NOFO-DFOP0017000-Ports for the Future Partnerships in the Indo Pacific .pdf

United States Department of State

Bureau of South and Central Asian Affairs

Office of Security and Transnational Affairs

Notice of Funding Opportunity (NOFO): Ports for the Future Partnerships in the

Indo Pacific

Funding Opportunity Number: DFOP0017000

Assistance Listing Number: 19. 108 Solicitation Type: Open Competition Award Type: Cooperative Agreement Funding Ceiling: $1,275,904.07 Funding Authority: Foreign Assistance Act of 1961, as amended (FAA) Cost Sharing: Not Required Number of Awards: 1 award(s) Period of Performance: 24 months Application Deadline: 11:59 PM EST on Monday, December 16, 2024 Question Submission Deadline: 11:59 PM EST by Monday, December 06, 2024 Application Submission: Electronic. Please submit on Grants.gov Eligibility Applicants: U.S.-based non-profit/non-governmental organizations with or without 501(c) (3) status of the U.S. tax code; foreign-based non-profit organizations/non-government organizations (NGO); For-profit organizations;

Public and private educational institutions; Public International Organizations and Governmental institutions.

Number of Applications: 1 per applicant organization.

Table of Contents

Section A: Funding Opportunity Description

A.1. Background

A.2. Problem Statement

A.3. Project Goal

A.4. Objectives

A.5. Expected Outcomes

A.6. Performance Indicators

A.7. Key Considerations

A.8. Substantial Involvement (if applicable)

Section B: Federal Award Information

B.1. Available Funding

B.2. Award Management

Section C. Eligibility Information

C.1 Eligible Applicants

C.2. Cost-Sharing or Matching

C.3. Other Eligibility Criteria

Section D: Application and Submission Information

D.1. Address to request Application Package

D.2. Content and Form of Application Submission

D.3. Unique Entity Identifier (UEI) and System for Award Management (sam.gov)20

D.3.1 Exemptions

D.4. Submission Dates and Times

D.5. Funding Limitations, Restrictions, and Other Considerations

Section E: Application Review Information

E1. Proposal Review Criteria

E.2. Review and Selection Process

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

Section F: Federal Award Administration Information

F.1. Federal Award Notices

Section G: Federal Awarding Agency Contact

G.1. Contacts

G.2. Question Submission Deadline

Section H: Other information

H.1. Conflict of Interest

H.2. Freedom of Information Act

H.5. Monitoring Site Visits

H.6. Privacy Disclosure

H.8. Background Information on BUREAU

SECTION A: FUNDING OPPORTUNITY DESCRIPTION

A.1. Background

The U.S. Department of State, Bureau of South and Central Asian Affairs’ Office of

Security and Transnational Affairs (SCA/STA) announces an open competition for an organization (see eligibility information on page 1) to submit applications for the support for the Ports of the Future Program that will focus on modernization and sustainability of the ports sector in South Asia.

See the Program Design and Performance Management Toolkit Overview on F’s website: https://usdos.sharepoint.com/sites/MFR/SitePages/Managing_Program-

Design-and-Performance-Management-Toolkit.aspx

A.2. Problem Statement

Ports have been pivotal in the economic and social development of countries since the inception of maritime trade, with over 80 percent of global merchandise trade transported via sea routes. Approximately one-third of container traffic passes through the Indian Ocean, highlighting the strategic importance of this region.

Despite the Bay of Bengal linking the Indian and Pacific Oceans and connecting

South Asia and Southeast Asia with some of the busiest sea lanes in the world, inefficiencies in the region’s ports and inter/multimodal transportation nodes are constraining regional connectivity and economic development.

