NOFO - WH Cities Forward FINAL 1.27.23.docx

United States Department of State Bureau of Oceans and International Environmental and Scientific Affairs (OES) Notice of Funding Opportunity (NOFO): Western Hemisphere Cities Forward Program Funding Opportunity Number: SFOP0009319

Catalog of Federal Domestic Assistance Number: SFOP0009319 Type of Solicitation: Open Competition Application Deadline: March 8, 2023 Total Funding Ceiling: $3,950,000 (FY 2022) Anticipated Number of Awards: One Type of Award: ESF-funded Cooperative Agreement Period of Performance: three years Anticipated Time to Award, Pending Availability of Funds: March 29, 2023

A. PROJECT DESCRIPTION

A.1. Summary and Goals:

The U.S. Department of State, Bureau of Oceans and International Environmental and Scientific Affairs (OES) announces an open competition for U.S. based organizations (see eligibility information in C.1) interested in submitting applications to implement “Cities Forward” - a new program focused on solving key sustainability, equity and resilience challenges by delivering technical assistance to Latin American and Caribbean (LAC) cities - and helping them form partnerships to help them achieve their goals.

Background: On June 7th, 2022, at the 9th Summit of the Americas (SOA), President Biden announced the first ever “Cities Summit of the Americas” (CSOA) and further announced that a new “Cities Forward” initiative would be a key component of that Cities Summit, helping governments throughout the Hemisphere achieve the commitments they made at the 9th SOA through sub-national engagement. The Cities Summit of the Americas will be held in Denver the week of the 24th of April, 2023. This “Cities Forward” funding opportunity is expected to be awarded, depending upon the availability of funds, in time for an official program launch at the CSOA, on/about April 26, 2023.

State Department funding will help selected small, medium, and large cities connect to U.S. peers and develop sustainability action plans and implementation strategies to address local challenges aligned with U.S. foreign policy priorities, including equitable green job creation; new investments in sustainable technologies, digitization, and green infrastructure, enhanced air, water, and waste pollution mitigation; and improved climate adaptation and resilience in the built environment. In turn, these actions are expected to result in better human and environmental health, improved government services delivery, and more green livelihoods created in under-served incorporated urban areas and/or in quasi-permanent unincorporated peri-urban communities.

Cities Forward will be guided by three key principles: 1) It will be city-led: local stakeholders will lead action plan design and local project implementation; 2) The least are first: actions taken must benefit the cities’ poorest, most vulnerable citizens; and 3) Sustainability: solutions must be environmentally, economically, and socially sustainable. The program will equip sub-national leaders (including city government officials) in the LAC region with tools to advance urban sustainability, inclusivity, and resilience, which align with the U.S.-led commitments national government leaders from the region made at the 9th Summit of the Americas in Los Angeles, June 2022.

Eligible countries may include Antigua and Barbuda, Argentina, Aruba, The Bahamas, Barbados, Belize, Bolivia, Brazil, Chile, Colombia, Costa Rica, Dominican Republic, Ecuador, El Salvador, Guatemala, Guyana, Haiti, Honduras, Jamaica, Mexico, Panama, Paraguay, Peru, St. Kitts and Nevis, St. Martin, St. Vincent and the Grenadines, Suriname, Trinidad and Tobago, Uruguay, and Venezuela. Canada may participate in certain activities.

Past experience has shown that the overall cost of implementing an initiative of this degree is considerably higher than the actual U.S. Government funding that can be provided. Further, multiplier/sustainability of key program objectives will benefit from additional contributions. As such, cost sharing or matching is required and will affect eligibility as described in section E.1. Proposal Review Criteria.

While this program has specific outcomes and deliverables, applicants should aim to leverage other multilateral entities/multi-funded initiatives, city partnerships or efforts that are complimentary. Applicants should also aim to cost-share resources from other sources, except from the U.S. federal government or from foreign national governments. See section C.2 on Cost Share.

A2. Activities:

The Cities Forward initiative will have three interconnected phases.

