Proposal Submission Instructions.docx

PROPOSAL SUBMISSION INSTRUCTIONS (PSI)

Bureau of Counterterrorism (CT) U.S. Department of State

I. APPLICATION AND SUBMISSION INSTRUCTIONS

Technically eligible submissions are those that: 1) Arrive via Grants.gov (www.grants.gov) by the designated due date and time, and 2) heed all instructions contained in the NOFO and this Proposal Submission Instructions (PSI).

U.S. Department of State requires that all DOS awards be issued via DOS State Award Management System (SAMS Domestic). Potential Recipient must secure the ability to manage the award through SAMS. For assistance with the system contact the SAMS Domestic Help Desk at 1-888-313-4567 or email: ilms@state.gov. It is the applicant’s responsibility to ensure proposals have been submitted and received in advance of the deadline.

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 C) All Microsoft Word documents are single-spaced, 12 point Times New Roman font, with one-inch margins D) All documents must be submitted in English

Complete applications must include the following for proposal submissions:

1. Forms: Completed and signed SF-424, SF-424A, and SF-424B (Optional for FPEs and PIOs)

2. Table of Contents: Not to exceed one [1] page in Microsoft Word for the full proposal, including attachments, with page numbers

3. Executive Summary: Not to exceed two [2] pages in Microsoft Word) including:

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: 10-20 pages in Microsoft Word. Please note the page limit does not include the Table of Contents, Executive Summary and Attachments, such as Budget/and Budget Narrative, Audit Report, and NICRA, if applicable.

Applicants are encouraged to submit multiple sections in a single Microsoft Word document (e.g., Table of Contents, Executive Summary, and Proposal Narrative in one file). Budget, in Excel, using the attached budget template, and budget narrative, in Word, should be separated from the proposal narrative.

Proposal narratives should include the following components:

· Introduction

· Problem Statement and Rationale

· Planned Activities

· Anticipated Outcomes

Applicants should describe the problem and how the project will achieve or contribute to achieving a sustainable solution and a measurable outcome. Applicants should describe the planned activities, and relevant stakeholders for implementation. Applicants should also list assumptions that will affect the ultimate success of the project.

The applicant should explain, as necessary, the particular experience and qualifications the organization brings to the project.

5. Detailed Line-Item Budget: (in Microsoft Excel): Please follow the attached template. A summary budget must be included using the OMB approved budget categories (as in SF-424A). Costs must be presented in whole U.S. dollars.

6. Budget Narrative: (in Microsoft Word): Includes an explanation and justification for each line item in the detailed budget spreadsheet, as well as a description of all cost-share offered, if applicable. For ease of review, we ask applicants to order the budget narrative to correspond to the Detailed Line-Item Budget. Personnel costs should indicate the percentage of time devoted to the project/level of effort (e.g. 25% as applicable). The budget narrative should clearly and concisely describe the responsibilities of each staff member under this project. The budget narrative should communicate any additional information that might not be readily apparent in the budget, not simply repeat with words what is stated numerically in the budget.

7. Financial Management Survey: Optional at the time of the application

8. Attachments: (5-15 pages, preferably in Microsoft Word) Three mandatory attachments include the following in order (see Tab A below for more information on this section):

a) Roles and Responsibilities along with the names of key personnel

b) Timeline/Schedule of Activities

c) Project Monitoring Plan with Logic Model

d) 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. NICRA/Indirect Cost Rate: If your organization has a Negotiated Indirect Cost Rate Agreement (NICRA), your latest approved NICRA must be included as a .pdf file. Applicants should indicate in the proposal budget how the rate is applied and if any of the rate will be cost-shared, cost-share is voluntary and will NOT be used as a factor in proposal evaluation. NICRA will not be reviewed by the panelists, but rather by the Grants Officer if the proposal is recommended for funding. Therefore, NICRA inclusion does not count against the page limitations as described above. If your proposal involves sub-grants to organizations charging indirect costs, please submit the applicable NICRA also as a .pdf file.