The World Bank estimates that trade among South Asian countries generates $23 billion for their economies, far below an estimated possible value of at least $67 billion. Furthermore, South Asia's intraregional trade accounts for barely 5 percent of its total trade, compared to 25 percent in the ASEAN region. [1] The efficient operation of ports, along with access to intermodal transport infrastructure such as inland waterways, railways, or roads, is vital for connecting

Indo-Pacific to the global marketplace and increasing both intraregional trade growth and overall economic growth. Improving the performance of the region’s ports and addressing critical infrastructure gaps can have a significant impact on https://usdos.sharepoint.com/sites/MFR/SitePages/Managing_Program-Design-and-Performance-Management-Toolkit.aspx https://usdos.sharepoint.com/sites/MFR/SitePages/Managing_Program-Design-and-Performance-Management-Toolkit.aspx https://gbc-word-edit.officeapps.live.com/we/wordeditorframe.aspx?ui=en-US&rs=en-US&wopisrc=https%3A%2F%2Fusdos-my.sharepoint.com%2Fpersonal%2Fkhanz_state_gov1%2F_vti_bin%2Fwopi.ashx%2Ffiles%2Fd94856adf2d44df0b6dce818358ff1c1&wdpid=7d04d836&wdenableroaming=1&mscc=1&wdodb=1&hid=BE9657A1-A01E-6000-93AE-09E9414B377A.0&uih=sharepointcom&wdlcid=en-US&jsapi=1&jsapiver=v2&corrid=024d3fd1-219b-6ebb-2a03-3ac0234ba4eb&usid=024d3fd1-219b-6ebb-2a03-3ac0234ba4eb&newsession=1&sftc=1&uihit=docaspx&muv=1&cac=1&sams=1&mtf=1&sfp=1&sdp=1&hch=1&hwfh=1&dchat=1&sc=%7B%22pmo%22%3A%22https%3A%2F%2Fusdos-my.sharepoint.com%22%2C%22pmshare%22%3Atrue%7D&ctp=LeastProtected&rct=Normal&wdorigin=AuthPrompt&instantedit=1&wopicomplete=1&wdredirectionreason=Unified_SingleFlush#_ftn1 the flow of international containerized cargo and can be a crucial determinant of growth.

At the 2024 Quad Leaders’ Summit, President Biden and leaders from Australia, Japan, and India launched a new Quad Ports of the Future Partnership that will harness the Quad’s expertise to support sustainable and resilient port infrastructure development across the Indo-Pacific, in collaboration with regional partners. Through this new partnership, Quad partners intend to coordinate, exchange information, share best practices with partners in the region, and leverage resources to mobilize government and private sector investments in quality port infrastructure across the Indo-Pacific region.

The Ports of the Future program will coordinate closely with Quad partners to hold the inaugural Quad Ports of the Future Partnership Regional Ports and

Transportation Conference in Mumbai, India in 2025. The Ports of the Future program will also explore opportunities to actively engage with Quad partners to coordinate technical assistance and capacity-building efforts, including with regional partners, to ensure efforts under this new partnership are mutually reinforcing and complementary in meeting the significant infrastructure demand in the Indo-Pacific. The U.S. Department of State is seeking to partner with organizations that have extensive knowledge, expertise, and access to established existing networks in the region’s ports sector.

[1] Trade (worldbank.org)

Priority Region: Indo-Pacific Region. Potential Benefitting Countries: India, Maldives, Bangladesh, Bhutan, Nepal, Sri Lanka, Thailand.

https://gbc-word-edit.officeapps.live.com/we/wordeditorframe.aspx?ui=en-US&rs=en-US&wopisrc=https%3A%2F%2Fusdos-my.sharepoint.com%2Fpersonal%2Fkhanz_state_gov1%2F_vti_bin%2Fwopi.ashx%2Ffiles%2Fd94856adf2d44df0b6dce818358ff1c1&wdpid=7d04d836&wdenableroaming=1&mscc=1&wdodb=1&hid=BE9657A1-A01E-6000-93AE-09E9414B377A.0&uih=sharepointcom&wdlcid=en-US&jsapi=1&jsapiver=v2&corrid=024d3fd1-219b-6ebb-2a03-3ac0234ba4eb&usid=024d3fd1-219b-6ebb-2a03-3ac0234ba4eb&newsession=1&sftc=1&uihit=docaspx&muv=1&cac=1&sams=1&mtf=1&sfp=1&sdp=1&hch=1&hwfh=1&dchat=1&sc=%7B%22pmo%22%3A%22https%3A%2F%2Fusdos-my.sharepoint.com%22%2C%22pmshare%22%3Atrue%7D&ctp=LeastProtected&rct=Normal&wdorigin=AuthPrompt&instantedit=1&wopicomplete=1&wdredirectionreason=Unified_SingleFlush#_ftnref1 https://www.worldbank.org/en/programs/south-asia-regional-integration/trade

A.3. Project Goal

With the support of these funds, SCA seeks to enhance sustainable and resilient port infrastructure development in the Indo-Pacific region by leveraging the expertise and resources of Quad governments and regional partners, thereby improving regional connectivity, economic development, and global trade efficiency.

