Panama NOFO Promoting Sustainability and Accountability in Panama.pdf

NOFO Number: S-PM070-17-GR-501

Promoting Sustainability and Accountability in Panama

Notice of Funding Opportunity

Announcement Type: New Grant or Cooperative Agreement

Public Opportunity Title: Promoting Security and Accountability in Panama

Catalog of Federal Domestic

Assistance (CFDA) Number: 19.750

Funding Amount: $1,500,000 U.S. Dollars

Issuance Date: April 5, 2017

Deadline for Receipt of Questions: May 19, 2017 5:00 PM Eastern Standard Time

Deadline for Submission of Applications: June 5, 2017 1:00 PM Eastern Standard Time

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: October 1, 2017

Est. Project End Date: Variable

Fiscal Year: FY 2016

Award Ceiling: $1,500,000

Award Floor: $100,000

Expected # of Awards Funded: 6 to 10

Cost Sharing Requirement: No

EXECUTIVE SUMMARY

The U.S. Embassy Panama announces a Notification of Funding Opportunity (NOFO) to promote sustainability and accountability in Panama with up to $1,500,000 in FY 2016 Economic Support

Funds for a project period between 12-24 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, 2017. The U.S. Embassy Panama anticipates funding up to ten 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) strengthening civil society and democratic institutions in Panama; 2) strengthening the rule of law and government accountability and transparency; 3) prison reform programs; or 4) supporting the government’s ability to deliver social services to underserved populations. 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 mailto: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

Sustainability 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 (APR 2011)” for public international organizations), may be paid under the grant agreement. NOTE: overseas-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 $1,500,000 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, 2017. Contingent upon the availability of funds and quality of proposals, as many as ten 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 evaluation 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 http://www.grants.gov/ mailto:support@grants.gov 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 June 5, 2017, 1:00 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 May 19, 2017, 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, Ambassador John D. Feeley

SECTION I – FUNDING OPPORTUNITY DESCRIPTION

BACKGROUND

The goal of U.S. assistance is to ensure Panama remains a secure, prosperous, and democratic country, and to build and strengthen Panamanian institutions and civil society. U.S. assistance is also used to enable Panama to expand its mechanisms to promote transparent and independent institutions, while limiting corruption, as well as developing its civil society to ensure a healthy democracy.

Through the Central America Regional Security Initiative (CARSI) the U.S. government provides broad-based security assistance to the region to respond to threats to citizen security. The desired objective of CARSI is to produce 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 goals 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

U.S. Embassy Panama supports numerous projects to strengthen civil society and communities, democracy, the rule of law, and government institutions and to provide opportunities for vulnerable youth in at-risk communities.

To support further progress in Panama, the U.S. Department of State has allocated up to

$1,500,000 in FY 2016 Economic Support Funds to focus on Goals 3 and 4 of CARSI.

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 meaningful institutional prison reforms within the justice sector. This includes capacity building of government and civil society, improved government accountability and transparency, 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) strengthening civil society and democratic institutions in Panama, 2) strengthening the rule of law and government accountability and transparency, 3) prison reform programs as they relate to improving the justice sector as a whole, or 4) supporting government capacity to identify and provide social services to underserved populations.

PROJECT DESCRIPTION

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

Objective 1 – Civil Society and Transparency: Support the strengthening of civil society through projects that empower civil society, as well as support sustainable communities through the capacity development of local organizations.

Sub-objective 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. The project should aim to strengthen and enhance the public participation of underserved groups, including but not limited to, at-risk youth, women, Afro-Panamanians, indigenous persons, as well as facilitate public policy engagement between local organizations and the Government of Panama. The project must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote meaningful institutional reforms.

Sub-objective 2:

Despite Panama’s rapid economic growth and low overall reported unemployment levels, high levels of income inequality persist, especially in underserved areas in the Panama and

Colon provinces, as well as areas with poor economic links to the capital. Urban development and renewal has further marginalized individuals from underserved communities. As such, the recipient will develop a model for sustainable community development in Panama that incorporates the institutional roles of the government, local organizations and community members. The project may include, but is not limited to, public policy strategies for urban development, local organizational development and institutional engagement between government authorities and community stakeholders. These projects should be scalable and intended to demonstrate the viability of a sustainable approach to building the capacity of communities so that the Government of

Panama can later replicate and expand them as appropriate. The project must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote meaningful institutional reforms.

