oppS-PM070-18-GR-501-cfda19.750-instructions.pdf

NOFO Number: S-PM070-18-GR-501 Promoting Democratic Institutions and Accountability in Panama

Notice of Funding Opportunity

Announcement Type: New Grant Public Opportunity Title: Promoting Democratic Institutions and Accountability in

Panama Catalog of Federal Domestic Assistance (CFDA) Number: 19.750 Funding Amount: $1,261,667 U.S. Dollars

Issuance Date: March 20, 2018

Deadline for Receipt April 18, 2018 5:00 PM Eastern Standard Time of Questions:

Deadline for Submission May 4, 2018 1:00 PM Eastern Standard Time of Applications:

Funding Activity Category: Governance Program Type: U.S. Embassy Panama Grant Program: Central America Regional Security Initiative Assistance Type: Grant Eligibility Category: U.S. Non-profit/non-governmental organizations (NGOs) having a 501(c)(3) status with the IRS, overseas-based non-profit organizations, institutions of higher education, and public international organizations

Est. Project Start Date: September 30, 2018 Est. Project End Date: Variable Fiscal Year: FY 2017 Award Ceiling: $1,261,667 Award Floor: $100,000 Expected # of Awards Funded: 3 to 5 Cost Sharing Requirement: No

EXECUTIVE SUMMARY

The U.S. Embassy Panama announces a Notification of Funding Opportunity (NOFO) to promote democratic institutions and accountability in Panama with up to $1,261,667 in FY 2017 Economic Support Funds for a project period between 18-24 months; however, the Embassy will consider award periods of up to three years for exceptional proposals on a case-by-case basis. The anticipated start date for this activity is September 30, 2018. The U.S. Embassy Panama anticipates funding up to five awards as a result of this NOFO.

The focus for this funding opportunity is on governance, including the roles and responsibilities of civil society and the government. Successful proposals will develop projects aimed at: 1) supporting Panama’s democratic institutions; 2) strengthening civil society; and 3) promoting government accountability and transparency, as well as public access to information. Funding awarded under this NOFO cannot be used for law enforcement or to train members of law enforcement. Projects may focus on one or more of the objectives and must fulfill at least one sub-objective of the corresponding objectives outlined in Section I, Project Description, herein.

U.S. Embassy Panama 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.

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 further information, please contact:

PanamaGrants@state.gov

NOTICE OF FUNDING OPPORTUNITY

The U.S. Embassy Panama is seeking applications from qualified Non-Governmental Organizations (NGOs), Public International Organizations (PIOs), Educational Institutions and other qualified organizations for a grant to implement a program entitled “Promoting Democratic Institutions and Accountability in Panama.” 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 is U.S. Department of State 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 U.S. and overseas-based non-profit organizations, and universities;

and the Mandatory Standard Provision “Allowable Costs (2 CFR 200.403)” for public international organizations), may be paid under the grant agreement. NOTE: Non-U.S.-based nonprofit organizations are legally required to comply with the 2 CFR 200.

Subject to the availability of funds, U.S. Embassy Panama intends to issue one or more awards in an amount not to exceed $1,261,667.00 in total funding. The U.S. Dollar amount will be funded from U.S. Embassy Panama allocated funds, for a project period not to exceed two years (three years for exceptional proposals on a case-by-case basis). The anticipated start date for this activity is September 30, 2018. Contingent upon the availability of funds and quality of proposals, as many as five awards may be granted as a result of this NOFO. U.S. Embassy Panama 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 technical review process.

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

1. Section I – Funding Opportunity Description

2. Section II – Award Information

3. Section III – Eligibility information

4. Section IV – Application and Submission Instructions

5. Section V – Application and Review Information

6. Section VI – Agency Contacts

This funding opportunity is posted on http://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 organizations have difficulty registering on http://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 http://www.grants.gov in its entirety. U.S. Embassy Panama bears no responsibility for data errors resulting from transmission or conversion processes associated with electronic submissions. The deadline for submission of applications is May 4, 2018, 5:00 PM local time.