Phase One (3-6 months): At the first part of Phase One, awardee will create a logo and translation of a fact sheet (provided by DOS) in English, Spanish, Portuguese, and French, (both due within 15 days of award issuance). The Cities Forward logo and the translation of the fact sheet must be ready no later than April 15, 2023, so they can be released at the CSOA launch of Cities Forward the week of April 24, 2023.

At the CSOA, the State Department will announce the Cities Forward program and invite interested cities from eligible countries to apply. The Department will select six to twelve cities of various sizes from eligible countries in Latin America and the Caribbean (LAC) for the grantee to connect to U.S. city peers, who will also be selected by the State Department from among a volunteer applicant pool.

Once the cities have been selected and paired in the latter part of Phase One, the grantee will develop a plan of action to create opportunities for peer meetings, city tours, and participation in relevant conferences and trade shows. At the close of this phase, the grantee will conduct needs assessment in each participating LAC city.

Note: Throughout the program life, grantee will share program news, best practices, case studies, technical and regulatory solutions, with key documents carried in English and one or more of the other main regional languages: Spanish, Portuguese, and French, on the Cities Summit of the Americas CSOA) website, found at: . Translation or interpretation of workshops, study tours and charrettes should be provided in English, Spanish, Portuguese, and French as needed to facilitate communication.

Phase Two (6-12 months):

This phase will consist of a series of multi-stakeholder workshops, study tours, and charrettes held in participating LAC cities to help them develop their own sustainability action plans. If deemed necessary, grantee will begin this phase with a citizen survey to determine community priorities and help engage local stakeholders in solution design.

In workshops and charrettes, all conducted in the participating LAC cities, program participants are expected to learn (inter alia) about biophilic, nature-based, and circular economy approaches to urban planning and design, innovations in green buildings and infrastructure, secure digital networks for improved service delivery, low-carbon transportation and clean energy generation options, air pollution monitoring and mitigation, sustainable waste and water management, climate adaptation and resilience measures, and how best to engage marginalized citizens in decision-making through processes such as charrettes.

Note: All the action plans created in phase two of Cities Forward must provide environmental and/or climate resilience benefits to underserved and vulnerable urban communities to continue to receive beneficial capacity training and tailored support in phase three.

In Phase Three (12-24 months), the Cities Forward grantee, with the support of the State Department, will help LAC cities achieve the goals they have set for themselves in their action plans through implementation strategies that can include partnerships with the private sector, the research and academic community, philanthropies, NGOs, development finance entities, multilateral organizations, and U.S. government agencies.

Most of this phase should be set in Washington, DC to take advantage of the proximity of relevant institutions. These institutions could include (but are not limited to): the World Bank, the Global Environment Facility, International Finance Corporation, North American Development Bank, Inter-American Development Bank, Institute for Public Private Partnerships, U.S. Treasury Department, Development Finance Corporation, Department of Housing and Urban Development, US Trade Development Agency, Millennium Challenge Corporation, Department of Transportation, Environmental Protection Agency, US Agency for International Development, the Department of Commerce, and others.

There should also be opportunities for LAC cities to meet with U.S. firms who can provide sustainability consulting services to LAC cities and/or demonstrate technical solutions.

Note: The State Department can provide a no-cost meeting venue and will help to convene governmental and multilateral funding partners.

Phase one outcomes/outputs (3-6 months):

Enhanced U.S.-LAC ties through the bolstering of existing city-to-city pairings or the creation of new U.S.-LAC city connections. Awardee will develop sustainability, inclusivity, and resilience (SIR) needs assessments for specified LAC cities. (Note: The State Department will provide a list of city pairings.)

Phase One key deliverables:

a) Creation of a program logo, a web page within the CSOA web platform (www.citiessummitoftheamericas.org), and a fact sheet and Cities Forward pairing application (both provided by the State Department) in four languages: English, Spanish, Portuguese and French.

b) Delegations from the paired cities will tour each other’s cities where feasible to create new (or reinforce existing) ties for peer-to-peer learning that comes from solving commonly held sustainability/inclusivity/resilience problems.

c) Short needs assessments (one per LAC city -not more than 10 pages in length) will be conducted.