A.4. Objectives

Objectives should include but are not limited to:

• Objective 1: Organize and conduct a regional ports and transportation conference, in collaboration with Quad Partners, to launch the Quad Ports of the Future Partnership.

• Objective 2: Identify opportunities to harness Quad Partner expertise, in collaboration with regional partners, to support sustainable and resilient port infrastructure development across the Indo-Pacific.

• Objective 3: Support the adoption and standardization of smart technology, infrastructure modernization, and environmental planning in the transportation sector to advance cost-effective, sustainable, and climate resilient maritime trade.

Activities should include, but are not limited to:

Activity 1.1: The Ports of the Future Program (PFP) will work closely with the governments of U.S., Australia, Japan, and India as part of the Quad Ports of the

Future Partnership, to organize a regional ports and logistics conference that brings together policymakers, port officials, and industry personnel from eligible countries in the Indo-Pacific to address challenges in global transportation and logistics. The conference objectives include but are not limited to increasing knowledge, facilitating dialogue, formulating viable solutions, highlighting innovations, and identifying best practices to address the port and maritime industries’ most pressing challenges. This event should allow regional partners to interact with industry thought leaders, government executives, and prominent researchers on their vision for Ports of the Future in the Indo-Pacific region. The conference should feature impact sessions and panels, a tour of a local port, a research exhibition, and opportunities to engage with Quad countries private sector at a mini maritime industry exposition. The anticipated timing and location of the conference is Mumbai, India, spring 2025.

Anticipated Discussion Topics may include, but are not limited to:

• Port development expansions and investment opportunities

• Economic viability of ports and supply chain management

• Smart ports initiatives/Information Communication Technologies (ICT) and

Port Community Systems (PCS), customs digitization and signal window platforms

• Port energy and sustainability, decarbonization and alternate fuels

• Disaster and climate resilient port infrastructure

• Ports operations and terminal traffic optimizations

• Legal/regulatory issues impacting governance, subregional connectivity, and port performance

• Intermodal connectivity and multimodal transportation logistic corridors

• Port workforce development

• Port maritime security and cybersecurity

Activity 2.1: The program implementer will be responsible for producing a detailed report assessing gaps and opportunities to support sustainable and resilient port infrastructure development in the Indo-Pacific, including identifying opportunities for future collaboration among Quad governments and regional partners under the Ports of the Future Partnership (PFP). The program implementer will conduct background research and engage with SCA to develop an understanding of the social, political, and economic context; analyze existing national strategies, policies, and organizations; and consult with regional partners, Quad governments, the U.S. interagency and local U.S. embassies, as needed, to produce a detailed set of recommendations to guide development of future USG programming, PFP action plans, and investment opportunities in the port sector across the Indo-Pacific region.

Activity 3.1: With the context of activity 2.1 as a background, the Ports of the

Future Program will provide cyber capacity-building and advisory services to eligible countries to support the adaptation and standardization of smart technology, infrastructure modernization, and environmental planning in the transportation sector. This may include regional or bilateral capacity-building activities depending on identified needs and available program resources. After each engagement, the Ports of the Future Program implementer will provide an after-action review to relevant stakeholder groups, reporting success factors and recommendations for the next steps.

A.5. Expected Outcomes

An enhanced level of coordination and cooperation of regional ports by leveraging existing Quad-partner public and private sector expertise to support sustainable and resilient port infrastructure development.

A.6. Performance Indicators

Project indicators can include, but are not limited to:

The winning applicant will be expected to develop more goal appropriate performance indicators.

A.7. Key Considerations

The implementer should possess extensive knowledge of the port sector and have access to established networks of port experts in the region. The implementation plan should include the following elements:

• Regional Transportation and Logistics Conference in Mumbai, India in spring 2025: The conference objective is to increase knowledge, facilitate dialogue, and exchange experiences to address the port and maritime industries’ most pressing challenges, formulate viable solutions, highlight innovations, and identify best practices. The conference would also formally launch the Quad Ports of the Future Partnership.