Submit any questions concerning this NOFO in writing to PanamaGrants@state.gov. The deadline for submission of questions for this NOFO is April 18, 2018, 5:00 PM local time.

Responses to questions will be made available to all potential applicants through an amendment to this NOFO and posted on http://www.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 U.S. Embassy 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, Roxanne Cabral, Chargé d’Affaires, a.i.

SECTION I – FUNDING OPPORTUNITY DESCRIPTION

BACKGROUND

A secure and stable Central America contributes to a safer and more prosperous United States.

Through the U.S. Strategy for Central America (Strategy) and the Central America Regional Security Initiative (CARSI), U.S. assistance seeks to secure U.S. borders and protect U.S. citizens by addressing the security, governance, and economic drivers of illegal immigration and illicit trafficking, and to promote fair and reciprocal trade in Central America. To promote improved governance, U.S. assistance supports anti-corruption efforts that improve the ease of doing business; strengthens the rule of law; promotes strong institutions and government accountability;

reduces impunity; and improves fiscal management by promoting efficient tax collection, civil society engagement, and institutional reform. The Strategy enhances the capabilities of government entities and civil society organizations to build more accountable, transparent, and effective public institutions. CARSI Economic Support Fund (ESF) small grants, such as this opportunity, provide programming to strengthen civil society’s role in improving governance and support a professional, non-partisan civil service.

The Results Architecture (TAB E) is the basis of U.S. government monitoring and evaluation for the Strategy by the U.S. interagency. The Results Architecture is organized according to the Strategy’s three primary objectives (Prosperity, Governance, and Security) and corresponding sub-objectives, and is the primary tool for tracking results, outcomes, and specific indicators, including for CARSI. The Governance sub-objectives under the Strategy that these CARSI-ESF funds will address are:

1. Host-nation governments create a competent civil service that provides non-partisan continuity and service.

2. Host-nation governments increase revenues and are accountable for investing public resources responsibly.

3. Central American civil society demand government accountability without reprisal of their rights and are able to influence policy outcomes. Host-nation governments uphold the values and practices of liberal democracy; citizens hold their governments accountable for these actions.

4. Central American host governments and the justice sector within each implement meaningful institutional reforms to decrease impunity.

Within the overall Strategy, CARSI is the primary security program. CARSI assistance supports a safer and more secure region where criminal organizations no longer wield the power to destabilize governments or threaten national and regional security and public safety, as well as to prevent the entry and spread of illicit drugs, violence, and transnational threats to countries throughout the region and to the United States. The five pillars of CARSI are:

1. Create safe streets for the citizens of the region

2. Disrupt the movement of criminals and contraband within and among the nations of Central

America

3. Support the development of strong, capable and accountable Central American

Governments

4. Re-establish effective state presence and security in communities at risk

5. Foster enhanced levels of security and rule of law coordination and cooperation among the nations of the region.

Solicitations must primarily reflect support for CARSI pillar three (strong, capable, and accountable governments), and results, particularly indicators, will be reported under the Strategy’s Governance objective. Applicants must provide governance indicators to track results, and that correlate with CARSI pillar three.

PROJECT OBJECTIVE

Coupled with CARSI Goals 3 and 4, the focus for this funding opportunity is on improving and promoting good governance, and the Panamanian government’s ability to use political, economic, and administrative authority to formulate, implement, and enforce public policies and deliver services. Specifically, the NOFO seeks proposals that create innovative projects that uphold democratic values through public policy, civil society engagement, government accountability and transparency. This includes, among others, citizen security, capacity building of civil society, enhancing citizen participation and accountability of government resources and practices, and substantial public and private sector participation in promoting good governance. Funding awarded under this NOFO cannot be used for law enforcement or to support training for members of law enforcement.

Successful grant proposals will pursue objectives that reinforce a democratic, secure, and a well-governed Panama through: 1) supporting Panama’s democratic institutions, 2) strengthening civil society organization management, and 3) promoting government transparency and public access to information.

