NOFO Quad Emerging Tech Program FY23.docx

United States Department of State Bureau of Oceans and International Environmental and Scientific Affairs Notice of Funding Opportunity (NOFO): Quad Multistakeholder Critical and Emerging Technology Program

This is the announcement of funding opportunity number SFOP0009909

Catalog of Federal Domestic Assistance Number: 19.017

Type of Solicitation: Open Competition

Application Deadline: 11:59 PM EST on July 21 2023

Total Funding Floor: $232,000

Total Funding Ceiling: $232,000

Anticipated Number of Awards: 1-2

Type of Award: Cooperative Agreement

Period of Performance: 18 months

Anticipated Time to Award, Pending Internal Approval: 2 months

A. PROJECT DESCRIPTION

A.1 Background

The U.S. Department of State’s Bureau of Oceans and International Environmental and Scientific Affairs (OES) Office of the Science and Technology Adviser to the Secretary (STAS) announces an open competition for programs that aim to advance economic ties and deepen relationships between technology ecosystems amongst the Quad partners, namely the United States, Australia, India, and Japan. The agreement awarded will use FY22 reclassified Economic Support Fund (ESF) resources, subject to the availability of funds.

In September 2021, President Biden convened the first Leaders’ Summit of the Quad (United States, Australia, India, Japan) to discuss initiatives that deepen our ties and advance practical cooperation on 21st-century challenges (see Joint , Fact Sheet, Quad Principles). The Quad Leaders met again in May 2022 (see Joint Statement and Fact Sheet) and most recently, in May 2023 (see Joint Statement and Fact Sheet). Similarly, Secretary Antony J. Blinken has participated in Quad Foreign Ministers’ Meetings since 2021. Critical and emerging technologies was prioritized as a key focus area within Quad meetings to help foster an open, accessible, and security technology ecosystem that is shaped by shared democratic values and respect for universal human rights.

For critical and emerging technologies, the United States is pursuing policy measures to accelerate research, create new opportunities for innovation, and reduce dependence on untrusted technology sources while simultaneously encouraging our allies and partners to do the same. The success of these policies depends in large part on the ability of the United States to mobilize technology ecosystems in likeminded partner nations that can successfully receive capital, conduct research, pursue commercial efforts, and produce new products and services for their region or the world.

A.2 Program Goals

Promote networks of academics, entrepreneurs, investors, and businesses to support commercialization of research and development and technology entrepreneurship as well as provide policy recommendations for enhancing the environment for cross-border technology collaboration in ongoing Quad workstreams focused on critical and emerging technology. Proposals may be submitted for one or both of the following objectives:

Project-Specific Objectives:

Project Objective 1: Strengthened founder education and mentor networks that help spur critical and emerging technologies entrepreneurship in Quad countries. Activities that support this objective include but are not limited to:

· By Q2 2024, convene Quad technology startups, founders, and potential founders, Quad technology licensing/transfer and legal offices, intellectual property licensing experts, export control and compliance experts, academic researchers and startups, and responsible policy and regulatory government officials on promoting entrepreneurship and market entrance and access for entities in Quad countries. Convenings should focus on:

· Sharing best practices on founder education and mentoring to teach and empower start-ups and founders in Quad countries;

· Developing and build a concept for a tech entrepreneur mentor network for participants from Quad countries;

· Crafting a plan for connecting startups in Quad countries working on similar technologies to help foster and build networks; and

· Determining possible mechanisms or connection points for networks developed through this event or these events to interact with the Quad Investors Network (https://quadinvestorsnetwork.org/) to catalyze further action.

Project Objective 2: Obtain technology policy feedback and prioritization from an expanded network of international academic researchers. Activities that support this objective include but are not limited to:

· By Q2 2024: Prepare a report for one or more critical and emerging technology (CET) sectors (e.g., artificial intelligence; quantum information science and technologies; secure telecommunications, biotechnology, and those identified in the February 2022 ) identifying key technology policy challenges inhibiting collaboration in commercialization, entrepreneurship, and investment among Quad countries with opportunities for positive change. This report should incorporate discussions and input from Quad partners, including new relevant stakeholders and the Quad Tech Network, an affiliation of think tanks and academics in Quad countries that support the work of the Quad Critical and Emerging Technologies Working Group.

· By the first quarter of 2024: Convene at least one workshop (in person or virtual) with broad attendance by technology policy and subject matter experts in each technology area.

· By the third quarter of 2024: Promote the report in appropriate public venues, such as panel discussions, conferences, and track 1.5 events.