• Promotion of Regional Collaboration: Promotion of regional collaboration across stakeholders of the ports sector. Increase cooperation among ports for the efficient movement of goods and services. Foster interconnectivity and drive economic, financial, and trade growth in the regions around port and thereby promoting economic growth.

• Advance Technologies and Digitalization: Enhancing inclusion of advanced technologies and digitalization into transportation and maritime operations by promoting the adoption of advanced logistics practices and smart and secure technologies, raising legal, regulatory and technical standards

• Climate Resiliency: Development of climate resilience strategies for maritime infrastructure by improving the maritime environmental sustainability measures, as well as promoting public-private partnership opportunities and catalyzing private investment through trusted vendors.

A.8. Substantial Involvement (if applicable)

SCA/STA anticipates awarding a cooperative agreement. The distinction between grants and cooperative agreements revolves around the existence of “substantial involvement.” Cooperative agreements require greater federal government participation in the project. SCA/STA will undertake reasonable and programmatically necessary substantial involvement. Under this cooperative agreement, the implementer will further work with and seek approval from the

Program Manager, GOR, and GO on the following:

• Collaboration in establishing annual program objectives and approval of an annual work plan;

• Collaboration in identifying, prioritizing, and determining program ideas and projects;

• Collaboration in determining corrective actions, when necessary;

• Approval of all sub-awards (if applicable); and

• Approval of decisions related to special circumstances or problems throughout the duration of the program.

Specific areas of substantial involvement will be dependent upon the objectives of the proposal and outlined in the final Agreement. The final determination on award mechanism will be made by the Grants Officer.

SECTION B: FEDERAL AWARD INFORMATION

B.1. Available Funding

This notice is subject to availability of funding. The authority for this funding opportunity is found in the Foreign Assistance Act of 1961, as amended (FAA).

Applicants can submit one application in response to the NOFO. If more than one application is submitted by an organization, only the first application received, and time stamped by either grants.gov or MyGrants will be reviewed for eligibility.

Organizations may form a consortium and submit a combined proposal. However, only one organization must be designated as the lead applicant, with the remaining organizations designated as sub-awardees. The lead applicant must meet the eligibility criteria listed in Section C.

The Department of State reserves the right to (a) fund any or none of the applications received; (b) reserves the right to reduce, revise, or increase the budget in accordance with SCA/STA proprieties and the availability of funds; (c) accept other than the lowest cost application.

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.

B.2. Award Management

The successful applicant will need to routinely collaborate with SCA/STA through regular meetings and conference calls to discuss progress, challenges, emerging topics, etc. The successful applicant must ensure that all funds are used in a manner consistent with any applicable restrictions on funding. See D.5 below for funding restrictions.

SECTION C. ELIGIBILITY INFORMATION

C.1 Eligible Applicants

Please see eligibility on Page 1.

C.2. Cost-Sharing or Matching

The non-Federal share of costs, frequently called “cost share” or “matching costs”, refers to that portion of the project or program costs not borne by the Federal

Government. This may include cash and third-party in-kind contributions. These costs must reflect the realistic capacity of the applicants and any third-party contributors.

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.

Voluntary cost-share: Should the applicant choose to contribute voluntary cost-share, in the event the applicant does not meet the minimum amount of the voluntary cost-sharing stipulated in the applicant’s budget, DOS contribution may be reduced in proportion to the Applicant’s contribution.

C.3. Other Eligibility Criteria

Applicants should demonstrate expertise and experience in the following areas:

• U.S. policy priorities in the Indo-Pacific Region;

• Developing and implementing ports and infrastructure related projects;

• Managing and monitoring sub-recipients and/or direct assistance projects (if applicable);

• Conducting risk assessments and monitoring and evaluating programs and sub-recipients in order to document and assess the short- and long-term outcomes of proposed projects.

Any applicant with an exclusion in the Exclusions section of the System for Award

Management (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), https://sam.gov/ https://sam.gov/

“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.gov to ensure that no ineligible entity is included.