PROJECT DESCRIPTION

Ideally, projects can focus on one and preferably no more than two of the below objectives and must fulfill at least one sub-objective of the following NOFO project objectives:

Objective 1 – Support for Panama’s Democratic Institutions: Support the efforts of Panamanian authorities to strengthen institutions and promote inclusion and transparency.

Sub-objective 1.1:

Panama concluded electoral law reforms in 2017 and will hold its first national elections under that law in 2019. The success of democratic elections depends on a citizenry, including political and civic organizations that are informed and engaged in order to ensure free, fair, and transparent elections. The recipient will develop a project that develops measures to enhance the knowledge, engagement in and monitoring by, among others, citizens and citizen groups, civil society organizations and/or journalists on elections and the institutional processes. The applicant should include in its proposal an assessment of the current legal framework of the Panamanian electoral process, and target objectives for observing and monitoring the upcoming 2019 elections, as well as objectives for working with citizen groups and others to promote a fair and open process, inclusiveness, and an electoral process free from anti-democratic influences. Proposals may focus on specific interventions to promote citizen participation in monitoring the electoral process, in accordance with Panamanian law. The project must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote meaningful institutional reforms.

Sub-objective 1.2:

Panama has focused on citizen security to create safer cities and more opportunities for a participatory democracy. The recipient will develop and implement crime-prevention projects that promote citizen security and economic opportunity for at-risk and/or historically marginalized populations. These projects should be scalable and promote participation in civic life, the formal economy, and show the merits of crime-free communities. Successful projects will be executed in collaboration with the local, regional, or national government agencies and/or in partnership with private-sector actors to promote sustainability and scalability. The project must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote meaningful institutional reforms.

Objective 2 – Strengthening Civil Society: Support Panamanian civil society organizations with an emphasis on strengthening management/financial practices, campaign development and promotion, and sustainability.

Sub-objective 2.1:

A healthy democracy requires active engagement within civil society to address and promote civil and human rights. The recipient will develop a project focused on strengthening civil society through institutional, organizational, and technical capacity building of local organizations. The goal of the project is to cultivate a non-partisan, apolitical civil society empowered to advocate on key issues that address transparency, accountability, and good governance. Through mentorship and capacity development of existing Panamanian civil-society organizations, the project should strengthen and increase the mentee organization’s ability to mobilize participation in good governance, awareness, and/or citizen security programs. Successful proposals will include information on sustainable mentorship, including access to regional or international civil society support networks. At the conclusion of the period of performance, beneficiary organizations should demonstrate increased NGO management capacities, stronger ability to obtain donor contributions, and a willingness to develop capacity in additional domestic civil society organizations. Proposals may include a practical component, through which the mentor organization accompanies the mentee organization on an intervention from the conception through the execution phase.

Applicants are encouraged to consider organizations working with underserved groups, such as at-risk youth, women, Afro-Panamanians, and indigenous persons. Project proposals should include information on prospective mentee organization(s). The project must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote meaningful institutional reforms.

Objective 3 – Promoting Transparency and Public Access to Information: Support for organizations seeking to enhance public understanding of government spending and initiatives, promoting accountable government.

Sub-objective 3.1:

Panama’s government has made positive steps through its transparency and access-to-information laws, as well as its budgeting and public procurement practices, to make government data public. However, many documents are published in formats that make it difficult for journalists, advocates, and interested citizens to analyze. Moreover, public understanding of data that is available is low. Recipients will design and implement projects that facilitate civil society’s ability to monitor the functions of government and government spending. Proposals should include activities that improve access to public data, increase analytical capabilities, and enhance civil society’s ability to use government data to promote good governance. The project must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote meaningful institutional reforms.