Phase Two outcomes/outputs (6-12 months):

LAC city participants will have gained new knowledge and awareness about sustainability, equity, and resilience, and LAC cities will develop sustainability action plans.

Participants in workshops have gained knowledge (inter alia) about biophilic, nature-based, and circular economy approaches to urban planning and design, innovations in green buildings and infrastructure, secure digital networks for improved service delivery, low-carbon transportation and clean energy generation options, air pollution monitoring and mitigation, sustainable waste and water management, climate adaptation and resilience measures, and how best to engage marginalized citizens in decision-making through processes such as charrettes. Methodology: Group seminars, workshops, and charrettes.

Phase Two key deliverables:

a) If deemed useful/needed, grantee will conduct a citizen survey, to better understand what stakeholders feel are the most urgent sustainability, inclusivity and resilience challenges they are facing.

b) Required: A vision statement and a sustainability action plan per participating LAC city.

Phase Three outcomes/outputs (12-24 months):

LAC cities develop action plan implementation strategies and partnerships which create the right enabling conditions for change. This could include but is not limited to: a variety of low-cost project finance options (including P3 alternatives, grants, climate funds, blended finance, co-ops, and concessionary lending) for large-scale, long-term capital projects and improvements that produce social and economic benefit to vulnerable citizens; a sampling of successful environmental regulatory and enforcement mechanisms; information about U.S. green building codes and land use and zoning options that promote equity and green spaces; special tax districts for unincorporated areas, and green workforce training options. City managers, chief financial officers, procurement officials and mayors will also learn about the use of blended finance mechanisms, bonds, and public-private partnership models to enable them to provide maximum benefit to the communities served. Ultimately, the goal of this phase is to provide participating city leaders with the tailored resources needed to implement their city’s sustainability action plan.

Phase Three key deliverables:

a) Seminars, roundtables, and bilateral meetings in Washington, DC with U.S. city managers and chief financial officers, relevant USG agencies, U.S. partner city officials, and potential finance partners.

b) Public-Private Partnership training for LAC chief financial officers, city managers, chief technology officers, and comptrollers.

c) Action plan implementation strategies (one per LAC city).

d) New action plan implementation partnerships formed, with a goal of one per LAC city.

e) Sufficient existing and new financial resources identified and/or secured to support action plan implementation.

A.4 Metrics:

Because of the highly varied nature of the potential beneficial outcomes from this program, applicants will be allowed a great deal of leeway in proposing customized impact indicators.

However, all applications must include basic output metrics such as:

1. number of workshops, seminars, roundtables, bilateral meetings, and charrettes completed

2. number of LAC sustainability action plans and LAC implementation strategies developed with all relevant stakeholders participating in their development

3. number of new partnerships formed to carry out the plans

4. number of action plans that attract sufficient financing to carry them out

5. amount of external project financing and investment facilitated Applications must include these two outcome indicators:

1) Approximate number of very poor beneficiaries from USG assistance targeted to reach the very poor, disaggregated by gender.

2) Value ($) of non-donor resources mobilized for local development Applications may also include any of the following indicators:

· Projected greenhouse gas emissions reduced or avoided from adopted laws, policies, regulations, or technologies related to clean energy as supported by USG assistance

· Number of policy instruments that promote reduction of plastic pollution and sustainable management of municipal solid waste supported by USG assistance.

· Number of host government or community-derived risk management plans formally proposed, adopted, implemented or institutionalized with USG assistance

· Number of people trained in disaster preparedness as a result of USG assistance, disaggregated by gender.

· Number of institutions with improved capacity to assess or address climate change risks supported by USG assistance.

Note: Because action plans will be city-led, custom indicators may need to be added in phase two.