SECTION 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 grants.gov and SAMS/MyGrants under the announcement title “Ports for the

Future Partnerships in the Indo Pacific”, funding opportunity number

“DFOP0017000.” Please contact the SCA/STA 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

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. For all application documents, please ensure:

• All documents are in English, and all costs are in U.S. dollars. 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 document is provided in both English and a foreign language, the English language version is the controlling version;

• All pages are numbered, including budgets and attachments;

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

• All documents are single-spaced, 14-point Calibri font, with 1-inch margins.

Captions and footnotes may be 10-point Calibri font. Font sizes in charts http://www.grants.gov/ https://mygrants.service-now.com/grants/portal_login.do and tables, including the budget, can be reformatted to fit within 1 page width.

Complete applications must include the following, where applicable:

1) Completed and signed SF-424, SF-424A, and SF-424B forms. (OPTIONAL but strongly encouraged for FPEs/PIOs)

2) Organizations that engage in lobbying the U.S. government, including

Congress, or pay for another entity to lobby on their behalf, are also required to complete the SF-LLL “Disclosure of Lobbying Activities” form

(only if applicable).

3) 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, 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.

4) Proposal Narrative (not to exceed fifteen (15) pages, preferably as a Word document). Please note the fifteen-page limit does not include the Cover

Page/Executive Summary, Detailed Budget, Budget Narrative, Key

Personnel, Timeline or Attachments. Applicants are encouraged to combine multiple documents into a single Word document or PDF (i.e. Cover

Page/Executive Summary, and Proposal Narrative into one file). The

Narrative must include the following:

• Introduction to the Organization: A description of past and present operations, showing ability to carry out the project, including information on relevant or similar type projects from 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.

• Project Methods and Design: A description of how the program is expected to work to solve the stated problem and achieve the goal.

• Program Goal: The goal describes the broader, long-range outcome or concept intended. Goals do not include timelines or methods for achievement. Rather, goals are general statements of a desired result.

Programs generally have one goal that is only one sentence.

• Program Objective(s): Objectives unlike goals, are brief, clear statements that describe what will be done within a specific timeframe to help achieve or advance a goal. Objectives are applicant focused, and 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 given 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 how the activities or actions under objective(s) will be carried out. Should be clearly developed and sufficiently explain the resources and time requirements identified

(inputs) and things done or produced (outputs). Where appropriate, identify target areas, or where actions are happening, participant groups or selection criteria for participants; how relevant stakeholders will be engaged; actions taken by consultants, sub-recipients or vendors as appropriate/relevant. Demonstrate how the activity will support and advance equity and engage underserved communities in program administration, design, and implementation.

• Outcomes: The results or effects of the objective(s). What are the detailed, measurable statements that outline the end results?

Outcomes are target-audience focused. What will the benefitting individuals, countries or audiences have learned, accomplished or be able to do after the project has been completed? Collectively, outcomes advance or further the program goal.

• 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.

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

5) Budget Documents: This is a two (2) component submission requirement.

o (1) Detailed Line-Item Budget: Entities and organizations not recognized as FPEs or PIOs are required to submit detailed budget information according to the OMB cost categories (see SF-424A as an example). Budget expenses should be submitted preferably as one

Excel workbook and include three (3) columns describing the request to SCA/STA, any required or voluntary cost sharing, and the total budget. Costs must be in whole U.S. dollars. The attached “Budget

Guidance Template for Multi-Year Awards (FY24)” is the preferred format for submission. Detailed line-item budgets for sub-grantees should be included as additional tabs within the Excel workbook (if available at the time of submission). Note: Applicants are welcome to delete columns associated with multiple years if submitting a proposal that will only extend to one year. Alternatively, applicants are welcome to add columns for additional years.

o (2) Budget Narrative: Entities and organizations not recognized as

FPEs or PIOs are required to submit narrative information, preferably as a Word document, that explain the methodology considerations for each specific line identified in the Excel document. 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. Do not simply repeat what is represented numerically in the budget, i.e. salaries are for salaries or travel is for travel. If the detailed budget includes sub-awards, please include a separate budget narrative for each sub-award budget.