Sub-objective 3.2:

The national archives of a country serve as the repository of government documents, which helps to enhance knowledge, analysis and understanding of a nation’s cultural, social, economic and political history, as well as enable citizens to hold their government accountable. The Panamanian authorities are centralizing the preservation of and improving public access to, its national documents. Advances in technology have enhanced the capabilities of national archive institutions to use a variety of systems to increase the public access archived information. In partnership with the relevant Panamanian authorities, the recipient will develop a program for implementing technological platforms for improving the public’s access to the national archives. Successful proposals will include additional partnerships for improving the public’s knowledge and analysis of the national archives. The project must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote meaningful institutional reforms.

DESIRED RESULTS AND 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 tables show indicators that will be measured, as well as illustrative targets, upon which the recipient will be responsible for monitoring and reporting during and after the project. In addition, U.S.

Embassy Panama will regularly monitor the project’s performance to assess whether project activities are on track and targets are being achieved.

Example and required outcome indicators for the projects 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, and based on the expected overall project results described above.*

*The indicator for Sub-objective 2.1, noted below under Objective 2 – Civil Society and Transparency, must be included as one of the measurable outcome indicators. The target percentage provided below is illustrative. The applicant will be required to identify a target based on the proposed activities and expected performance.

For Objective 1 – Support for Panama’s Democratic Institutions:

Sub-objective 1.1: By the end of the project, at least 75% of beneficiaries, including individuals and participatory organizations, should show an increase in knowledge, engagement and monitoring of elections and related institutional processes. Applicant should provide output and outcome indicators that will be used to measure progress.

Example/Illustrative Output Indicators Illustrative targets:

Recipient develops training materials for community workshops on electoral monitoring.

100%

Example/Illustrative Outcome Indicators Illustrative

Beneficiaries of the training workshops demonstrate an increased understanding of the electoral process.

75%

Sub-objective 1.2: By the end of the project, at least 80% of beneficiaries should be involved in additional, non-grant sponsored civic initiatives and/or engagement in the formal sectors.

Applicant should provide output and outcome indicators that will be used to measure progress.

Recipient implements a youth-led initiative for sustainable community projects.

Youth beneficiaries from that initiative develop and carry out a community project.

80%

Objective 2 – Strengthening Civil Society:

Sub-objective 2.1: By the end of the project, at least 70% of the surveys of beneficiary civil society organizations should show the impact of the capacity-building initiatives within their organization, either through institutional or technical development, public policy advocacy and/or civic engagement. Applicant should provide output and outcome indicators that will be used to measure progress.

Required Outcome Indicator for Objective 1: Required targets:

Number of civil society organizations strengthened to promote policy dialogue, advocate for change and/or serve as watchdogs on

Enter target key issues percentage

Required Outcome Indicator for Objective 2: Required targets:

Number of government service providers and civil society organizations that reduce corruption opportunities in service provision

Enter target percentage

Objective 3 – Promoting Transparency and Public Access to Information:

Sub-objective 3.1: By the end of the project, 85% of surveys of individuals and beneficiary civil society organizations should show the impact of capacity development initiatives to enhance their access, knowledge and analysis of public data. Applicant should provide output and outcome indicators that will be used to measure progress.

Watchdog non-profit organizations include related government data on their websites.

70%

Beneficiary citizens and civil society organizations participating in the program would know where to access public data.

85 %

Sub-objective 3.2: By the end of the project, the national archives of Panama will implement technological platforms for improved public access to national documents. 70% of citizens and organizations surveyed should show increased access and knowledge of national archives.

Applicant should provide output and outcome indicators that will be used to measure progress.

The National Archives Institution of Panama implements a technological platform for public access to documents.

Citizens participating in the surveys are able to access and identify historical documents through the National Archives.

70 %

The applicant may propose additional outputs, indicators, and/or targets as appropriate.

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

U.S. Embassy Panama expects to award up to 10 grant agreements based on this NOFO. The anticipated total federal funding amount is $ 1,261,667.00. The period of performance is between 18-24 months with an anticipated start date of September 30, 2018.

The U.S. government may issue one or more awards resulting from this NOFO to the responsible applicant(s) whose application(s) conforming to this NOFO are 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 awards 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 (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 who are eligible to apply are U.S. and overseas-based Non- Governmental Organizations (NGOs), Public International Organizations (PIOs), Educational Institutions and other qualified organizations that are able to respond to the NOFO and be able to mobilize in a short period of time.

