registration after this incident is resolved in order to have my registration activated.”

Organizations based outside of the United States and that DO NOT plan to do business with the DoD should follow the below instructions:

Step 1: Proceed to SAM.gov to obtain a UEI and complete the SAM.gov registration process. SAM.gov registration must be renewed annually.

Organizations based outside of the United States and that DO plan to do business with the DoD in addition to Department of State should follow the below instructions:

Step 1: Apply for an NCAGE code by following the instructions on the NSPA NATO website linked below:

NCAGE Homepage:

https://eportal.nspa.nato.int/AC135Public/sc/CageList.aspx NCAGE Code Request Tool (NCRT):

https://eportal.nspa.nato.int/Codification/CageTool/home 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 SAM.gov to obtain a UEI an complete registration. SAM registration must be renewed annually.

All prime organizations must also continue to maintain active SAM.gov registration with current information at all times during which they have an active Federal award or application under consideration by a Federal award agency. SAM.gov 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.gov and to maintain that active registration. If an applicant has not fully complied with the requirements at the time of application, the applicant may be deemed technically ineligible to receive an award and use that determination as a basis for making an award to another applicant.

Note: SAM.gov is not the same as SAMS Domestic. It is free to register in both systems, but the registration processes are different.

Exemptions

Information is included on the SAM.gov website to help international registrations: https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0016380&sys_kb_id=194695221bfe4d983565ed3ce54bcbbb&spa=1 Please note, guidance on SAM.gov and the guidance on GSA’s website about requirement for registering in SAM.gov is subject to change and currently being updated. Applicants should review the website frequently for the most up-to-date guidance.

The UEI and SAM.gov FAQ is a resource provided by the grants policy office. Any content shown from SAM.gov is not owned by the Department of State. This guidance and instruction are to the best of our knowledge based at the time of posting this solicitation. Where guidance in this attachments differs from the SAM.gov website, SAM.gov prevails and the applicant is encouraged to seek and document clarity provided by the SAM.gov helpdesk.

D.3.1 Exemptions An exemption from the UEI and sam.gov registration requirements may be permitted on a case-by-case basis if:

· Recipient is a foreign organization receiving an award that will be performed outside the United States valued at less than $25,000, if the Grants Officer deems it to be impractical for the entity to obtain a UEI or register in SAM.gov.

· The recipient is an overseas school and does not currently have a UEI number.

· The award relates to a classified or national security matter.

· The recipient’s identity must be protected due to possible endangerment of their mission, their organization’s status, their employees, or the beneficiary being served by the recipient.

· There are exigent circumstances that prohibit the recipient from receiving a UEI and completing SAM registration prior to receiving the award. These circumstances are identified in the justification below and the recipient will be required to register within 30 days of the award date in accordance with 2 CFR 25.

Organizations requesting exemption from UEI or SAM.gov requirements must email the point of contact listed in the NOFO at least two weeks prior to the deadline in the NOFO providing a justification of their request. Approval for a SAM.gov exemption must come from the warranted Grants Officer before the application can be deemed eligible for review.

D.4 Submission Dates and Times

Applications are due no later than 11:59PM EST on July 3rd, 2023 on https://www.grants.gov/ or SAMS Domestic (https://mygrants.servicenowservices.com) under the announcement title “Technical Improvements and Training for Mercury-free Gold Extraction,” funding opportunity number “SFOP0009620.”

Grants.gov and SAMS Domestic automatically log the date and time an application submission is made, and 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. Known system errors caused by Grants.gov or SAMS Domestic (https://mygrants.service-now.com) that are outside of the applicant’s control will be reviewed on a case by case basis. Applicants should not expect a notification upon OES receiving their application.

D.5 Funding Limitations, Restrictions, and other Considerations

OES will not consider applications that reflect any type of support for any member, affiliate, or representative of a designated terrorist organization. Please refer the link for Foreign Terrorist Organizations: https://www.state.gov/foreign-terrorist-organizations/

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) (2017), “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.

Organizations should be cognizant of these restrictions when developing project proposals as these restrictions will require appropriate due diligence of program beneficiaries and collaboration with OES to ensure compliance with these restrictions. Program beneficiaries subject to due diligence vetting will include any individuals or entities that are beneficiaries of foreign assistance funding or support. Due diligence vetting will include a review of open-source materials.

D.6 Other Submission Requirements

All application submissions must be made electronically via www.grants.gov or SAMS Domestic (https://mygrants.servicenowservices.com). Both systems require registration by the applying organization. Please note that the Grants.gov registration process can take ten (10) business days or longer, even if all registration steps are completed in a timely manner.

It is the responsibility of the applicant to ensure that it has an active registration in SAMS Domestic or Grants.gov. Applicants are required to document that the application has been received by SAMS Domestic or Grants.gov in its entirety. OES bears no responsibility for disqualification that result from applicants not being registered before the due date, for system errors in either SAMS Domestic or Grants.gov, or other errors in the application process. Additionally, applicants must save a screen shot of the checklist showing all documents submitted in case any document fails to upload successfully.