Provide details on the purpose of costs, reasonability of costs, cost price analysis, allocation methodology, explain any yearly variances in unit prices, and tie expenses to program activities and/or objectives where appropriate. Information should describe prices used when costs have been averaged for the purposes of the calculation; when or if there is a reduction in a typical cost due to leveraging other resources; when costs are inflated due to specific considerations; or when untypical costs are included due to special circumstances.

Provide information on considerations such as translations, multi-media approaches as also described in the proposal narrative, procurement by local vendors or the need to import due to unavailability, specific needs of different audiences, costs related to country limitations, etc.

o Budget Documents for Foreign Public Entities/Public International

Organizations: Entities and organizations recognized as FPEs or PIOs are not required to submit detailed budget information according to the OMB cost categories. (1) A detailed budget, preferably as an excel document broken down by activity may be provided with information identifying lines associated with labor (inclusive of contractual or consultancy staff), participant support costs, travel, and other activity related expenses as appropriate for each activity identified. While 2

CFR 200, Subpart E—Costs Principles does not apply to FPEs and PIOs, https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#subpart-E https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200#subpart-E it should be used as a guide to assist in determining reasonableness.

Costs must be in U.S. dollars. (2) A budget narrative, preferably as a

Word document, should explain the methodology considerations for each activity and other cost considerations or special circumstances that are helpful in determining reasonableness.

6) Program Monitoring and Evaluation Narrative and Plan/Tracker: This is a two (2) component submission requirement.

o (1) Monitoring and Evaluation Narrative: Preferably a one-page Word document, the narrative outlines how a project’s M&E system will be carried out and by whom. It details how you will track your project’s performance toward its objectives over time and provides a clear description of the approach and data collection strategies and tools to be employed (e.g., pre- and post-test surveys, interviews, focus groups). The description should include how the applicant will track and document whether activities occurred (outputs) and the results or changes caused by these activities (outcomes). If the project includes work with local partners or sub-partners, explain how M&E efforts will be coordinated amongst these organizations. Explain if an external evaluation will be included. Evaluations, internal or external, should be systematic studies that use research methods to address specific questions about project performance. They should provide a valuable supplement to ongoing monitoring activities. Evaluation activities generally include baseline assessments, mid-term and final evaluations.

o (2) Monitoring and Evaluation Plan/Tracker - Preferably as an Excel workbook, the tracker contains the M&E plan that should draw on the objectives, activities and expected changes from the proposal, and link those areas to indicators. The M&E plan is generally structured as a table with output- and outcome-based indicators. It explains how data will be collected (data collection methods) to show that certain changes occurred. It outlines baselines (where your project is starting) and quarterly targets (what you would like to achieve) for each indicator. Please see “Sample Monitoring Indicator Tracker” included as an attachment to the NOFO.

Note: If recommended for funding, the panel and/or bureau may negotiate the inclusion of additional Department of State Foreign

Assistance indicators. These indicators assist the bureau in tying projects to larger bureau program objectives for Department’s

Managing for Results framework. More information on this policy framework and access to the foreign assistance master indicator list is on the Foreign Assistance Resource Library. After award issuance, the

M&E plan will accompany performance reports to document progress on indicators.

7) Key Personnel (not to exceed two (2) pages, preferably as a Word document): Represents staff within your organization or outside of your organization (subgrantee, consultants, contractors), carrying out administrative and/or technical responsibilities, who are integral to the success of the program. Includes short bios that highlight relevant professional experience. Provides names, titles, roles and experience/qualifications of key personnel involved in the program. Given the limited space, inserting CVs are not recommended but may be submitted in as an attachment. Generally limited to 3-5 individuals.

8) 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, as applicable. Please see “Sample

Timeline” included as an attachment to the NOFO.