A.4 Expected Outcomes:

All projects should aim to have progress that leads to:

Enhanced cross-border technology collaboration between Quad countries to strengthen technology ecosystems.

A.4 Indicators Applicants should propose their own M&E indicators; however, all projects should have the following qualitative and quantitative indicators. (For an indicator to be useful it must be specific and unambiguous, observable, and measurable, and linked to outcome/output achievement):

Number of tech entrepreneurs reached in each country and number that participate in entrepreneurship and founder education and mentoring network event (disaggregated by gender, sector (gov, start up, venture capital, academia, etc.) and technology topic (bio, quantum, AI, etc.))

Number of technology experts in each country communicated with and provided feedback for the report (disaggregated by gender, sector (gov, start up, venture capital, academia, etc.), and technology sector (bio, quantum, AI, etc.))

A.4 Key Considerations

The program should strive to reach gender equity both in terms of participants engaged and providers of technical assistance.

B. FEDERAL AWARD INFORMATION

Primary organizations can submit one application in response to the NOFO.

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-STAS 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. OES-STAS will undertake reasonable and programmatically necessary substantial involvement. Examples of substantial involvement can include, but are not limited to:

· Active participation or collaboration with the recipient in the implementation of the award;

· Review and approval of one stage of work before another can begin;

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

To maximize the impact and sustainability of the award(s) that result from this NOFO, OES-STAS 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. ELIGIBILITY INFORMATION

C.1 Eligible Applicants

OES-STAS welcomes applications from U.S.-based non-profit/non-governmental organizations subject to section 501(c) (3) of the U.S. tax code; foreign-based non-profit organizations/nongovernment organizations (NGO); Public International Organizations; Foreign Public Organizations; Private, public, or state institutions of higher education; and for-profit organizations or businesses.

Please see 2 CFR 200.307 for regulations regarding program income.

C.2 Cost Sharing or Matching

Providing cost sharing, matching, or cost participation is not an eligibility 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

Applicants must have existing, or the capacity to develop, active partnerships with Quad country partners, entities, and relevant stakeholders and have demonstrable experience in administering successful and preferably similar projects.

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 “Quad Multistakeholder Critical and Emerging Technology Program,” funding opportunity number SFOP0009909. Please contact the OES-STAS 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

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

D.2.1 Application Requirements

Complete applications must include the following:

1) Completed and signed SF-424, SF-424A, and SF-424B forms.

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, 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.

4) Proposal Narrative (not to exceed ten (10) pages, preferably as a Word Document). Please note the ten-page limit does not include the Cover Page, Executive Summary, Table of Contents, Attachments, Detailed Budget, Budget Narrative, Logic Model, Program Monitoring and Evaluation Narrative and Plan, Key Personnel, Timeline, or Attachments. 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: A description of past and present operations, showing ability to carry out the project, including information on all relevant or similar type projects from previous grants from the U.S. Embassy and/or U.S. government agencies.

· Program 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(s)” describe the larger outcome intended

· Program Objectives: 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 engages; actions taken by local partners as appropriate/relevant.

· 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.

5) Budget (preferably as an Excel workbook) that includes three (3) columns containing the request to OES-STAS, 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) for more information.

6) Budget Narrative (preferably as a Word Document) Justify each line-item in the budget and explain how the amounts were derived, consistency with the applicants’ 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.

7) Logic Model (preferably as a Word Document). Logic models, and alternative approaches, can be helpful when planning and designing programs. These tools can be used to visually depict or outline how and why a project will work—i.e. the rationale behind your project approach. Detailing how a program’s planned activities lead to certain outcomes can often help applicants understand the assumptions within the approach. Detailing factors outside your control, such as policy shifts (i.e. external factors) within a logic model can identify areas that should be included within your program’s risk analysis. It details planned activities, the immediate services or product of project activities (outputs), and the expected changes or benefits that occur after activities have been implemented (outcomes). Applicants should specify objectives, identify what resources (inputs) are needed, outline proposed activities (outputs) and beneficiaries, and illustrate how activities lead to expected results. See attached Sample Logic Model

8) Program Monitoring and Evaluation Narrative and Plan:

· An M&E Narrative (maximum one page) 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. Provide 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.

· The M&E plan should draw on the objectives, activities and expected changes from the logic model, 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. See attached Monitoring Indicator Table Sample

9) 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. Include 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, CVs are not recommended for submission. Limited to 3-5 individuals.