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) U.S. Embassy Panama encourages applications from potential new partners.

[END OF SECTION III]

SECTION IV – APPLICATION AND SUBMISSION INSTRUCTIONS

U.S. Embassy Panama urges prospective applicants to confirm immediately that their organization has a current Dun and Bradstreet (DUNS) number as well as a current Central Contractor Registration (www.sam.gov).

Applicant organizations that do not have DUNS number, may obtain one at no cost by calling the toll-free DUNS request line at 1-866-705-5711 or visiting the D&B website at:

https://iupdate.dnb.com/iUpdate/viewiUpdateHome.htm

NOTE: Organizations must obtain a DUNS number prior to completing the SAM.gov registry process.

Applicant organizations can obtain assistance for SAM.gov registration by using the following link:

https://www.fsd.gov or calling 1-866-606-8220 (U.S. calls)/or 1-324-206-7828 (international calls).

NCAGE Code - Special Requirements for Non-U.S. Applicants

Non-U.S. organizations must first obtain a North Atlantic Treaty Organization (NATO) CAGE (NCAGE) Code from the appropriate source. Organizations may request an NCAGE code using the following link: https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx

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 Cover Sheet which includes a project title, name of the solicitation organization, and Data Universal Numbering System (DUNS). (See Tab F)

2. Completed and signed SF-424, SF-424a [and SF424b] http://apply07.grants.gov/apply/forms/sample/SF424B-V1.1.pdf submitted to www.grants.gov, as well as, if applicable, the organization’s most recent audit.

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

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

a) The target country(ies)

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

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

5. Proposal Narrative (not to exceed ten [10] pages in Microsoft Word). Please note the ten-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).

6. 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, U.S. Embassy Panama 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 U.S. Embassy Panama any information that might not be readily apparent in the budget, not simply repeat with words what is stated numerically in the budget.

7. Detailed Line-Item Budget (preferably in Microsoft Excel) that includes three [3] columns including the request to U.S. Embassy Panama, 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 U.S. dollars.

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

a) Page 1-2: Monitoring 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, 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.

9. If the organization has a negotiated indirect cost rate agreement (NICRA) and will include NICRA charges in the budget, the 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 the proposal involves sub-grants 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 the organization elects to charge the de minimis rate of 10% of the modified total direct costs.

Note: U.S. Embassy Panama retains the right to request additional documentation for those items not included on this form.

INFORMATION ON STANDARD FORMS

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

ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES AND AUDIT

REQUIREMENTS FOR FEDERAL AWARDS

Organizations should be familiar with 2 CFR 200 on cost accounting principles. For a copy of the Code of Federal Regulations, go to http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl. Non-U.S.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 requirements in outlined in 2 CFR 200.

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 project-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 applicant 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 applicant should also explain, as necessary, the particular experience and qualifications it, brings to the project. The rationale should also reflect understanding of the priorities and policies of the post 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:

Planned Activity Contingency

Energy efficiency workshops in collaboration with the government of Mexico and other representatives from the Latin America region, focused on raising awareness of energy efficiency standards.

If government of Mexico does not engage at the expected level, project team will look to other regional stakeholders, such as the OAS, to assist in convening key stakeholders.

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:

Process Indicator 50 women trained in energy efficiency standards

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:

Output Indicator 80 percent of participants demonstrate at least 75 percent cognizance of efficiency standards

Outcome Indicators measure the change in system, 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:

Outcome Indicator 30 percent of efficiency standards being implemented in a participant’s country because of participant’s participation.

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: PROGRAM MONITORING PLAN

U.S. Embassy Panama will work with recipient organizations to implement the appropriate monitoring plan that meets both the needs of U.S. Embassy Panama and the implementing partner.