Per 2 CFR 200.414, applicants that do not have a NICRA may elect to charge a de minimis rate of up to 10% of modified total direct costs (MTDC) which may be used indefinitely. If your organization has a NICRA rate, you are not allowed to apply the 10% de minimis or to alternate between the NICRA and the 10% de minimis. For organizations that apply the 10% de minimis, this methodology must be applied consistently for all federal awards until a non-federal entity chooses to negotiate for a NICRA rate. As described in 2 CFR 200.403, costs must be consistently charged as either indirect or direct costs, but may not be double- charged or inconsistently charged as both.

10. Audit: Include a copy of your organization’s most recent audit single or program audit) if applicable, or the annual in-house audit, please refer to the 2 CRF 200 for requirements). Like the NICRA documentation, this document will not be reviewed by the review panel and will not be counted against the page limitations.

The applicant’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.

A non-federal entity that expends $750,000 or more during the non-federal entity's fiscal year in federal awards must have a single or program-specific audit conducted for that year in accordance with the provisions of 2 CFR 200 subpart F. For more information, see Audit Services, 2 CFR 200.425.

Note: Bureau retains the right to request additional documentation for items not specified in this PSI.

INFORMATION ON STANDARD FORMS

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

UNIFORM ADMINISTRATIVE REQUIREMENTS

Organizations should also be aware that if selected for an award, the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards set forth in 2 CFR Chapter 200 (Sub-Chapters A through F) and 2 CFR 600 (Department of State specifications) shall apply to all non-federal entities, except for assistance awards to Individuals and Foreign Public Entities. Please note that as of December 26, 2014, 2 CFR 200 (Sub-Chapters A through E) now applies to foreign organizations, and Sub-Chapters A through D shall apply to all for-profit entities. The applicant/recipient of the award and any sub-recipient under the award must comply with all applicable terms and conditions, in addition to the assurance and certifications made part of the Notice of Award.

TAB A: MANDATORY ATTACHMENT GUIDELINES

a) Roles and Responsibilities:

Indicate the roles and responsibilities of key project personnel with short biographies that highlight professional experience as it relates to the organization’s capacity to implement the proposed project.

b) Timeline/Schedule of Activities:

Provide a timeline or schedule of activities for the overall project. Components should include activities, monitoring and evaluation efforts, and project closeout. You may use a table or another format that is suitable for showing the timing of the planned activities and the relationship between or sequencing of the activities. Choose the best tool to demonstrate the timeline for your program plan.

c) Project Monitoring Plan (PMP):

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

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

· Linking project activities to stated objectives.

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

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

BUDGET

Applications that maximize direct activity costs and minimize administrative costs are encouraged. Other considerations are the completeness of the application, adequacy of budget detail, and consistency with elements of the technical application. In addition, the organization must demonstrate adequate financial management capability, to be measured by a responsibility determination.

Complete applications will include a detailed line-item budget and 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 summary budget should include the following components, in the suggested format below:

Bureau Request

A. PERSONNEL

B. FRINGE BENEFITS

C. TRAVEL

D. EQUIPMENT (items $5,000 per unit and above)

E. SUPPLIES (items below $5,000)

F. CONTRACTUAL (sub-grants or consultant fees)

G. OTHER DIRECT COSTS

H. TOTAL DIRECT CHARGES

(Sum of A-H Subtotals)

I. INDIRECT CHARGES (NICRA or 10% de minimis)

J. TOTAL FEDERAL FUNDS (Sum H- I)

K. COST-SHARE, if applicable

L. TOTAL (Sum of J-K)

Note: The above is designed to serve as a sample SUMMARY BUDGET (per SF-424 A) for complete budget submissions and is NOT exhaustive. You are required to use the attached detailed budget template. Individual line items included in the budget should reflect specific project activities.

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

LINE-ITEM BUDGET, for additional informational please reference the Budget Guidelines document.

A. Personnel – Identify staffing requirements by each position, title, and brief description of duties for this project. For clarity, list the annual/or monthly 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. A non-federal entity must follow its written entity-wide policies and practices including compensation.