9) Racial Equity and Underserved Communities Analysis:

In accordance with the Executive Order on Advancing Racial Equity and

Underserved Communities, proposals must demonstrate how the program https://www.state.gov/foreign-assistance-resource-library/ https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.whitehouse.gov%2Fbriefing-room%2Fpresidential-actions%2F2021%2F01%2F20%2Fexecutive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government%2F&data=04%7C01%7CReisigAR%40state.gov%7C0dbdd75a0a664b32ef2508d8fb59f8f5%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C637535711126807160%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C1000&sdata=Hk82GX1SCF8LaoHg%2B2vrmdCRK6gGWYwQXU9CB6cLb5E%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.whitehouse.gov%2Fbriefing-room%2Fpresidential-actions%2F2021%2F01%2F20%2Fexecutive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government%2F&data=04%7C01%7CReisigAR%40state.gov%7C0dbdd75a0a664b32ef2508d8fb59f8f5%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C637535711126807160%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C1000&sdata=Hk82GX1SCF8LaoHg%2B2vrmdCRK6gGWYwQXU9CB6cLb5E%3D&reserved=0 advances equity with respect to race, ethnicity, religion, income, geography, gender identity, sexual orientation, and disability. The proposal must 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 programs’ goals and objectives, as well as the experience of participants. The support of underserved communities will be part of the review criteria for this opportunity. Therefore, proposals should clearly demonstrate how the program will support and advance equity and engage underserved communities in program administration, design, and implementation.

A Racial Equity and Underserved Community analysis, (not to exceed two

(2) pages, preferably as a Word document) helps consider the different ways in which activities might impact and be impacted by the community, country, and region where activities take place. Programs should seek strategies for integration and inclusion of individuals/organizations/beneficiaries that can bring perspectives based on their race, ethnicity, religion, income, geography, gender identity, sexual orientation, and disability.

10) Attachments (if applicable):

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

• Official permission letters, if required for project activities

• CVs or resumes

D.3. Unique Entity Identifier (UEI) and System for Award Management (sam.gov)

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. The federal government's primary database for complying with FFATA reporting requirements is www.sam.gov . OMB designated http://www.sam.gov/ www.sam.gov 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.gov before submitting an application. SCA/STA may not review applications from or make awards to applicants that have not completed all applicable UEI and

SAM.gov requirements.

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.

Note: The process of obtaining a SAM.gov registration may take anywhere from

4-8 weeks. Please begin your registration as early as possible. Numerous errors require correction, such as an address mismatch, and can delay final registration.

If the application is not corrected within 90 calendar days of original registration/or renewal submission, it will be automatically deleted and the organization will need to re-start the process.

● 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). Also, a Commercial and Government Entity

(CAGE) code and UEI number is required and issued through SAM.gov. Once received continue with the remainder of the SAM.gov registration.

● Organizations based outside of the United States and 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 2023 respectively, newly registering 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).

All organizations applying for grants (except individuals) must obtain these registrations. All are free of charge:

• NCAGE/CAGE code (if applicable)

• www.SAM.gov UEI and registration

If you are an organization based outside the U.S. and DO NOT plan to do business with the Department of Defense:

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

If you are an organization based outside the U.S. and plan to do business with the

Department of Defense:

Step 1: Apply for an NCAGE number

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/CAGE Code, proceed to SAM.gov to obtain a UEI an complete registration.

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.gov. 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 https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx https://eportal.nspa.nato.int/Codification/CageTool/home time of application, the applicant may be deemed technically ineligible to receive an award and use that determination will be used as a basis for making an award to another applicant.

Information is included on the SAM.gov website to help international registrations: 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 attached “UEI and SAM.gov FAQ updated 013124” 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 at the time of posting this solicitation. Where guidance in this attachment 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 requirements listed above may be permitted under the following circumstances:

• For any applicant or recipient: if the federal awarding agency determines that it must protect information about the entity from disclosure if it is in the national security or foreign policy interests of the United States, or to avoid jeopardizing the personal safety of the applicant or recipient's staff or clients.

• For a foreign organization or foreign public entity applying for or receiving a federal award or subaward for a project or program performed outside the

United States valued at less than $25,000: if the federal awarding agency deems it to be impractical for the entity to comply with the requirement(s).

This exemption must be determined by the federal awarding agency on a case-by-case basis while utilizing a risk-based approach and does not apply if subawards are anticipated.

• For an applicant: if the federal awarding agency makes a determination that there are exigent circumstances that prohibit the applicant from receiving a unique entity identifier and completing SAM registration prior to receiving a federal award. In these instances, federal awarding agencies must require the recipient to obtain a unique entity identifier and complete SAM registration within 30 days of the federal award date.