A.5 Expected Deliverables and Timetable

Phase 2 Workshops and charrettes

X

Sustainability Action Plans developed (one per LAC city)

X

Phase 3 workshops, expos, and seminars in the US

X

Implementation Strategies developed (one per LAC city)

X

PPP training for LAC city managers and CFOs

X

PPP matching and formation, including financial partners, if needed

X

A.5 Foreign Policy Relevance: This project supports the Biden-Harris Administration’s October 2022 National Security Strategy, Foreign Policy for the American People, the Partnership for Global Infrastructure Investment, and the commitments from the 9th Summit of the Americas under its theme of "Building a Sustainable, Resilient, and Equitable Future." The Administration is deepening U.S. engagement with city stakeholders like mayors and city planners in Latin America and the Caribbean, and the Cities Forward initiative provides new opportunities for communities big and small to build a stronger and more equitable economic foundation, protect democratic institutions and processes, strengthen sustainable development, ensure a clean healthy environment for all, and spur innovation across the hemisphere. This notice is subject to availability of funding.

B. FEDERAL AWARD INFORMATION

Primary organizations can submit one application in response to the NOFO. If an applicant chooses to submit multiple applications to this NOFO, it is the responsibility of the applicant to demonstrate the competitiveness and uniqueness of each application.

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) based on 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 to obtain clarifications, additional detail, or to suggest refinements in the project description, budget, or other aspects of an application.

OES 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 will undertake reasonable and programmatically necessary substantial involvement.

Examples of substantial involvement can include, but are not limited to:

· Review and approval of progress indicators;

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

· Review and approval of substantive provisions of proposed sub-awards or contracts beyond existing Federal policy;

· Approval of the recipient’s budget or plan of work prior to the award;

· Approval of partner institution selection; and

· Active monitoring of program activities, including monthly video calls with awardees and at least one site visit during Phase 2, mid-program.

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 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 welcomes applications from U.S.-based non-profit entities with 501(c) (3) status of the U.S. tax code; or for-profit entities. including from a consortium of entities. Applicants may form a consortium and submitted a combined application. However, one organization should be designated as the lead applicant with other member a sub-award partners.

Applications submitted by for-profit entities may be subject to additional review following the panel selection process. Additionally, the Department of State prohibits for-profit or commercial organizations to profit under its assistance awards. Profit is defined as any amount in excess of allowable direct and indirect costs. The allowability of costs incurred by commercial organizations is determined in accordance with the provisions of the Federal Acquisition Regulation (FAR) at 48 CFR 30, Cost Accounting Standards Administration, and 48 CFR 31 Contract Cost Principles and Procedures.

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 an eligibility factor and requirement for this NOFO. Per 2 CFR §200.306, items that are proposed for cost share must be allowable per 2 CFR §200, Subpart E—Costs Principles.

Applications without cost-sharing or matching will not be considered eligible or move forward to the panel/merit review. Cost-sharing or matching will be reviewed consistent with E.1. Proposal Review Criteria.

Cost sharing is the portion of program cost not borne by DOS. Applicants should consider all types of cost sharing. Examples include the use of office space owned by other entities; donated or borrowed supplies and equipment; (non-federal) sponsored travel costs; waived indirect costs; and program activities, translations, or consultations. Other USG funding or foreign government funding does not constitute as cost sharing.

The recipient of an assistance award must maintain written records to support all allowable costs which are claimed as its contribution to cost-share, as well as costs to be paid by the Federal government. Such records are subject to audit. The basis for determining the value of cash and in-kind contributions must be in accordance with 2 CFR 200. In the event the recipient does not meet the amount of cost-sharing stipulated in their application, the Bureau’s contribution may be reduced in proportion to the recipient’s stated contribution.

C.3 Other Applicants must have experience in developing and leading multi-disciplinary urban sustainability, inclusion and resilience programs and have experience managing international exchanges in multiple languages. Must have the ability to create and sustain a web pages, develop and run workshops and charrettes, conduct urban research, and have strong connections to relevant subject matter experts. Prior Western Hemisphere experience and connections are preferred.