Objective 2 – Strengthening Judicial Institutions and Prison Reforms: Support Panamanian government institutions through prison reform and crime prevention programs that promote citizen security within the broader context of Panamanian judicial reforms.

The Government of Panama has sought to strengthen its judicial institutions through changing to an accusatory form of justice, which should make judicial processes more transparent and reduce pre-trial detention. However, prisons remain crowded, and the government seeks further reforms to reduce recidivism. In support of the Government of

Panama’s initiatives for reforming prison and detention release programs, the recipient will partner with the relevant Panamanian authorities to develop a pilot program that incorporates the social reintegration of offenders as part of the government’s broader institutional prison reform efforts. The recipient should develop a sustainable program that supports and enhances government services, including values and skills training provided within government prison/detention release programs. This pilot program will be executed in collaboration with relevant Panamanian authorities (excluding members of law enforcement), who will be trained in identifying successful candidates for the program, as well as reforming procedures to support end-of-detention transition programs and working with non-governmental partners to reduce incidence of recidivism. Highly competitive proposals will clearly demonstrate that the program is part a comprehensive institutional approach to reforming the prison system. The proposal will provide a model for officials and non-governmental organizations to ensure anti-recidivism programs are integral to a reformed prison and detention methodology. Funded activities cannot benefit members of the law enforcement community. The pilot program may target youth who have been released from detention, put on probation, or sentenced to other social re-education measures. The program must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote meaningful institutional reforms.

The recidivism rate in Panama’s prison system has led to the unfortunate reality that some offenders are not only repeating their crimes, but encumbering an overcrowded prison system. In partnership with the relevant Panamanian authorities, policymakers, and civil-society organizations, the recipient will develop and implement a pilot project to support institutional efforts to reduce prison overcrowding and prevent repeat offenses. These projects should be scalable and intended to demonstrate the viability of alternative methods of detentions for crimes, as well as institutional crime-prevention approaches that the

Government of Panama can later replicate and expand as appropriate in order to bolster efforts to reform the judicial system writ large. Projects will be executed in collaboration with the Government of Panama; however, as noted above, funding for this project cannot benefit members of Panamanian law enforcement. The project must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote

Objective 3 – Government Institutions: Support the efforts of Panamanian authorities to strengthen institutions and promote inclusion and transparency.

In December 2016, President Varela signed a bill to create the National Secretariat for the

Development of Afro-Panamanians (SENADAP), managed under the Ministry of Social

Development. The formation of the Secretariat presents an opportunity for the Government of Panama to invest public resources to target initiatives towards the inclusion and economic development of Afro-Panamanian communities. In partnership with the relevant

Panamanian authorities, the recipient will develop a project to assist with the pre-survey preparation of the 2020 Panamanian census. The project should advance a methodology for data collection to reflect accurate numbers of Afro-Panamanians living in Panama in order to assist the government in budgeting for and delivering programs under SENAP. A successful proposal should incorporate technical assistance and/or training to strengthen the functions of the government’s census data collection for measuring and mapping its population’s race and ethnicity. Collaboration with regional or multi-regional government partners that have developed and implemented similar census surveys is strongly encouraged. The project must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote meaningful institutional reforms.

The trafficking of persons occurs both across borders, as well as internally within a country.

Increased levels of inequality have led to the migration of disadvantaged individuals in search of better economic opportunities, including within Panama, sometimes leading to sexual exploitation. Law enforcement is typically the first point of contact for victims and perpetrators (when reported), civil society organizations often provide the support and connection to services for individuals that have been exploited, and public policy helps to bridge the gap for a collective response between government authorities and the community. The recipient will develop a program to develop civil society’s capacity to 1) provide support to victims, and 2) work with the government to integrate victims’ services into the government’s justice reform initiatives. The scope of the program should enable civil society to demand government accountability for services provided to victims, as well as to strengthen institutional justice reforms through collaboration among the relevant

Panamanian authorities, non-governmental organizations, and other interested parties. The project may include, but is not limited to, addressing potential regulatory and government responses to related non-criminal activities, investigating and adapting models from other countries with similar trafficking profiles that can serve as guides for developing a

Panamanian response, including the role of civil society and the private sector, and any issues regarding human and civil rights. As noted above, funding for this project cannot be used to benefit members of Panamanian law enforcement. The project must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote

Sub-objective 3:

The national archives of a country serve as the treasury of historical government documents on behalf the citizens, to enable them to hold their government accountable. Currently, Panama does not have a central location to preserve its national documents which are essential components to understanding its history and democracy. In partnership with the relevant Panamanian authorities, the recipient will develop a project to create a legal framework for the protection and maintenance of national documents. The project must demonstrate clear linkages to CARSI governance goals to uphold democratic values and and/or promote meaningful institutional reforms.