Faxed, couriered, or emailed documents 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 NOFO and these instructions.

OES encourages organizations to submit applications during normal business hours (Monday – Friday, 9:00AM-5:00PM Eastern Standard Time (EST)). If an applicant experiences technical difficulties and has contacted the appropriate helpdesk but is not receiving timely assistance (e.g. if you have not received a response within 48 hours of contacting the helpdesk), you may contact the OES point of contact listed in the NOFO in Section G. The point of contact may assist in contacting the appropriate helpdesk.

Note: The Grants Officer will determine technical eligibility of all applications.

SAMS Domestic Applications:

Applicants using SAMS Domestic for the first time should complete their “New Organization Registration.” To register with SAMS Domestic, click “Login to https://mygrants.servicenowservices.com” and follow the “create an account” link.

Please note that establishing an account in SAMS Domestic may require the use of smartphone for multi-factor authentication (MFA). If an applicant does not have accessibility to a smartphone during the time of creating an account, please contact the helpdesk and request instructions on MFA for Windows PC.

Organizations must remember to save a screen shot of the checklist showing all documents submitted in case any document fails to upload successfully.

SAMS Domestic Help Desk:

For assistance with SAMS Domestic accounts and technical issues related to the system, please contact the ILMS help desk by phone at +1 (888) 313-4567 (toll charges apply for international callers) or through the Self Service online portal that can be accessed from https://afsitsm.service-now.com/ilms/home. Customer support is available 24/7.

Grants.gov Applications:

Applicants who do not submit applications via SAMS Domestic may submit via www.grants.gov.

Please be advised that completing all the necessary registration steps for obtaining a username and password from Grants.gov can take ten (10) business days or longer.

Please refer to the Grants.gov website for definitions of various "application statuses" and the difference between a submission receipt and a submission validation. Applicants will receive a validation e-mail from Grants.gov upon the successful submission of an application. Validation of an electronic submission via Grants.gov can take up to two business days. Additionally, organizations must remember to save a screenshot of the checklist showing all documents submitted in case any document fails to upload successfully.

Grants.gov Helpdesk:

For assistance with Grants.gov, please call the Contact Center at +1 (800) 518-4726 or email support@grants.gov. The Contact Center is available 24 hours a day, seven days a week, except federal holidays.

See https://www.opm.gov/policy-data-oversight/pay-leave/federal-holidays/ for a list of federal holidays.

E. APPLICATION REVIEW INFORMATION

E.1 Proposal Review Criteria

The OES review panel will evaluate each application individually against the following criteria, listed below in order of importance, and not against competing applications. Please use the below criteria as a reference, but do not structure your application according to the sub-sections.

Quality and Project Design – 10 points: The program idea is well developed and responsive to the policy and program objective of the NOFO. The applicant describes the project’s potential contribution to solving the problem addressed in the problem statement. The application clearly defines the problem; its causes; stakeholders; and existing research/data; the approach taken to solve the problem; realistic milestones to indicate progress.

Organizational Capacity and Record on Previous Grants – 20 points: The organization has expertise in artisanal and small-scale gold mining and, in particular, strong expertise and track record in developing novel mercury-free technologies for extracting gold. It has the internal controls in place to manage federal funds, including a financial management system and bank account.

Program Planning/Ability to Achieve Objectives – 25 points: Goals and objectives are clearly stated and program approach is likely to provide maximum impact in achieving the proposed results. The applicant proposes activities that are feasible, and are also practical, and/or experiential in nature to encourage innovation. The applicant addresses how the project will engage or obtain support from relevant stakeholders and/or identifies local partners. Program logic is sound showing plausible pathways to achieve project outcomes. Key assumptions and risks have been identified and their potential influences described. 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.

Budget & Budget Narrative – 20 points: The budget justification is detailed, accounting for all necessary expenses to achieve proposed activities. Costs are reasonable in relation to the proposed activities and anticipated results and provide detail of calculations, including estimation methods, quantities, unit costs, labor in-put and responsibilities, procurement practice and policy information, and other similar quantitative detail. 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.

Monitoring and evaluation plan/Sustainability – 25 points: Applicant demonstrates it is able to measure program success against key indicators and provides milestones to indicate progress toward goals outlined in the proposal. The program includes output and outcome indicators and shows how and when those will be measured and who will be responsible for them. The applicant clearly details how activities will result in benefits that will continue beyond the funding period.

E.2 Review and Selection Process

The Department of State 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 C and have submitted all required documents outlined in section D. 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.

All applications that are deemed eligible will proceed to the Merit Review Panel consisting of U.S. government subject matter and/or country-specific experts and will be rated on a 100-point scale. OES reserves the right to request the assistance of non-US government Subject Matter Experts (SMEs), if appropriate to the solicitation. Point values for individual elements of the application are presented in E.1, of this part. Panel Reviewers’ ratings, and any resulting recommendations, are advisory. Panel Reviewers 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.