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 and provide 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 11:59 PM Eastern Standard Time (EST), on

December 16, 2024 on grants.gov or SAMS/MyGrants under the announcement title “Ports for the Future Partnerships in the Indo Pacific,” funding opportunity number “ DFOP0017000.”

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.

It is the responsibility of the applicant to ensure that it has an active registration in grants.gov or SAMS/MyGrants and that an application has been received by the system in its entirety. Application submissions are automatically logged by date and time when made in Grants.gov and SAMS/MyGrants, 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.

Applicants should not expect a notification upon SCA/STA receiving their application.

SCA/STA bears no responsibility for disqualification that results from applicants not being registered before the due date, for registration errors in either system, or other errors in the application process.

http://www.sam.gov/ https://www.grants.gov/ https://mygrants.service-now.com/grants/portal_login.do https://www.grants.gov/ https://mygrants.servicenowservices.com/ https://www.grants.gov/ https://mygrants.servicenowservices.com/

D.5. Funding Limitations, Restrictions, and Other Considerations

SCA/STA will not consider applications that reflect any type of support for any member, affiliate, or representative of a designated terrorist organization. Please refer to the link for Foreign Terrorist Organizations:

https://www.state.gov/foreign-terrorist-organizations/. Consistent with

Department guidance on State Funding and the Risks of Terrorist Financing for all

State Department funded programs and requirements, Department bureaus must assess the likelihood that the funds or Department funded activities, goods, services, training, expert advice or assistance, or other benefits to be provided, could inadvertently or incidentally benefit terrorist organizations or their members or supporters, and must put in place appropriate risk mitigation measures to mitigate such risk. In accordance with 14 FAM 247, and consistent with 2 FAM 050, Counterterrorism (CT) name-check vetting may be performed in countries and programs designated by the Department.

The following activities and costs are not covered under this announcement (this list is NOT exhaustive):

• Construction or renovations is not an allowable activity under this award;

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

• Projects seeking funds for personal use;

• Administration of a project that will make a profit;

• Expenses incurred before or after the specified dates of award period of performance (unless prior written approval is received);

• Projects designed to advocate policy views or positions of foreign governments or views of a particular political faction;

• Alcoholic beverages;

https://www.state.gov/foreign-terrorist-organizations/

• Costs of entertainment, including amusement, diversion, and social activities, and any associated costs, are unallowable, except where specific costs that might otherwise be considered entertainment have a programmatic purpose and are authorized either in the approved budget for the federal award or with prior written approval of the Grants Officer.

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 U.S. Government.

Organizations should be cognizant of the restrictions above when developing project proposals. Funding restrictions require appropriate due diligence of program beneficiaries and collaboration with SCA/STA to ensure compliance.

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

Since SAMS/MyGrants interface with sam.gov, it is required that applicants obtain a UEI and complete the registration process in sam.gov before proceeding with the application process. The sam.gov registration process can take 4-8 weeks.

START EARLY.

Applicants are encouraged 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 BUREAU 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/MyGrants Applications:

Applicants using SAMS/MyGrants for the first time will need their “New

Organization Registration.” To register with SAMS/MyGrants, navigate to https://MyGrants.servicenowservices.com and click “Create an Account” under

“New User?” On the pop-up select “Create a SAMS/MyGrants Applicant/Grantee

Account” and complete all required fields. Once completed, an email will be sent to verify the account creation followed by an Okta Account set-up which will require the use of a smartphone for multi-factor authentication (MFA). If an applicant does not have accessibility to a smartphone during the time of account creation, please contact the helpdesk.

SAMS/MyGrants Help Desk:

For assistance with SAMS/MyGrants 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 https://mygrants.service-now.com/ online portal that can be accessed from ILMS Self Service Portal. Customer support is available 24/7.

Grants.gov Applications:

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

The individual registered in sam.gov as the EBiz POC must be the individual to create the grants.gov account using the same email address as used in sam.gov and add a profile with grants.gov using the UEI. The EBiz POC can then delegate administrative roles to other users. Read the Help article, Manage Roles for

Applicant, for instructions.

More information can be found at Applicant Registration, which includes workspace overview, how to apply for grants, track my application and applicant training.

Note: Grants.gov recommends using Adobe Acrobat Reader for Windows or MAC

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