CROSS-CUTTING AND ADDITIONAL ACTIVITIES

Project Expansion

In the event of a successful project, U.S. Embassy Panama will consider the option of expanding the project to other areas of countries in the region, subject to availability of future funding.

Applicants may include in their proposal a brief section outlining how additional funds could potentially be used to expand work into further activities or additional countries in future years.

Applicants are strongly encouraged to demonstrate how their project might leverage funding through other organizations.

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 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 1.2, noted below under Objective 1 – 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 – Civil Society and Transparency:

Sub-objective 1.1: 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.

Example/Illustrative Outcome Indicators Illustrative targets:

Percent of civil society organizations that know and understand how to influence public policy outcomes.

70%

*Sub-objective 1.2: By the end of the project, 75% of the beneficiaries should be able to advocate for policy and government accountability regarding urban development. Applicant should provide output and outcome indicators that will be used to measure progress.

Outcome Indicators Illustrative

Number of civil society organizations (CSOs) receiving USG assistance engaged in advocacy interventions.

75%

Objective 2 – Strengthening Judicial Institutions and Prison Reforms:

Sub-objective 2.1: By the end of the project, social reintegration programs are institutionalized components of the government’s prison reforms. Applicant should provide output and outcome indicators that will be used to measure progress.

Example/Illustrative Output Indicators Illustrative

Government of Panama incorporates elements of social reintegration programs into prison reform rules and procedures.

100%

Panamanian officials receive training and pass competency exam to develop social reintegration prison programs and be able to identify candidates for the programs.

80%

Panamanian officials coordinate end-of-detention transitions with non-governmental partners to reduce incidence of recidivism.

Increased number of prisons that implement the pilot programs. 80%

Sub-objective 2.2: The pilot program is structured to reduce prison overcrowding through alternative detention methods and to reduce prison/detention recidivism through institutionalizing crime prevention programs. Applicant should provide output and outcome indicators that will be used to measure progress.

Relevant Panamanian officials are trained to identify types of offenders and crimes to place in alternative prisons/detentions.

Relevant Panamanian officials are trained to develop crime prevention programs.

Government of Panama establishes alternative detention centers. 70%

Government of Panama institutionalizes crime prevention programs in prisons/alternative detention centers.

Objective 3 – Government Institutions:

Sub-objective 3.1: By the end of the project, the new census data survey information on

Afro-Panamanians should be incorporated into the 2020 Panamanian census. Applicant should provide output and outcome indicators that will be used to measure progress.

Percent of government census officials report increased understanding of developing targeted questions on race and ethnicity for obtaining accurate data.

Sub-objective 3.2: By the end of the project, institutional reforms to the justice sector are further strengthened through an effective collaborative response between government and non-governmental organizations to integrate victims’ services in the criminal justice system.

Civil society organizations and Panamanian officials are trained to identify victims of sexual exploitation and can refer such victims to non-governmental services.

80% increase

Develop the capacity of civil society organizations to focus on victims’ services, coordinate with Panamanian officials to connect with victims, and/or promote government policies to protect victims of sexual exploitation.

80% increase

Example/Illustrative Output Indicators Illustrative targets:

Civil society organizations and Panamanian officials develop regulatory responses for investigating trafficking profiles of sexual exploitation.

100% increase

Increased response by Panamanian government and civil society to address trafficking and sexual exploitation, including increased number of organizations linked with judicial institutions to provide services to

70% victims and increased number of arrests based on such referrals.

Sub-objective 3.3: By the end of the project, there is a central location to preserve Panama’s national documents.

Percent of participants who report an increased knowledge in how to protect and maintain national documents.

90%

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

U.S. Embassy Panama expects to award up to 10 grant agreements based on this NOFO. The anticipated total federal funding amount is $1,500,000. The period of performance is between 12-24 months with an anticipated start date of September 30, 2017.

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 who 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 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.

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(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

4. 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 http://www.sam.gov/ https://iupdate.dnb.com/iUpdate/viewiUpdateHome.htm https://www.fsd.gov/ https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx http://apply07.grants.gov/apply/forms/sample/SF424B-V1.1.pdf

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, 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.

6. 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.

7. 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.

8. 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.

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.

http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl

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 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/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…