Applicants must have existing, or the capacity to develop, active partnerships with in-country partners, solutions providers, finance entities, and relevant local 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 “Western Hemisphere Cities Forward Program,” funding opportunity number SFOP0009319. Please contact the OES point of contact listed in Section G if requesting reasonable accommodations for persons with disabilities or for security reasons. Please note that reasonable accommodations do not include deadline extensions.

D.2 Content and Form of Application Submission 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:

· Completed and signed SF-424, SF-424A, and SF-424B forms.

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).

· 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.

· 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, Audit, or NICRA. Applicants are encouraged to combine multiple documents into a single Word Document or PDF (i.e., Cover Page, Table of Contents, Executive Summary, and Proposal Narrative in one file). The Narrative must include the following:

1) 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.

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

3) Program Goal: The “goal(s)” describe the larger outcome intended

4) 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

5) 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.

6) 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.

7) 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.

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

· Budget Narrative (preferably as a Word Document) Justify each line-item in the budget and explain how the amounts were derived, consistency with the applicant's documented policies, as well as the source and description of all proposed costs (and cost-share, if applicable). The narrative should complement the budget rather than repeat information provided in the budget. For example, the narrative should provide details on the purpose of costs, reasonability of costs, cost price analysis, explain allocations, explain any yearly variances and tie expenses to program activities and/or objectives where appropriate. Sources of all cost-share offered in the application should be identified and explained in the budget narrative. See Tab 1 Budget Guidelines for FADR (Jan 2023) for more information.

· 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.

· 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.

· 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) 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.

· 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.

Additional attachments (if applicable):

· Letter of Institutional Support (Refer to Annex I for a sample letter)

· 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 funding for the first time (unless an exemption is provided);

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

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

D.3 Unique Entity Identifier and System for Award Management (SAM) All prime organizations, whether based in the United States or in another country, must have a Unique Entity Identifier (UEI), formerly referred to as DUNS, and an active registration with the SAM.gov before submitting an application. OES may not review applications from or make awards to applicants that have not completed all applicable UEI and SAM.gov requirements. A UEI is one of the data elements mandated by Public Law 109-282, the Federal Funding Accountability and Transparency Act (FFATA), for all Federal awards.

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

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 do not pay employees within the United States do not need an EIN from the IRS

· 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 Unique Entity Identifier from SAM.gov SAM.gov registration If you are an organization based outside the U.S. and plan to do business with the Department of Defense:

Step 1: Apply for a NCAGE Code NCAGE application: Application page here: https://eportal.nspa.nato.int/AC135Public/scage/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 register in SAM.gov by logging onto: https://www.sam.gov.

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.

All prime organizations must, at all times during which they have an active Federal award or application under consideration by any Federal awarding agency, maintain an active SAM.gov registration with current information. SAM.gov requires all entities to renew their registration once a year 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 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 “AQM Guidance for NCAGE-SAM.gov for Grant Applicants as of Dec 2022” is a compilation of resources gathered by DOS. Any content shown from SAM.gov is not owned by the Department of State. This guidance and instruction are to the best of our knowledge based at the time of posting this solicitation. Where guidance in this attachment differs from the SAM.gov website, SAM.gov prevails and the applicant is encouraged to seek and document clarity from 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.

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 March 8th, 2023 on https://www.grants.gov/ or SAMS Domestic (https://mygrants.servicenowservices.com) under the announcement title “Western Hemisphere Cities Forward Program” funding opportunity number SFOP0009319.

Grants.gov and SAMS Domestic automatically log the date and time an application submission is made, and the Department of State will use this information to determine whether an application has been submitted on time. Late applications are neither reviewed nor considered. Known system errors caused by Grants.gov or SAMS Domestic (https://mygrants.service-now.com) that are outside of the applicant’s control will be reviewed on a case-by-case basis. Applicants should not expect a notification upon OES receiving their application.

D.5 Funding Limitations, Restrictions, and other Considerations OES will not consider applications that reflect any type of support for any member, affiliate, or representative of a designated terrorist organization. Please refer the link for Foreign Terrorist Organizations: https://www.state.gov/foreign-terrorist-organizations/ Project activities whose direct beneficiaries are foreign militaries or paramilitary groups or individuals will not be considered for OES funding given purpose limitations on funding.

Absent specific authority to do so, and with certain exceptions, project activities also should not benefit foreign police, prisons or law enforcement.

The Leahy Law prohibits Department foreign assistance funds from supporting foreign security force units if the Secretary of State has credible information that the unit has committed a gross violation of human rights. Per 22 USC §2378d(a) (2017), “No assistance shall be furnished under this chapter [FOREIGN ASSISTANCE] or the Arms Export Control Act [22 USC 2751 et seq.] to any unit of the security forces of a foreign country if the Secretary of State has credible information that such unit has committed a gross violation of human rights.” Restrictions may apply to any proposed assistance to police or other law enforcement. Among these, pursuant to section 620M of the Foreign Assistance Act of 1961, as amended (FAA), no assistance provided through this funding opportunity may be furnished to any unit of the security forces of a foreign country when there is credible information that such unit has committed a gross violation of human rights. In accordance with the requirements of section 620M of the FAA, also known as the Leahy law, project beneficiaries or participants from a foreign government’s security forces may need to be vetted by the Department before the provision of any assistance. If a proposed grant or cooperative agreement will provide assistance to foreign security forces or personnel, compliance with the Leahy Law is required.

In addition, funds cannot be made available to any individual or organization that has committed serious human rights abuse.

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

D.6 Other Submission Requirements All application submissions must be made electronically via www.grants.gov or SAMS Domestic (https://mygrants.servicenowservices.com). Both systems require registration by the applying organization. Please note that the Grants.gov registration process can take ten (10) business days or longer, even if all registration steps are completed in a timely manner.

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

Faxed, couriered, or emailed documents will not be accepted. Reasonable accommodations may, in appropriate circumstances, be provided to applicants with disabilities or for security reasons. Applicants must follow all formatting instructions in the applicable NOFO and these instructions.

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

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

SAMS Domestic Applications:

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

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 1-800-518-4726 or 1-606-545-5035 (International) or email support@grants.gov. Grants.gov is available 24 hours a day, seven days a week, except federal holidays.

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

E. APPLICATION REVIEW INFORMATION

E.1 Proposal Review Criteria The OES review panel will evaluate each application individually against the following criteria, listed below in order of importance, and not against competing applications. Please use the below criteria as a reference, but do not structure your application according to the sub-sections.

Quality and 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 solving the problem addressed in the problem statement. The application clearly defines the problem; it’s causes; stakeholders; and existing research/data; the approach taken to solve the problem; realistic milestones to indicate progress.

Organizational Capacity – 30 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 country/territory/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 encourage innovation. The applicant addresses how the project will engage or obtain support from relevant stakeholders and/or identifies local partners. Program logic is sound showing plausible pathways to achieve project outcomes. Key assumptions and risks have been identified and their potential influences described. The applicant acknowledges if activities similar to those proposed are already taking or have taken place previously and provides an explanation as to how proposed new activities will not duplicate or merely add to existing/recent activities.

Budget & Budget Narrative – 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/Sustainability – 10 points: Applicant demonstrates it is able to measure program success against key indicators and provides milestones to indicate progress toward goals outlined in the proposal. The program includes output and outcome indicators and shows how and when those will be measured and who will be responsible for them. The applicant clearly details how activities will result in benefits that will continue beyond the funding period.

Support of Equity and Underserved Communities – 10 points: Proposals should clearly demonstrate how the program will support and advance equity and engage underserved communities in program administration, design, and implementation.

Cost-Sharing or Matching – While all applicants are required to include in-kind and/or cash cost-share or matching, it will only be used as a merit review factor in tie-breaking. Should two proposals receive equal merit review scores, the application with more cost-share contribution will rank higher.

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.