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

C. Travel – Staff and/or Participant travel:

a) International airfare

b) Domestic travel (airfare within the United States or host country)

c) In-country travel (ground transportation within the host country/ies)

d) Per diem/maintenance, which includes lodging and meals and incidental expenses (M&IE) for both participant and staff travel. 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. Rates of maximum allowances for U.S. travel are available at http://www.gsa.gov and foreign per diem rates are available at https://aoprals.state.gov/web920/per_diem.asp.

e) Staff refers to Recipient organization’s staff only, and not sub-grantee staff or contractors

D. Equipment – Provide justification for any equipment purchase, defined as tangible personal property having a useful life of more than one year and a unit cost of $5,000 or more.

E. Supplies (program supplies) – List items separately using unit costs to the maximum extent practicable (and the percentage of each unit cost being charged to the grant). Organizations that have supplies as part of their indirect cost pool may not charge them to the grant.

F. Contractual –

a) Sub-Award - For each sub-award, if applicable, please provide a detailed line-item budget breakdown, using the provided budget template, and explaining specific services.

b) Consultant/Outside Expert Fees - Costs may include lecture fees, honoraria, consultant travel, and per diem for outside speakers or independent outside experts for each outside expert separately. List the number of people and consultant rates per day (e.g., 2 consultants x $150/day x 2 days).

G. Other Direct Costs – These will vary depending on the nature of the project. The inclusion of each line item should be justified in the budget narrative. Line items, such as equipment or venue rental, photocopying, postage, telephone/fax, or printing, etc. may be included here. All costs must be allowable, allocable, and reasonable subject to Grants Officer’s review and approval. Line items, such as “Miscellaneous,” “Contingency Fund,” and “Reserve Fund”, or “Various’ and “Other” are NOT permitted.

H. Indirect Charges – See 2 CFR 200.414 “Indirect Costs”

1) If your organization has a NICRA with the U.S. Government, please include a copy of this agreement.

2) If your organization applies the 10% de minimis, please indicate how the rate is applied, provide a calculation of the MTDC.

Cost-Effectiveness - Applicants should demonstrate cost-effectiveness of USG funds by presenting reasonable budgets based on real figures. Budgets that either significantly over-estimate or under-estimate line item amounts will not be viewed as cost-effective.

Cost- Share – Cost -sharing, or matching, refers to a portion of project or program cost that is not borne by the federal government. Cost -sharing is not required and will not be used as a factor in proposal review. Cost-share must be itemized, explained and justified; costs must be allocable, necessary, and reasonable

For any cost- share included, please provide an explanation of the contributions, 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. Recipients must follow cost- sharing or matching policy as stipulated in 2 CFR 200.306. Cost- sharing amounts proposed will be incorporated as part of the allowable budget items. If selected for an award, your organization will have to provide the minimum amount of cost sharing as stipulated in the budget approved by the Grants Officer. Funds from other USG awards, may not be used as cost-share.

BUDGET CONDITIONS AND RESTRICTIONS

CT does not pay for the following: (this list is NOT exhaustive):

· Publication of materials for distribution within the United States;

· Administration of a project that will make a profit;

· Expenses incurred before or after the specified dates of award period of performance (unless prior written approval is received);

· Projects designed to advocate policy views or positions of foreign governments or views of a particular political faction;

· Alcoholic beverages;

· Costs of entertainment, including amusement, diversion, and social activities and any associated costs are unallowable, except where specific costs that might otherwise be considered entertainment have a programmatic purpose and are authorized either in the approved budget for the federal award or with prior written approval of the federal awarding agency;

· Land;

· Construction.

TAB C: GUIDELINES FOR STANDARD FORMS

SF-424 – Complete all fields except fields noted as “Leave Blank” below.

1. Type of Submission: Application

2. Type of Application: New

3. Date Received: Leave blank. This will automatically be assigned

4. Applicant Identifier: Leave blank

5. (5a) Federal Entity Identifier: Leave blank (5b) Federal Award Identifier: Leave blank

6. Date Received by State: Leave blank. This will automatically be assigned

7. State Application Identified: Leave blank. This will automatically be assigned

8. (8a) Enter the legal name of the applicant organization.