Incorporating a well-designed monitoring component into a project is one of the most efficient methods of documenting the progress and potential success of a project. Successful monitoring depends 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

U.S. Embassy Panama expects implementing organizations 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 with which participants work or partner. 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 progress reports to U.S. Embassy Panama.

The monitoring 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 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 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 would be monitored throughout the project.

Sample Evaluation Plan

Activity: Training Course

Indicator Type Indicator Name Source Target

FY16Q1

Results

FY16Q1

Target

FY16Q2

Results

FY16Q2

Output # of women trained in energy efficiency standards training records 10 20

Outcome

% of standards implemented in participant's host country as a result of participant's direct or indirect participation embassy reporting

Activity: Government Roundtable

Indicator Type Indicator Name Source Target

FY16Q1

Results

FY16Q1

Target

FY16Q2

Results

FY16Q2

Output Xxx

Outcome Yyy

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

Develop and translate materials

Train producers in food conservation and preparation

Develop and translate materials

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. calculations of how the costs were derived per month or year, their necessity, and overall contribution to the project’s cost-effectiveness).

The three-column proposal line item budget should include the following components, in the suggested format below:

Embassy Request Cost Share Total

A. PERSONNEL

a) Primarily Headquarters-Based Personnel

-H.Q.-based project -dedicated staff salary (X months) X% of $X/yr

-H.Q.-based administrative staff salary (X months) X% of $X/yr

b) Primarily Field-Based Personnel

-Field-based Country Director salary (x months or year) X% of $X/yr

-Field-based Project Assistant salary (x months or year) X% of $X/yr

Subtotal Personnel

B. FRINGE BENEFITS

a) Primarily H.Q.-Based Fringe Benefits fringe=X% salary

-H.Q.-based project -dedicated staff fringe (X months) X% fringe -H.Q.-based administrative staff fringe(X months) X% fringe

b) Primarily Field-Based Fringe Benefits fringe=X% salary

-Field-based Country Director fringe (x months or year) X% fringe

-Field-based Project Assistant fringe (x months or year) X% fringe

Subtotal Fringe Benefits

C. TRAVEL

a) Monitoring Travel

-Monitoring Trip: H.Q. to field (X) $X/RT flight

-Per diem (X days) $X/day

b) Field Travel

Activity 1: Workshop -Staff Travel (# staff) $X/RT flight/# staff

-Staff Per Diem (X days) $X/day/# day/# staff

-Participant Travel (# participants) $X/trip/# pax

-Participant Per Diem (X days) $X/day/# day/# pax

Activity 2: Town Hall Meeting -Staff Travel (# staff) $X/RT flight/# staff

-Staff Per Diem (X days) $X/day/# day/# staff

-Participant Travel (# participants) $X/trip/# pax -Participant Per Diem (X days) $X/day/# day/# pax

Subtotal Travel

D. EQUIPMENT

a) Primarily H.Q.-Based Equipment (if applicable)

-H.Q.-equipment (if applicable) $X/unit

d) Primarily Field-Based Equipment

-Field-equipment $X/unit

Subtotal Equipment

E. SUPPLIES

a) Primarily H.Q.-Based Supplies (if applicable)

-Printing and Photocopying (X months) X% of $X/yr

b) Primarily Field-Based Supplies

-Markers and dry erase board $X/set

-Telephone (X months) X% of $X/yr

-Office Supplies (X months) X% of $X/yr

Subtotal Supplies

F. CONTRACTUAL

a) Subgrants

-Local Subgrantees (X subgrants) $X/unit

b) Consultant Fees

-Media Specialist/Honoraria (X days/hours) $X/consult

-Independent M & E specialist $X/unit

-Translation Fees (X pages) $X/page

Subtotal Contractual

G. CONSTRUCTION N/A

H. OTHER

a) Other Direct Costs

-Field Office Rent (X months) X% of $X/mo

Subtotal Other

I. TOTAL DIRECT CHARGES

(Sum of A-H Subtotals)

J. INDIRECT CHARGES

a) Indirect Costs/NICRA (X% of costs)

Subtotal Indirect Charges

K. TOTAL COSTS (Sum I-J)

Note: This budget is designed to serve as an example of the format for complete budget submissions and is NOT exhaustive. Individual line items included in each applicant’s budget should reflect specific project activities. (pax = participants)

Before grants are awarded, the Embassy reserves the right to reduce, revise, or increase proposal budgets in accordance with the needs of the Embassy’s program and availability of funds.