10) 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

11) Attachments:

· Letters of support from program partners describing the roles and responsibilities of each partner, if applicable/pre-identified

· Official permission letters, if required for project activities

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-STAS 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 every 60 days in order to maintain an active account.

D.3 Unique Entity Identifier (UEI) 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-STAS 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.

Note: The process of obtaining 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 prior to registering in SAM.gov.

· 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 NATO CAGE (NCAGE) code and UEI number prior to registering in SAM.gov.

· 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 December 2022, 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 & 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 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.

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 021623” is s 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 these 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 these requirements may be permitted on a case-by-case basis if:

· An applicant’s identity must be protected due to potential endangerment of their mission, their organization’s status, their employees, or individuals being served by the applicant.

· 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 11:59 PM Eastern Standard Time (EST), on July 21, 2023 on https://www.grants.gov/ or SAMS Domestic (https://mygrants.servicenowservices.com) under the announcement title “Quad Multistakeholder Critical and Emerging Technology Program,” funding opportunity number “SFOP0009909”

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-STAS receiving their application.

D.5 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-STAS 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-STAS 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-STAS 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.

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-STAS 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 Program Design – 20 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 meet project-specific objectives. The application clearly defines the objective; identifies barriers and causes; determines stakeholders and existing research/data; and develops an approach to meet the proposed objectives with realistic milestones to indicate progress.

Organizational Capacity – 20 points: The applicant demonstrates an institutional record of successful projects in the content area proposed. The applicant demonstrates experience (e.g., has previously worked and/or has established contacts/partners) in the proposed countries or region. The organization has expertise in its stated field and has adequate staffing to manage the proposed project. The applicant demonstrates capacity for responsible fiscal management of donor funding (e.g., successful management of a previous grant or sub-award).

Program Planning/Ability to Achieve Objectives – 20 points: Goals and objectives are clearly stated and project 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 facilitate people-to-people networks for innovation and entrepreneurship. 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 – 10 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 Monitoring & Evaluation – 15 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 with notional targets, and shows how and when those will be measured and who will be responsible for them.

Sustainability – 15 points: The applicant clearly details how activities will result in benefits and positive impact 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-STAS 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 Part VII, Section A. 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-STAS 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.

E.3 Federal Awardee Performance & Integrity Information System

The Department of State, prior to making a federal award with a total amount of federal share greater than the simplified acquisition threshold, is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313). The applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM. The Department of State will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in §200.205 Federal awarding agency review of risk posed by applicants.

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-STAS 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-STAS 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). Unless otherwise stipulated, the Recipient may request payments on a reimbursement or advance basis. Instructions for requesting payments are available at: https://pms.psc.gov/.

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-STAS 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:

· 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.

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.

Due to the determination made under the Trafficking Victims Protection Act (TVPA) for FY 2021, assistance that benefits the governments of the following countries may be subject to a restriction under the TVPA. The Department of State determines on a case-by-case basis what constitutes assistance to a government; the general principles listed below apply.

Assistance to the government includes:

· All branches of government (executive, legislative, judicial) at all levels (national, regional, local);

· Public schools, universities, hospitals, and state-owned enterprises, as well as government employees;

· Cash, training, equipment, services, or other assistance provided directly to the government, assistance provided to an NGO or other implementer for the benefit of the government, and assistance to government employees.

Subject to TVPA for funds obligated during FY 2022:

AF: Comoros, Eritrea, Guinea-Bissau, South Sudan EAP: Burma, China (PRC), Malaysia EUR: Russia NEA: Algeria, Iran, Syria SCA: Turkmenistan WHA: Cuba, Nicaragua, Venezuela

Additional requirements may be included depending on the content of the program.

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-STAS 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.

Narrative progress reports should reflect the focus on measuring the project’s progress on the overarching objectives and should be compiled according to the objectives, outcomes, and outputs as outlined in the award’s Logic Model and in the Monitoring & Evaluation Narrative. An assessment of the overall project’s impact should be included in each progress report. Where relevant, progress reports should include the following sections:

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

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

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

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

· An update on expenditures during the reporting period;

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

· Performance indicator results and supporting documentation; and

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

Applicants should be aware of the post award reporting requirements reflected in 2 CFR 200 Appendix XII—Award Term and Condition for Recipient Integrity and Performance Matters.

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

A final narrative and financial report must also be submitted within 120 days after the expiration of the award.

Please note: Delays in reporting may result in delays of payment approvals and failure to…