(8b) Employer/Taxpayer ID Number: Enter applicant specific number.

(8c) Unique Entity Identifier (DUNS): Organizations can request a DUNS number at http://fedgov.dnb.com/webform (8d) Enter the full address of the applicant (8e) Enter the name of the primary organizational unit (and department or division) that will undertake the assistance activity, if applicable (8f) Enter the name, title, organization, and contact information of person to be contacted on matters involving this application

9. Select an applicant type (type of organization)

10. Enter: Bureau (specify)

11. Enter: 19.750

12. Enter the Funding Opportunity Number and title. This number will already be entered on electronic applications

13. Enter the Competition Identification Number and title. This number will already be entered on electronic applications

14. Areas Affected by Project: List the country or countries where project activities will take place in alphabetical order

15. Enter the title of the proposed project (if necessary, delete pre-printed wording)

16. (16a) Enter Congressional district of Applicant (if foreign applicant, enter 90) (16b) Enter: 00

17. Enter the projected start date and end date

18. (18a) Enter the amount requested for the project under “Federal” (18b) Enter any cost-share under “Applicant” otherwise use zeros

19. Enter “c”

20. Select the appropriate box. If you answer “yes” to this question you will be required to provide an explanation

21. Enter the name, title, and contact information of the individual authorized to sign for the application

SF-424A – Please review the detailed instructions below before completing this form online

Section A - Budget Summary - Complete Row 1 1a. Enter: Bureau (specify) Grants 1b. Enter: 19.750 1c. Leave this field blank 1d. Leave this field blank 1e. Enter the amount of federal funds you are requesting for this project 1f. Enter the amount of any other funds you will receive towards this project 1g. Enter the total cost of this project Rows 2, 3, and 4 may be left blank.

Section B - Budget Categories – Enter total project costs in each category in Column 1 as described below. In Column 5, the form should automatically show the sum. Columns 2, 3, and 4 should be left blank.

6a-h. Enter the amount for each object class category (Include cost share).

6i. Enter the sum of 6a-6h 6j. Enter any indirect charges 6k. Enter the sum of 6i and 6j

7. Enter any program income that will be earned as a result of the project. If there is none leave this section blank.

Section C - Non-Federal Resources (Only complete this section if your project includes an applicant cost share or funds from other sources) 8a. Under Grant Program enter: Bureau (specify) 8b. Enter your cost share amount 8c. Enter the amount of any other funding sources for this project 8d. Leave blank 8e. Enter the total amount for all non-federal resources (the form should automatically show this sum) Rows 9, 10, and 11 should be left blank.

Section D - Forecasted Cash Needs

13. In the first column enter the amount of federal funds you expect to expend in the project’s first year. Forecasted cash ‘needs by quarter’ are not required.

14. In the first column enter the amount of non-federal funds you expect to expend in the project’s first year. Forecasted cash needs by quarter are not required.

15. In the first column enter the sum of 13 and 14 (the form should automatically show this sum). Forecasted cash needs by quarter are not required.

Section E - Budget Estimates of Federal Funds Needed for Balance of the Project 16a. Under Grant Program enter: Bureau (specify) 16b-e. Enter the amount of federal funds you expect to expend in each subsequent year of the project.

Rows 17, 18, 19 should be left blank.

20. Enter the total amount for each year (The form should automatically show this sum.)

Section F - Other Budget Information

21. Enter: Direct Charges – Leave Blank

22. Enter: Indirect Charges – If Indirect Charges are shown in Section B 6, enter the type of Indirect Rate used (Provisional, Predetermined, Final, or Fixed)

23. Enter any other explanations or comments deemed necessary.

SF-424B

Fill in the appropriate fields. Complete applicant organization and title of authorized official sections. The Authorized Official is generally the grant signatory at the organization or institution.

II. APPLICATION REVIEW INFORMATION

Bureau may request clarification and supplemental materials from applicants whose proposals have a reasonable chance of being selected for award.