As mentioned above, the detailed budget should also include an accompanying budget notes document that explains and justifies each line item, in the suggested format below:

LINE-ITEM BUDGET –

A. Personnel – Identify staffing requirements by each position title and brief description of duties.

For clarity, please list the annual salary of each position, percentage of time and number of months devoted to the project. (e.g., Administrative Director: $30,000/year x 25% x 8.5 months;

calculation: $30,000/12 = $2,500 x 25% x 8.5 months = $5,312.).

B. Fringe Benefits - State benefit costs separately from salary costs and explain how benefits are computed for each category of employee - specify type and rate.

C. Travel - Staff and any participant travel:

1) International airfare

2) In-country travel

3) Domestic travel in Country X., if any

4) Per diem/maintenance: includes lodging, meals and incidentals for both participant and staff travel. Rates of maximum allowances for U.S. and foreign travel are available from the following website: http:/www.policyworks.gov/. Per diem rates may not exceed the published U.S.

government allowance rates; however, institutions may use per diem rates lower than official government rates.

5) Staff refers to grantee staff only, and not sub-grantee staff or contractors

D. Equipment – please provide justification for any equipment purchase/rental, defined as tangible personal property having a useful life of more than one year and an acquisition cost of $5000 or more.

E. Supplies - list items separately using unit costs (and the percentage of each unit cost being charged to the grant) for photocopying, postage, telephone/fax, printing, and office supplies (e.g., Telephone: $50/month x 50% = $25/month x 12 months).

F. Contractual –

a) Subgrants. For each subgrant/contract, please provide a detailed line-item budget breakdown explaining specific services. Please provide a subgrant budget using the approved OMB budget format. (See Tab C: Budget Guidelines, above.)

b) Consultant Fees. For example, lecture fees, honoraria, travel, and per diem for outside speakers or independent evaluators: list number of people and rates per day (e.g., 2 x $150/day x 2 days).

G. Other - these will vary depending on the nature of the project. The inclusion of each should be justified in the budget narrative. All costs must be allowable, allocable, and reasonable, and consistent with OMB guidelines. Line items such as “Miscellaneous,” “Contingency Fund,” and “Reserve Fund” are not permitted.

H. Indirect Charges - See 2 CFR 200.414, "Indirect Costs”

1) If the organization has an indirect cost-rate agreement with the U.S. Government, please include a copy of this agreement. Please specify if the organization elects to charge the de minimis rate of 10% of the modified total direct costs. This does not count against submission page limitations.

2) If the organization is charging an indirect rate, please indicate how the rate is applied--to direct administrative expenses, to all direct costs, to wages and salaries only, etc.

3) Do not include indirect costs against participant expenses in the Bureau budget, as it generally does not pay for these costs.

Cost Share/Cost-Effectiveness – Cost sharing is not required. Explanation of contributions should be included, whether cash or in-kind. Assign a monetary value in U.S. dollars to each in-kind contribution. If the proposed project is a component of a larger program, identify other funding sources for the proposal and indicate the specific funding amount to be provided by those sources. In addition, it is recommended that budget narratives address the overall cost-effectiveness of the proposal, including leveraging of institutional or other resources. Cost sharing or matching refers to a portion of project or program cost that is not borne by the Federal Government. Grantees must follow cost sharing or matching policy as stipulated in 2 CFR

200.306. For example, the fair market value for donated equipment, third party in-kind donations, and volunteer services must be documented. Cost sharing amounts proposed will be incorporated as part of the allowable budget items. If selected for an award, the organization will have to provide the minimum amount of cost-sharing as stipulated in the budget approved by the Grants Officer.