Final selection authority resides with OES/ENV’s senior level official. Final award decisions will be influenced by whether the application meets the Department of State’s programmatic goals and objectives, how it supports the Department’s overarching foreign policy priorities, and the geographic distribution of the top-ranking applications.

D.3 Responsibility/Qualification Information in SAM.gov (formerly, FAPIIS)

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 U.S. government designated integrity and performance system accessible through SAM.gov (see 41 U.S.C. 2313)

An applicant, at its option, may review and comment on any information about itself that a Federal awarding agency previously entered. Currently, federal agencies create integrity records in the integrity module of the Contractor Performance Assessment and Reporting System (CPARS) and these records are visible as responsibility/qualification records in SAM.gov.

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 §200.206 Federal awarding agency review of risk posed by applicants.

Applicant organizations must demonstrate adherence to equal opportunity employment practices and commitment to non-discrimination with respect to beneficiaries. Non-discrimination includes equal treatment without regard to race, religion, ethnicity, gender, and political affiliation.

Applicants are reminded that U.S. Executive Orders and U.S. law prohibits transactions with or support to individuals or organizations associated with terrorism.

· Proposals that reflect any type of support for any member, affiliate, or representative or a designate to terrorist organization or narcotics trafficker, including elected members of government, will NOT be considered. This provision must be included in any sub‐awards/sub-contracts issued under this award.

· U.S. Applicant organizations must demonstrate adherence to equal opportunity employment practices and commitment to non-discrimination with respect to beneficiaries. Non-discrimination includes equal treatment without regard to race, religion, ethnicity, gender, and political affiliation.

· Applicants under DOS-funded projects are responsible for complying with all applicable tax treaties and federal, state, and local laws on tax withholding and reporting for project participants.

F. FEDERAL AWARD ADMINISTRATION INFORMATION

F.1 Federal Award Notices

OES will provide a separate notification to applicants on the result of their applications. Successful applicants will receive a letter electronically via email requesting that the applicant respond to review panel conditions and recommendations. This notification is not an authorization to begin activities and does not constitute formal approval or a funding commitment.

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

The notice of Federal award signed by the Department’s warranted Grants Officers is the sole authorizing document. The recipient may only start incurring program expenses beginning on the start date shown on the grant award document signed by the Grants Officer. If awarded, the notice of Federal award will be provided to the applicant’s designated Authorizing Official via SAMS Domestic to be electronically counter-signed in the system.

Payments under this award will be made through the U.S. Department of Health and Human Services (HHS) Payment Management System (PMS) or by completing form SF-270—Request for Advance or Reimbursement and submitting the form. Final determination will be made in conjunction with the Grants Officer. Unless otherwise stipulated, the Recipient may request payments on a reimbursement or advance basis. Instructions for requesting payments via PMS are available at: https://pms.psc.gov/. Instructions for requesting payments via SF-270 are available at: https://www.grants.gov/forms/post-award-reporting-forms.html.

Advance payments must be limited to the minimum amounts needed and be timed to be in accordance with the actual, immediate cash requirements of the Recipient in carrying out the purpose of this award. The timing and amount of advance payments must be as close as is administratively feasible to the actual disbursements by the Recipient for direct program or project costs and the proportionate share of any allowable indirect costs.

F.2 Administrative and National Policy and Legal Requirements

OES requires all recipients of foreign assistance funding to comply with all applicable Department and Federal laws and regulations, including but not limited to the following:

The Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards set forth in 2 CFR Chapter 200 (Sub-Chapters A through F) shall apply to all non-Federal entities, except for assistance awards to Individuals and Foreign Public Entities. Sub-Chapters A through E shall apply to all foreign organizations, and Sub-Chapters A through D shall apply to all U.S. and foreign for-profit entities. The applicant/recipient of the award and any sub-recipient under the award must comply with all applicable terms and conditions, in addition to the assurance and certifications made part of the Notice of Award. The Department’s Standard Terms and Conditions can be viewed at https://www.state.gov/about-us-office-of-the-procurement-executive/.

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

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:

· 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).

In accordance with the Executive Order on Advancing Racial Equity and Underserved Communities, proposals should demonstrate how the program advances equity with respect to race, ethnicity, religion, income, geography, gender identity, sexual orientation, and disability. The proposal should also demonstrate how the program will further engagement in underserved communities and with individuals from underserved communities. Proposals should demonstrate how addressing racial equity and underserved communities will enhance the program’s goals and objectives, as well as the experience of participants.

F.3 Reporting

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. Applicants should be aware that OES awards will require that all reports (financial and progress) are uploaded to the grant file in SAMS Domestic on a quarterly basis.

Financial Reports The Recipient is required to submit financial reports throughout the project period, using Form FFR SF-425, the Federal Financial Report form, as well as forms suggested by the Grants Officer Representative. If payment is made through the Payment Management System, all financial reports must be submitted electronically through the Payment Management System. The grantee is also required to upload to SAMS Domestic a pdf version of all financial reports (Federal Financial report) they have submitted in the Payment Management System. Form FFR (SF-425) can be found on OMB’s website here: https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html#sortby=1.

Financial reports are due on…