Track One Point Five Dialogue (1).docx

United States Department of State Bureau of Oceans International Environmental and Scientific Affairs Notice of Funding Opportunity (NOFO): Track 1.5 Dialogue on Global Water Security

This is the announcement of funding opportunity number SFOP0009864

Catalog of Federal Domestic Assistance (CFDA) Number: 19.017

Type of Solicitation: Open Competition

Application Deadline: 11:59 PM EDT on July 30, 2023, (Questions must be submitted by 11:59PM EDT on July 20, 2023.)

Total Available Funding: $1,300,000

Total Funding Ceiling: $1,300,000

Anticipated Number of Awards: 1

Type of Award: Cooperative Agreement

Period of Performance: 36 months

Anticipated Time to Award, Pending Availability of Funds: September 30, 2023

A. PROJECT DESCRIPTION

A.1 Summary

The U.S. Department of State, Bureau of Oceans and International Environmental and Scientific Affairs’ Office of Environment, Conservation, and Water announces the Notice of Funding Opportunity (“NOFO”) for a program to take advantage of the momentum and opportunities stemming from the 2023 UN Water Conference and Water Action Decade and will seek to strategically leverage existing arenas for dialogue, such as academic, policy, and intergovernmental gatherings on water and water-related sectors and processes.

This Track 1.5 Dialogue on Global Water Security aims to foster discussions that will inform and help shape the future direction of the global water security agenda, prioritizing the involvement of “High Priority Country” representatives and strengthening their capacity to engage in international water processes. A Track 1.5 dialogue process combines elements of both official government-level negotiations (Track 1) and informal, unofficial discussions (Track 2) to foster a more inclusive and flexible environment, allowing for a broader range of perspectives and expertise while maintaining the potential for official decision-making and implementation. It offers the advantages of leveraging the expertise and influence of official actors while also incorporating the participation of non-state actors and civil society, building trust among all stakeholders and leading to a more comprehensive and sustainable resolution to complex issues., This time-bound, action-oriented program will explicitly feature elements designed to break out of established often narrow policy discussions and broaden the diversity of voices included in the global conversation.

Target Countries – See APPENDIX 1 – List of Eligible Countries for the Program

Program Background

Water security is under increasing threat worldwide. Around 2 billion people around the world do not have access to safe drinking water, and approximately 3.6 billion people – 46% of the world's population – lack adequate sanitation services. Due to the limited supply of the world’s freshwater, about 2.7 billion people experience water scarcity for at least one month of the year. According to the World Bank, water scarcity could cost some regions up to 6% of their GDP, driving migration and exacerbating conflict.

Meeting the challenge of climate-driven water stress will require a substantial change in how the world manages and protects its freshwater resources, already strained from environmental degradation and mismanagement. A resilient approach to sustainable water management can provide a key pathway for meeting economic, environmental, and food security goals while conserving biodiversity and protecting ecosystem functions.

The UN Water Conference, convened in March 2023, prompted a global discussion on water for the first time in over forty years. Many questions emerged from the conference, such as to how to direct newfound momentum and rising global expectations towards stronger water security. Numerous potential “game-changing” ideas have been proposed, such as a new UN Special Envoy for Water, though details and arrangements to strengthen international responses to the global water challenge remain undetermined.

The Bureau of Oceans and International Environmental and Scientific Affairs (OES) at the U.S. Department of State is a lead implementing partner of the U.S. Global Water Strategy (GWS), and the White House Action Plan on Global Water Security. The GWS envisions a water-secure world that advances health, prosperity, stability, and resilience through sustainable and equitable water resources management as well as sustainable and equitable access to safe drinking water, sanitation services, and hygiene. This program will address all of the Strategic Objectives of the GWS and also will contribute to Pillar 3 of the White House Action Plan: “Ensuring multilateral action mobilizes cooperation and promotes water security.”

Through its international engagements, the U.S. government seeks to elevate efforts in multilateral fora to build committed support to strengthen climate-resilient water infrastructure worldwide. Promoting greater transparency, advancing accountability, and reducing corruption and inequality in the water sector is also fundamental. The U.S. government seeks to bolster the participation of marginalized people and communities across sector institutions and processes and seeks to partner and champion civil society organizations, particularly those led by and for underserved or marginalized groups, to support their capacity to identify and resolve policy barriers and improve access to and use of relevant data for decision-making.

Pursuant to Section 136 of the Foreign Assistance Act of 1961 (FAA), as amended by the Water for the World Act of 2014 (the Act), the U.S. government must focus its investments under the Act on those countries and geographic areas where the needs are greatest and to maximize impact and sustainability. To do so, the Act requires the USAID Administrator, via delegated authority from the President, annually to designate no fewer than 10 water and sanitation High-Priority Countries (HPCs) based on specific criteria, in the context of U.S. foreign policy interests. The following countries were designated HPCs for October 1, 2022 – September 30, 2023: Democratic Republic of Congo, Mali, Ethiopia, Mozambique, Ghana, Nepal, Guatemala, Nigeria, Haiti, Philippines, India, Rwanda, Indonesia, Senegal, Kenya, South Sudan, Liberia, Tanzania, Madagascar, Uganda, Malawi, and Zambia. Please refer to Annex B of the GWS for a full overview of the HPC designation process.

A2. Program Goal

The program’s goal is to strengthen global water security through improved international communication, collaboration, and coordination with particular focus on the inclusion of underrepresented voices in policy fora, such as representatives from countries most affected by, or at risk from water insecurity and/or lack of access to water and sanitation. Proposals must address the following objectives:

Objective 1: Establish an international “track 1.5” dialogue that may inform and help shape the future direction of the global water security agenda Activities include but are not limited to:

· Hosting targeted workshops and events designed to foster discussions between relevant officials and stakeholders, while explicitly prioritizing and supporting the involvement of HPC representatives and other underrepresented voices

· Documents to support the preparation and follow up of such workshops (e.g., reflections, structured exchanges, joint analysis, joint drafting, etc.)

· Continuous communication and exchange opportunities via in-person, hybrid, and virtual events

Objective 2: Inform and improve the future direction of the global water security agenda to ensure a stronger, more informed dialogue more reflective of stakeholders and communities at greatest risk of water insecurity. Activities may include but are not limited to:

· Internal or external-facing policy analysis, stock-takes, recommendations, as needed and reflective of the views of the dialogue participants and objectives of the program.

· Creating outward-facing informational and communication products based on workshops (reports, briefings, videos, articles)

· Creative use of non-traditional media to share messages geographically and sectorally.

Objective 3: Build HPC capacity to engage more actively internationally, intentionally amplifying and making space for voices of a wider range of stakeholders that traditionally influence the global discourse on water, including youth, women, indigenous peoples, and other marginalized groups who have been left out of decision making processes and platforms.

· Assisting HPC representatives in identifying and communicating specific water sector challenges and/or navigating international processes or platforms.

· Performing a needs assessment prior to, and following dialogue events.

· Providing tailored direct support (I.e. counseling, advice) prior to, during, and after dialogue events to ensure full and effective participation.

A3. Expected Outcomes

Overall, this program will seek to diversify and deepen the international conversation on global water security, which will help to ensure that water security supports economic growth while also addressing economic and social inequalities. By intentionally supporting and building the capacity of HPC representatives and underrepresented voices, the program will strengthen the effectiveness, responsiveness, and sustainability of international efforts to strengthen water security, while also improving water security outcomes in HPC countries.

Applicants are welcome to suggest additional performance outputs and outcomes to the ones listed below based on the proposal’s plan for achieving goals. The outcomes should reflect the program objectives. Outputs or other metrics should directly support the program outcomes. The outputs listed on this award are for tracking purposes.

Indicative Outcomes or Results:

1. A series of in-person, hybrid, and/or virtual events, including relevant government officials from HPCs and underrepresented voices.

2. Evidence of a broader dialogue, inclusion of underrepresented voices.

3. Evidence of impact in formal or informal global processes (documents, statements, etc.)

4. A compendium of communications materials, both for internal and external use.

5. A final report, including recommendations and/or guidance for international uptake.

Indicative Performance Outputs:

· Total number of member states and other stakeholder groups engaged in meetings, including specific numbers on underrepresented voices.

· Total number of participants engaged in activities

· Number of institutions strengthened to manage water resources through each activity.

· Anecdotal narratives and qualitative indicators of progress/success.

· Number of other donors who provide funding or in-kind contributions as cost share.

A5. Performance Indicators

Applicants must select and report against at least one of the U.S. Department of State standard performance indicators listed below. In addition to the Department of State’s standard indicator(s), OES allows applicants to identify custom program-specific indicators for monitoring and reporting on program activities. All applicable indicators and outcome metrics should be included in the proposal. Subsequent to the award, routine, periodic reporting of all outcomes is required. The State Department takes into consideration the quality of data reported by grant recipients as part of the award activities, therefore applicants should be aware that recipients will be subject to data quality assessments.

100s-1000s of women

100s-1000s of women

3-6 regional scale 3-6 local scale

100s-1000s of women

A.6. Key Considerations

Leverage and coordinate technical, financial, and diplomatic support from a broad range of government and non-government partners.

Workshop series facilitator must be able to skillfully prepare for and navigate discussions in a deft manner, utilizing best practices for convening sensitive discussions with a wide variety of perspectives as well as managing the complexity of the subject matter at hand.

Leverage existing and complementary formal (track 1) and informal (track 2) actors, institutions, platforms, and processes. These will include formal UN-hosted gatherings, water sector professional and academic conferences, and meetings or policy conferences led by donors and international financial institutions. Workshops may take place within or on the margins of complementary processes or conferences such as side-events, however resource used must reflect appropriate allocation.

The dialogue process will strive to support continuous communication and exchange opportunities during and between in-person, hybrid, and virtual events, and will seek to benefit from innovative approaches to collaboration, including cutting-edge meeting and communication techniques, technology, and tools (e.g. collaboration software, messaging).

Key program principles:

· Country ownership. The program should be responsive to the needs expressed by the representative countries.

· Local knowledge. The program should work to make scientific and technical knowledge understandable and consumable to stakeholders at all levels of society and integrate indigenous and local knowledge, with the knowledge-holders' permission, into activities and planning including identifying partners at the indigenous and local level.

· Partnerships and project sustainability. Projects should leverage additional institutional or outside resources to expand the impact of the program, contribute to sustainability of the program.

· Gender considerations. Gender perspectives will be part of program planning, implementation, monitoring and evaluation.

· Utilize Existing Resources and Expertise: When possible, the applicant is encouraged to leverage existing initiatives, programs, and opportunities to further the goals of the project.

1. B. Federal Award Information

Primary organizations can submit one application in response to the NOFO. If an applicant submits more than one application to this NOFO, only the first submitted, time-stamped application will be reviewed for eligibility.

The U.S. government may: (a) reject any or all applications, (b) accept other than the lowest cost application, (c) accept more than one application, and (d) waive irregularities in applications received.

The U.S. government may make award(s) on the basis of initial applications received, without discussions or negotiations. Therefore, each initial application should contain the applicant's best terms from a cost and technical standpoint. The U.S. government reserves the right (though it is under no 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.

OES anticipates awarding cooperative agreement depending on the needs and risk factors of the program. The final determination on award mechanism will be made by the Grants Officer. The distinction between grants and cooperative agreements revolves around the existence of “substantial involvement.” Cooperative agreements require greater Federal government participation in the project. If a cooperative agreement is awarded, OES will undertake reasonable and programmatically necessary substantial involvement. Examples of substantial involvement can include, but are not limited to:

· Participation in meetings and workshops with stakeholders;

· Participant selection;

· Approval of annual work plans, including: planned activities for the following year, travel plans, planned expenditures, event planning, and changes to any activity to be carried out under the Cooperative Agreement;

The authority for this funding opportunity is found in the Foreign Assistance Act of 1961, as amended (FAA).

To maximize the impact and sustainability of the award(s) that result from this NOFO, OES retains the right to execute non-competitive continuation amendment(s). The total duration of any award, including potential non-competitive continuation amendments, shall not exceed 54 months, or four and a half years. Any non-competitive continuation is contingent on performance and pending availability of funds. A non-competitive continuation is not guaranteed, and the Department of State reserves the right to exercise or not to exercise this option.

For eligible countries, see Appendix 1.

C. Eligibility Information

C1. Eligible Applicants

OES welcomes applications from U.S.-based non-profit/non-governmental organizations with or without 501(c) (3) status of the U.S. tax code; foreign-based non-profit organizations/nongovernment organizations (NGO); Public International Organizations; Foreign Public Organizations; and private, public, or state institutions of higher education.

C2. Cost Share

Providing cost sharing, matching, or cost participation is not an eligibility factor or requirement for this NOFO and providing cost share will not result in a more favorable competitive ranking. Per 2 CFR §200.306, items that are proposed for cost share must be allowable per 2 CFR §200, Subpart E—Costs Principles.

C.3 Other Eligibility Requirements

Applicants must have more than five years of experience working in global water processes, consistent with the objectives of this program, and should identify specific experience and/or expertise. Applicants must demonstrate a history of work with multilateral institutions.

Any applicant listed on the Excluded Parties List System in the System for Award Management (SAM.gov) (www.sam.gov) and/or has a current debt to the U.S. government is not eligible to apply for an assistance award in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR,1986 Comp., p. 189) and 12689 (3 CFR,1989 Comp., p. 235), “Debarment and Suspension.” Additionally, no entity or person listed on the Excluded Parties List System in SAM.gov can participate in any activities under an award. All applicants are strongly encouraged to review the Excluded Parties List System in SAM.gov to ensure that no ineligible entity or person is included in their application.

D. Application and Submission Information

D1. Address to request Application Package

Applicants can find application forms, kits, or other materials needed to apply on www.grants.gov and SAMS Domestic (https://mygrants.servicenowservices.com) under the announcement title “Track 1.5 Dialogue on Global Water Security “ SFOP0009864.” Please contact the OES point of contact listed in Section G if requesting reasonable accommodations for persons with disabilities or for security reasons. Please note that reasonable accommodations do not include deadline extensions.

D2. Content and Form of Application Submission

For all application documents, please ensure:

· All documents are in English. If an original document within the application is in another language, an English translation must be provided (please note: the Department of State, as indicated in 2 CFR 200.111, requires that English is the official language of all award documents. If any documents are provided in both English and a foreign language, the English language version is the controlling version);

· All budget costs are in U.S. dollars;

· All pages are numbered, including budgets and attachments;

· All documents are formatted to 8 ½ x 11 paper; and,

· All documents are single-spaced, 12 point font, with 1-inch margins. Captions and footnotes may be 10 point Times New Roman font. Font sizes in charts and tables, including the budget, can be reformatted to fit within 1 page width.

D.2.1 Application Requirements Complete applications must include the following required documents:

1. Completed and signed SF-424, SF-424A, and SF-424B

2. Organizations that engage in lobbying the U.S. government, including Congress, or pay for another entity to lobby on their behalf, are also required to complete the SF-LLL “Disclosure of Lobbying Activities” form (only if applicable).

3. Cover Page/Executive Summary (not to exceed one (1) page, preferably as a Word Document) that includes a table with the organization name, project title, target country/countries, and name and contact information for the application’s main point of contact and brief section that clearly outlines the (1) the problem statement addressed by the project (2) research-based evidence justifying the applicant’s approach, and (3) quantifiable project outcomes and impacts.

4. Proposal Narrative (not to exceed 12 pages, , preferably as a Word Document). Please note the ten-page limit does not include the Cover Page/Executive Summary, Detailed Budget, Budget Narrative, Logic Model, Key Personnel, Timeline or Attachments. Applicants are encouraged to combine multiple documents into a single Word Document or PDF (i.e. Cover Page, Table of Contents, