nonprofit management nofo final.docx

Notice of Funding Opportunity Cuban Nonprofit Management Scholarship Program

Catalog of Federal Domestic

Issuance Date: June 23, 2015

Deadline for Receipt of Questions: July 14, 2015, 5:00 PM EDT

Closing Date and Time for Submission of Applications: July 23, 2015, 5:00 PM EDT

EXECUTIVE SUMMARY

The United States Department of State, Bureau of Western Hemisphere Affairs (WHA) announces a Notification of Funding Opportunity (NOFO) to support a U.S.-based scholarship program for graduate-level education focused on nonprofit management for Cubans with up to $1,584,158 in FY 2014 Economic Support Funds for a project period of four years. The anticipated start date for this activity is September 2015 and one award is anticipated as a result of this NOFO. WHA invites U.S. public and private institutions of higher education or U.S. nonprofit /non-governmental organizations having 501(c)(3) status with the IRS or an equivalent official status to submit proposals.

The program will support the U.S. government’s foreign assistance goal to empower Cubans to freely determine their own future by increasing human capacity, promoting community-level engagement, and expanding civic society networks by administering a scholarship program for graduate-level degrees or certificates in nonprofit management in the United States for at least 15 participants. The program will build the capacity of Cuban individuals to more effectively establish, lead, manage, and grow independent organizations in Cuba. In addition to the university-based requirements for completing a degree or certificate, the program will include English language training, as needed, to prepare students for scholarly courses, as well as a work experience opportunity through an internship with a nonprofit organization or professional association.

WHA reserves the right to fund any or none of the applications submitted and will determine the resulting level of funding for the award. The authority for this NOFO is found in the Foreign Assistance Act of 1961, as amended. The CFDA Number for this funding opportunity is 19.750.

Eligible organizations interested in submitting an application are encouraged to read this NOFO thoroughly to understand the type of project sought and the application submission requirements and evaluation process.

For questions about this solicitation, please contact:

Bureau of Western Hemisphere Affairs WHAGrants@state.gov

NOTICE OF FUNDING OPPORTUNITY

The United States Department of State’s Bureau of Western Hemisphere Affairs (WHA) is seeking applications from accredited U.S. institutions of higher education (or consortia of institutions) or qualified nonprofit organizations for a grant to implement a project entitled “Cuban Nonprofit Management Scholarship Program.” The authority for this Notice Of Funding Opportunity (NOFO) is found in the Foreign Assistance Act of 1961, as amended.

Pursuant to 2 CFR 200.400g, it Department policy not to award profit under assistance instruments. All reasonable, allocable, and allowable expenses, however, both direct and indirect, which are related to the agreement program and are in accordance with applicable cost standards (2 CFR 200 for US and overseas-based non-profit organizations, and universities; the Federal Acquisition Regulation (FAR) Part 31 48 CFR 31.2 for-profit organizations; and the Mandatory Standard Provision “Allowable Costs (APR 2011)” for public international organizations), may be paid under the grant agreement.

Subject to the availability of funds, the Department intends to issue an award in an amount not to exceed $1,584,158 in total funding. The U.S. Dollar amount will be funded from Economic Support Funds for a project period not to exceed four years. The anticipated start date for this activity is September 2015. One award is anticipated as a result of this NOFO. WHA reserves the right to fund any or none of the applications submitted and will determine the resulting level of funding for the award.

Eligible organizations interested in submitting an application are encouraged to read this NOFO thoroughly to understand the type of project sought and the application submission requirements and evaluation process.

To be eligible for award, the applicant must submit all required information in its application through grants.gov or grantsolutions.gov, including the requirements found in any attachments to this grants.gov opportunity. This NOFO consists of this cover letter plus the following Sections:

This funding opportunity is posted on www.grants.gov and may be amended. See Section IV for further details. Potential applicants should regularly check the website to ensure they have the latest information pertaining to this NOFO. Applicants will need to have available or download the Adobe software program to their computers in order to view and save the Adobe forms properly. If you have difficulty registering on www.grants.gov or accessing the NOFO, please contact the grants.gov Helpdesk at 1-800-518-4726 or via email at support@grants.gov for technical assistance.

It is the responsibility of the recipient of this NOFO document to ensure that it has been received from Grants.gov in its entirety. WHA bears no responsibility for data errors resulting from transmission or conversion processes associated with electronic submissions.

Questions concerning this specific NOFO should be submitted in writing to WHAGrants@state.gov. The deadline for submission of questions for this NOFO is July 14, 2015, 5:00 PM Washington, DC local time. Responses to questions will be made available to all potential applicants through an amendment to this NOFO and posted on grants.gov.

Issuance of this NOFO does not constitute an award commitment on the part of the U.S. government, nor does it commit the U.S. government to pay for costs incurred in the preparation and submission of an application. In addition, final award of any resultant grant agreement cannot be made until funds have been fully appropriated, allocated, and committed through internal WHA procedures. While it is anticipated that these procedures will be successfully completed, potential applicants are hereby notified of these requirements and conditions for award. Applications are submitted at the risk of the applicant. All preparation and submission costs are at the applicant's expense.

Sincerely, John D. Feeley Principal Deputy Assistant Secretary Bureau of Western Hemisphere Affairs U.S. Department of State NOFO Number: WHAP-WHAAQPPC-15-003 Cuban Nonprofit Management Scholarship Program

SECTION I – FUNDING OPPORTUNITY DESCRIPTION

BACKGROUND

U.S. foreign assistance for Cuba seeks to empower Cubans to freely determine their own future by increasing human capacity, promoting community level engagement, and expanding civil society networks. Since 1996, the United States has provided assistance to increase the flow of information on democracy, human rights, and free enterprise to Cuba through a variety of U.S. and foreign non-governmental organizations.

The U.S. Department of State has engaged with independent civil society groups on education, communication, and governance issues. The Bureau of Western Hemisphere Affairs (WHA) seeks to build upon these earlier, successful capacity building efforts and provide professional development opportunities to current and future civil society and community leaders through coursework and internships on nonprofit management. Civil society organizations in Cuba have had few models to follow as they grow to serve the needs of their communities. With an increased ability to travel, Cubans are eager for more information and want to take advantage of educational opportunities not afforded to them otherwise.

To support further progress, the U.S. Department of State has allocated $1,584,158 in FY 2014 Economic Support Funds for a scholarship program for graduate-level coursework focused on nonprofit sector management.

PROJECT PURPOSE

To support the professional growth of emerging nonprofit leaders and thereby contribute to the development and diversification of human capital in Cuba, this project will fund a scholarship program for graduate-level certificates and degrees focused on nonprofit management. Participants will also receive English language training and a hands-on trainee/internship program in a U.S. non-governmental organization or professional association as part of the project. At the end of the project, participants will have a set of tools and skills to manage and grow civil society organizations that will effectively support democratic principles in Cuba.

PROJECT GOAL

The goal of this project is to empower and prepare nonprofit leaders to use entrepreneurial tools and strategies and to grow Cuba’s nascent civil society base and enable the nonprofit sector to work more efficiently and effectively as a means to promote democratic principles in Cuba.

PROJECT OUTCOME

The individuals that participate as students and interns in this project will be able to demonstrate knowledge of and skill in multiple aspects of management of nonprofit organizations, enabling them to return to Cuba to provide greater expertise in the field and capable of employing their newfound skills as founders, employees, or advisors for independent organizations in any variety of issue areas.

PROJECT OBJECTIVES

In order to fulfill and meet the above-stated purpose and goal, the recipient of this grant will complete the following major components:

1. Recruitment and Selection: The grantee organization will manage a comprehensive recruitment process to identify eligible participants in Cuba, appropriately screen candidates, notify them of their selection for the scholarship, and provide an orientation.

2. U.S. Program:

a) English Language Training: The grantee will provide participants with English language immersion courses designed for international students so they are prepared to actively participate in the educational and professional development components.

b) Graduate-level coursework: The grantee will arrange for participants to enroll in and complete graduate-level coursework at U.S. institutions of higher education leading to a master’s degree or certificate that focuses specifically on nonprofit management.

c) Work experience: The grantee will ensure that once students have completed or are near completion of their graduate program, participants will fulfill a three-month internship with a U.S. nonprofit organization and/or professional association in order to gain hands-on experience employing the learned strategies and concepts.

d) Professional Development Seminar: At annual or semi-annual intervals, the grantee will offer U.S.-based seminars for the participants, to assist in the practical application of principles in nonprofit management.

3. Follow-on with Alumni: To the extent possible, the grantee organization will assist participants in engaging in networking and other professional development opportunities, both with each other and with regional networks of peers.

4. External Evaluation: A neutral third-party evaluator, selected through a competition administered by the recipient, will assess the short- and medium-term results of the scholarship program. Within the limitations of the grant period, measurements will include the impact on the individual participants as well as any organizational or community effects in Cuba that can be determined to have resulted from the project.

PROJECT DESCRIPTION

This project is intended to provide graduate-level education to a minimum of 15 Cuban participants in nonprofit management, resulting in either a master’s degree or a certificate. Applicants must provide a plan to accommodate both. Applicants are encouraged to partner with other institutions, if necessary, in order to accommodate the project needs, such as the number of students and the credentials sought.

Master’s degree: The degree may be, for example, an M.A. of Public Affairs. In this instance, the concentration must be in nonprofit management. The proposal should explain the extent to which the nonprofit management concentration makes up the course credits.

Certificate: Students must be able to obtain the certificate in nonprofit management on its own, not in conjunction with a master’s degree or another certificate in another field.

WHA anticipates that the first students would be recruited and screened over the fall and winter of 2015/2016, and the finalists will be selected in spring 2016. English language training would prepare the students for a degree or certificate program start date of fall 2016. [Note: WHA will allow for an earlier start date for highly-qualified students if requested, and students scheduled to start fall 2016 should require only a month or so of English preparation. Others who need more preparation will need to start their graduate program in 2017.] Students would then complete the scholarship program, including the internship, over the course of the next one to 2-1/2 years, depending on the requirements of the degree or certificate, course offerings, etc. Subsequent participants could start the programs at intervals appropriate to the degree, the English training needs, and the schedules of both the student and the host university. The last participant should complete his or her program requirements prior to September 2019.

This is a full scholarship and the award will cover almost all participant expenses, including travel, tuition, room and board, insurance, and professional development activities. The minimum number of students over the life of this award is 15. WHA strongly prefers to have more than 15 students complete the program, should a sufficient number of qualified candidates be identified and should funding allow, particularly if more students enroll in certificate programs rather than master’s programs. The number of students participating each year need not be the same, and the number of master’s students versus certificate students will reflect the interests and qualifications of the selected applicants.

PROJECT GUIDELINES

Applicants must describe the design and management of all of the components described below within the proposal narrative or in the attachments. Applicants should also be sure to describe the roles and responsibilities of the project management team and partner organizations or institutions.

1. Recruitment and Selection

Recruitment Plan and Partners:

As described in the submitted proposals, applicants should be prepared to implement a robust recruitment and selection plan by identifying the recruitment/selection partners and the respective roles; developing plans for outreach that will generate a strong pool of qualified candidates; describing how promotional materials will be developed and disseminated; detailing how this recruitment plan will engage geographically, racially/ethnically, and socio-economically diverse audiences; and describing the host institution admissions requirements as well as additional selection criteria under consideration. Recruitment and selection on-island by the grant recipient may not be possible, so applicants must provide detailed back-up plans to recruit and interview viable, mature candidates. In the proposals, applicants must outline the admissions requirements that will be necessary at the host institutions and describe how the grant recipient will assist students in preparing the university admission materials, which may include the translation of transcripts, and in taking any required entrance examinations or providing suitable alternatives that demonstrate qualifications. Before final decisions are made, the grantee will recommend the principal and alternate participant list to the U.S. Department of State, Bureau of Western Hemisphere Affairs.

Participants:

The participants will be Cuban individuals who have completed a university degree equivalent to a U.S. accredited Bachelor’s degree and have demonstrated an interest in starting or managing an independent organization. Participants must be sufficiently proficient in English so that after sector-specific additional English language training they can take full advantage of graduate-level coursework at a U.S. university and an internship at a U.S nonprofit organization. In addition to the appropriate education and English qualifications, the participants should also demonstrate the aptitude (maturity, independence, self-reliance, etc.) for success in a long-term program abroad as well as in managing an independent organization in Cuba. Participants must demonstrate a stated desire to return and work in the management of independent organizations in Cuba.

Visas:

Each participant must be able to receive a U.S. visa and commit to returning to Cuba upon completion of the program. The award recipient or host institutions will issue the relevant forms to support the students in obtaining appropriate visas. The award recipient and all sponsored participants must comply with all visa regulations.

Pre-departure Orientation:

The award recipient will provide participants with a substantive pre-departure orientation – any combination of video-conferencing, in-person sessions, written materials (provided in hard copy, USB drives, or CD/DVD), and/or low-bandwidth websites – to effectively prepare them for the scholarship program. This will include the provision of details on the program components; cross-cultural adjustment; travel and financial matters; terms and conditions of the scholarship; health insurance; and the host institutions. Guidance should also outline what to bring to the United States, how to communicate with home, and other logistical matters.

2. U.S. Program

A. English Language Training

WHA expects that most if not all of the selected students will require additional language study, particularly for sector-specific academic terminology. The award recipient will need to be prepared to offer English language training in the United States for the Cuban students prior to the onset of the graduate program. Ranging from a few weeks to several months depending on the needs of the participants, this immersion training, designed for international students, should elevate participant skills and prepare the scholarship students for graduate level work at a U.S. university. Participants may be in classes organized just for them or may be enrolled in English as a second language classes (ESL). Participants may also continue with English language support during the academic program if needed. The applicant organization should explain its plan for English language training, including plans for initial placement assessments and placing students in ESL training appropriate to the students’ level. Proposals should identify the host institution(s) for English-language training.

Imbedded with the English language training or offered as a separate orientation, seminars should be offered to the students to prepare them for the program in the United States, including such topics as cross-cultural adjustment, campus culture, and study skills including research and computer literacy. Applicant organizations should describe plans for students to participate in on-campus orientation activities to better acclimate the students to the host campuses.

B. Graduate-level Degree or Certificate Program

The recipient institution or organization will offer participants graduate-level certificates or master’s degrees in nonprofit management and establish an environment in which the Cuban participants can successfully complete the program requirements. Online degrees or certificates are not suitable. Courses in the programs of study may include community mobilization, nonprofit leadership, alliance and partnership building, fiscal management and accountability, ethics, and sustainable growth strategies for nonprofits.

WHA expects that the participants will receive thorough support and guidance by project staff. The proposal should describe how the applicant organization/host institutions will monitor the students to help ensure success. Host institutions should designate a person to look after students’ academic and personal progress in the United States. The applicant organization should propose a set of academic and behavioral standards for the program and define policies for working with students who do not meet these standards.

WHA encourages universities to work with local nonprofit organizations in the provision of multiple aspects of the program, as appropriate, that will round out the experience in the United States. This may include English clubs, international student associations, social and cultural activities, home hospitality with local families, and volunteering and internships.

C. Work Experience

For each participant, the program will conclude with a substantive three-month internship with a U.S. nonprofit organization or professional association, which may or may not be in the same city as the host institution. The internship will enable the student to apply the knowledge and skills acquired during his or her studies to a functioning organization over an extended period.

It is important that the participants have the opportunity to experience the variety of day-to-day operations of the nonprofit organization. Many certificates and degree programs already include internships or apprenticeships as part of the curriculum. In these instances, the internship will need to fulfill this scholarship program’s requirements as well. WHA expects students to participate in a full-time internship after the completion of the degree or certificate; while a full-time internship experience is preferred, in certain circumstances the student may participate in the internship concurrent with the last semester of coursework.

Participants will only be placed with organizations that have established reputations, histories, and work. The award recipient and host institution(s) will provide the students with a pool of pre-selected organizations in which students may choose to intern. The plan for arranging these internships, along with a sampling of organizations, must be described in the proposal. The selected organizations should work in issue areas of universal concern to democratically managed nonprofit organizations, and may include fields such as environmental protection, youth engagement, animal welfare, transportation safety, gender issues, or housing. The award recipient must also secure a commitment from the organizations to offer a substantive professional development experience targeted to an adult workforce.

D. Professional Development Seminar

The award recipient will offer U.S.-based professional development seminars for the program participants with a frequency that enables each student to participate in at least one seminar during the program and meet his or her fellow students.

The award recipient will design these seminars to build professional and scholastic skills for a career in management. Seminar topics must be selected to facilitate the participants’ work in Cuba and may include, but are not limited to, resume-writing, interviews, presentation and networking techniques, as well as topics specific to nonprofit management such as finances and personnel management. A logistical plan and proposed content must be described in the proposal. Applicants may also wish to propose additional interim virtual seminars that fulfill a similar purpose.

On a limited basis, the award recipient may use grant funds to support the students’ participation in programmatically-appropriate regional conferences, workshops, meetings, and associations and in activities designed to enhance Cuban involvement in regional networks, such as the Latin American Student Association (LASA) and Association for Studies of Cuban Economy (ASCE).

3. Follow-on with Alumni

Staying engaged with the alumni is important for evaluating the success of the project as well as continuing to support the alumni in engaging in networks of their professional peers in the United States and in Latin America. Coordination with other alumni networks, including the 100,000 Strong in the Americas Initiative (http://www.100kstrongamericas.org/), is strongly encouraged. Applicant organizations should describe various approaches to facilitate this engagement, working with WHA and responding to the changing dynamics of relationships in the region. All proposed follow-on activities for alumni must be developed in close consultation with WHA and reflect the goals and objectives of the project. Proposals should include an outline of and timeline for follow-on alumni programming, information on how it will be coordinated, and how longer-term linkages with alumni may be fostered and maintained.

4. External Evaluation

The recipient organization must compete and select an external evaluator that will prepare a comprehensive evaluation of the results of the project, guided by the stated purpose and goals. An initial baseline assessment of the capacity of the participants will be essential, surveying the skills and knowledge in the field of organizational management. If possible, all applicants, not just selected participants, will be surveyed, as a way of establishing the career progress of a control group.

Specifically, the evaluation should measure whether participants learned a wide range of skills specific to the management and sustainability of a nonprofit organization, including accountability to boards, staffs, volunteers, clients, funders, and members of the public, as applicable. During the course of the program, participants will hone critical thinking skills, interpersonal, goal setting, and organization skills, especially through the hands-on experience in the day-to-day operations of a nonprofit organization. While the graduate programs will assess the students’ work toward the degree or certificate, this evaluation will encompass the entire project and all of its components, from the suitability of the selection process to the U.S. program and the other support.

To the extent possible, given possible limitations on access to alumni and the time frame of the award, the evaluator should also measure the longer-term impact of the award. The evaluator should measure participants’ abilities to more effectively establish, lead, manage, and grow independent organizations in support of democratic principles in Cuba. The evaluation should ascertain if participants returned to Cuba with practical tools for managing an independent organization, including staff and volunteer recruitment and retention, fiscal management, public relations, and evaluation.

The proposal will present a plan for this evaluation. Please see the next section and Tab B for more information.

DESIRED RESULTS AND ILLUSTRATIVE INDICATORS

The recipient will develop a project-level Performance Monitoring Plan (PMP) with annual and end-of- project targets and results anticipated for key performance indicators. The following table shows example indicators that will be measured, as well as illustrative targets, which the recipient will be responsible for monitoring and reporting during and after the project. In addition, WHA will regularly monitor the project’s performance to assess whether project activities are on track and targets are being achieved.

Example outcome indicators for the project are provided below. The recipient is expected to identify targets for these indicators based on what it can reasonably achieve within the performance period of the project, based on the expected overall project results described above.

Example output indicators and illustrative targets for the project are provided below. The recipient should review these and either confirm the illustrative targets or propose alternative targets, as appropriate.

The recipient may propose additional outputs, indicators, and/or targets as appropriate. The recipient will be required to collect baseline data for all the PMP indicators during the first year of the project. In addition, applicants should define certain terms included in the outcomes and indicators at the very beginning of the project so that it is possible to measure the change during and at the end of the project. Examples of such are “capacity”, “spread effect”, etc. Such baseline information will be critical for both monitoring and evaluation of project progress and results.

[END OF SECTION I]

SECTION II – AWARD INFORMATION

WHA/PPC/SRU expects to award one (1) agreement based on this NOFO. The anticipated total federal funding amount is $1,584,158. The period of performance is approximately four years with an anticipated start date of September 2015.

The U.S. government anticipates issuing one award resulting from this NOFO to the responsible applicant whose application conforming to this NOFO is the most responsive to the objectives set forth in this 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, (d) accept alternate applications, and (e) waive informalities and minor irregularities in applications received.

The U.S. government may make award 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 (but is not under obligation to do so), however, to enter into discussions with one or more applicants in order to obtain clarifications, additional detail, or to suggest refinements in the project description, budget, or other aspects of an application.

[END OF SECTION II]

SECTION III – ELIGIBLITY INFORMATION

(1) Eligible Entities: Applicants that are eligible to apply are accredited U.S. public or private institutions of higher education, consortia of institutions, and nonprofit organizations having status as described in Internal Revenue Code section 26 USC 501(c)(3). Organizations that have worked in Cuba or similarly restricted environments are encouraged to apply.

To be eligible for a grant award, in addition to other conditions of this NOFO, organizations must have a commitment to non‐discrimination with respect to beneficiaries and adherence to equal opportunity employment practices. 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, and the provision of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of the Recipient to ensure compliance with these Executive Orders and laws. This provision must be included in any sub‐awards issued under this grant award.

(2) WHA encourages applications from potential new partners.

[END OF SECTION III]

SECTION IV – APPLICATION AND SUBMISSION INSTRUCTIONS

As of October 1, 2011, the U.S. Department of State requires that all/all Bureau of Western Hemisphere Affairs grant awards be solicited, negotiated, and issued via the online State Assistance Management System (SAMS), also known as GrantSolutions.gov, including solicitations and awards for non-profit and public international organizations.

For assistance with the system applicants must contact the GrantSolutions.gov Help Desk at 866-577-0771 or help@grantsolutions.gov. Please be advised that grant solicitations are not considered formally issued by the U.S. Department of State until released via SAMS. It is the applicant’s responsibility to ensure proposals have been submitted and accurately processed into the SAMS system.

WHA urges prospective applicants to immediately confirm their organization has a current Unique Identifier Number (Dun and Bradstreet (DUNS) number) as well as a current Central Contractor Registration (www.sam.gov), both requirements for SAMS, and then to immediately initiate registration for your organization in SAMS via the grantsolutions.gov website. SAMS registrations are specific to the registered individual in your organization, rather than the organization as a whole. If multiple or separate individuals will be responsible for electronically negotiating, accepting and countersigning any awards in SAMS, each individual must have a separate SAMS account registration. To register multiple users, please fill out the permission slip and user form in Annex A for each additional user, and send to help@grantsolutions.gov. Please contact WHAPrograms@state.gov with any questions.

TECHNICAL FORMAT REQUIREMENTS

For all application documents, please ensure:

A) All pages are numbered, including budgets and attachments, B) All documents are formatted to 8 ½ x 11 paper, and C) All Microsoft Word documents are single-spaced, 12 point Times New Roman font, with a minimum of 1-inch margins.

Complete applications must include the following for proposal submissions:

1. Completed and signed SF-424, SF-424a [and SF424b,] submitted to grants.gov, as well as, if applicable, your organization’s most recent audit.

2. Table of Contents (not to exceed one [1] page in Microsoft Word) that includes a page-numbered contents page, including any attachments.

3. Executive Summary (not to exceed two [2] pages in Microsoft Word) that includes:

a) the target country,

b) name and contact information for the project’s main point of contact,

c) a statement of work or synopsis of the project, including a concise breakdown of the project’s objectives, activities, and expected results,

d) the total amount of funding requested and project length, and

e) a brief statement on how the project is innovative, sustainable, and will have a demonstrated impact.

4. Proposal Narrative (ten [10] to 20 pages in Microsoft Word). Please note the page limit does not include the Table of Contents, Executive Summary, Attachments, Detailed Budget, Budget Narrative or NICRA. Applicants are encouraged to submit multiple documents in a single Microsoft Word, (i.e., Table of Contents, Executive Summary, Proposal Narrative, and Budget Narrative in one file).

5. Budget Narrative (preferably in Microsoft Word) that includes an explanation and justification for each line item in the detailed budget spreadsheet, as well as the source and a description of all cost-share offered. For ease of review, WHA recommends applicants order the budget narrative as presented in the detailed budget. Personnel costs should include a clarification of the roles and responsibilities of key staff and percentage of time devoted to the project. The budget narrative should communicate to WHA any information that might not be readily apparent in the budget, not simply repeat with words what is stated numerically in the budget.

6. Detailed Line-Item Budget (preferably in Microsoft Excel) that includes three [3] columns including the request to WHA, any cost sharing contribution, and total budget (see below for more information on budget format). A summary budget should also be included using the OMB approved budget categories (see SF-424 as a sample). Costs must be in whole U.S. dollars.

7. Attachments (not to exceed nine [9] pages total, preferably in Microsoft Word) that include the following in order:

a) Page 1-2: Monitoring and Evaluation Plan (see below for more information on this section).

b) Page 3: Roles and responsibilities of key project personnel with short bios that highlight relevant professional experience. This relates to the organization’s capacity. Given the limited space, CVs are not recommended for submission.

c) Page 4: Timeline of the overall proposal. Components should include activities, evaluation efforts, and project closeout.

d) Page 5-7: Additional optional attachments. Attachments may include further timeline information, letters of support for subgrantees or partners, memoranda of understanding (MOU)/agreement, etc. For applicants with a large number of letters/MOUs, it may be useful to provide a list of the organizations or government agencies that support the project rather than the actual documentation.

8. If your organization has a negotiated indirect cost rate agreement (NICRA) and will include NICRA charges in the budget, your latest NICRA must be included as a .pdf file. This document will not be reviewed by the panelists, but rather used by project and grant staff if the submission is recommended for funding and therefore does not count against the submission page limitations, as described above. If your proposal involves subgrants to organizations charging indirect costs, please submit the applicable NICRA also as a .pdf file (see below for more information on indirect cost rates). Specify if your organization elects to charge the de minimis rate of 10% of the modified total direct costs.

Note: WHA retains the right to request additional documentation for those items not included on this form.

Note: To ensure all applications receive a balanced review process, the Department of State Review Committee will review the first page of the requested section up to the page limit and no further. WHA encourages organizations to use the given space effectively.

INFORMATION ON STANDARD FORMS

Please see Tab D for instructions for completion of Standard Forms 424, 424A, and 424B.

OFFICE OF MANAGEMENT AND BUDGET (OMB) CIRCULARS

Organizations should be familiar with 2 CFR 200 on cost accounting principles. For a copy of the OMB circular cited, please contact Government Publications or download from http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl. Overseas-based nonprofit organizations are legally required to comply with 2 CFR 200. Public international organizations retain their privileges and immunities as such, but are encouraged to address this OMB Circular.

AUDITS

The recipient’s proposal should include the cost of an audit that:

1) Complies with the requirements of 2 CFR 200 Subpart F “Audit Requirements;”

2) Complies with the requirements of American Institute of Certified Public Accountants (AICPA) Statement of Position (SOP) No. 92-9, "Audits of Not-for-Profit Organizations Receiving Federal Awards;"

3) Complies with AICPA Codification of Statements on Auditing Standards AU Section 551, "Reporting on Information Accompanying the Basic Financial Statements in Auditor-Submitted Documents," where applicable. When the U.S. Department of State is the largest direct source of Federal financial assistance (i.e., the cognizant Federal Agency) and indirect costs are charged to Federal grants, a supplemental schedule of indirect cost computation is required;

4) A non-Federal entity that expends $750,000 or more during the non-Federal entity's fiscal year in Federal awards must have a single or program-specific audit conducted for that year in accordance with the provisions of 2 CFR 200 subpart F.

The audit costs shall be identified by 2 CFR 200.425.

INDIRECT COST-RATE

An organization with a negotiated indirect cost rate agreement (NICRA) negotiated with a cognizant federal government agency other than the U.S. Department of State must include a copy of the cost-rate agreement. Applicants should indicate in the proposal budget how the rate is applied and if any of the rate will be cost-shared. Per 2 CFR 200.414. any non-Federal entity that has never received a negotiated indirect cost rate, except for those non-Federal entities described in Appendix VII to Part 200—States and Local Government and Indian Tribe Indirect Cost Proposals, paragraph D.1.b, may elect to charge a de minimis rate of 10% of modified total direct costs (MTDC) which may be used indefinitely. As described in 2 CFR 200.403, factors affecting allowability of costs, costs must be consistently charged as either indirect or direct costs, but may not be double charged or inconsistently charged as both. If chosen, this methodology once elected must be used consistently for all Federal awards until such time as a non-Federal entity chooses to negotiate for a rate, which the non-Federal entity may apply to do at any time.

TAB A: PROPOSAL GUIDELINES

Proposals should include the following components:

· Introduction and Problem Statement

· Planned Activities

· Indicators

Problem Statement and Rationale: Describe the problem and how the project will achieve or contribute to achieving a sustainable solution and a measurable outcome. The implementer should explain the extent of existing assistance within the particular geographic area, and how the proposed intervention may complement (or differ from) other similar interventions. The implementer should also explain, as necessary, the particular experience and qualifications they bring to the project. The rationale should also reflect understanding of the priorities and policies of the bureau or program with which this agreement is associated.

Planned Activities and Indicators: Describe the planned activities, and relevant stakeholders for implementation. The implementer should highlight key stakeholders and their expected role in the project, along with any contingencies. The implementer should list assumptions that are dependent on the ultimate success of the project. This could include elements like geographic location, coordination efforts with other international organizations, or political will from host governments, private sector, and NGOs. As appropriate, limited contingency possibilities should be included in the proposal, in case the initial planning assumptions are not met. Example of a planned activity and contingency:

In the proposal, there should be a clearly defined link between each of the following elements as delineated:

Problem Statement Planned Activities/Inputs Process Indicators Output Indicators Outcome Indicators Impact

Process Indicators measure the activity that has been completed. Please delineate the specific activities to be conducted, such as workshops, roundtables, trainings, forums, exchanges, policy dialogues, etc. All indicators must include targets. Example of a process indicator:

Output Indicators, otherwise known as deliverables associated with the agreement, should be included. Unlike process indicators, outputs are what is produced, and are often tangible. At this level, it is the measurement of ability, knowledge, skills, or access. All indicators must include targets. Example of an output indicator involving the same participants:

Outcome Indicators measure the change in system or behavior or practice. Expected outcomes are the results that come from a series of activities that are necessary to achieve impact. All indicators must include targets. Example of an outcome indicator:

All indicators must include measurable, numerical targets, which should serve as the foundation for monitoring and evaluation efforts. Ultimately, proposed activities and achievement of indicator targets will lead to impact.

TAB B: PROJECT MONITORING AND EVALUATION PLAN

WHA will work with recipient agencies to implement the appropriate monitoring and evaluation plan that meets both the needs of WHA and the implementing partner. Incorporating a well-designed monitoring and evaluation component into a project is one of the most efficient methods of documenting the progress and potential success of a project. Successful monitoring and evaluation depend on the following:

· Setting objectives that are specific, measurable, attainable, results-focused, and placed in a reasonable time frame (SMART);

· Linking project activities to stated objectives;

· Developing key performance indicators that measure realistic progress towards the objectives.

WHA expects implementing agencies will track participants or partners as appropriate and be able to respond to key evaluation questions, including satisfaction with the project/training, information learned as a result of the project/training, changes in attitude and behavior as a result of the project, and effects of the project on institutions in which participants work or partner with. Applicants should include the monitoring and evaluation process in their timeline.

Recipients will be required to provide reports with an analysis and summary of their findings, both quantitative and qualitative, in their regular project reports to WHA.

The monitoring and evaluation plan should include, at a minimum, the following elements:

· A results “Logic Model” planning document (see sample)

· Indicators, as described in Tab A, as well as details on how each indicator will be measured, frequency of the measurements, units of measure, etc. Provide indicators at the output and outcome levels. Monitoring and evaluation plans should include a chart component that clearly delineates indicators and targets. All indicators must include measurable, numerical targets.

· Establish, where possible, performance baseline data and expected performance targets for each indicator/outcome. In some cases, the baseline may be zero.

· Describe monitoring and evaluation tools, such as rapid assessment surveys, site visits, key stakeholder interviews, etc., that will be used.

· Plans should describe how the project’s impact and effectiveness will be monitored and evaluated throughout the project.

Sample Evaluation Plan

Activity: Training Course

Activity: Government Roundtable

Sample “Logic Model” Planning Tool

Note: Outcomes, outputs, and activities should include numerical, measurable targets. A Logic Model is a useful tool for planning and utilized when designing monitoring and evaluation methodology and frameworks.

Impact: Improved Food Security for 50,000 households in Country X

Outcome 1 Improved production and productivity of female and male producers

Outcome 2 Increased adoption of appropriate nutrition practices, by female and male beneficiaries

Output 1.1 Farmer Field Schools Established

Output 1.2 Improved access to input supply systems/services

Output 2.1 Home Gardens Established

Output 2.2 Improved knowledge of nutrition practices

Activities Train producers on FFS methodology

Conduct agro-forestry training

Develop and translate materials

Conduct meetings with suppliers

Distribute new seed varietals

Organize and hold supply fairs

Train producers on how to develop home gardens

Distribute new seeds

Train producers in food conservation and preparation

TAB C: BUDGET GUIDELINES

Complete budgets will provide a detailed line-item budget outlining specific cost requirements for proposed activities. A minimum of three columns should be used to delineate the bureau funding request, cost-share by applicant, and total project funding. Complete applications will include a budget narrative to clarify and justify individual line-items (i.e.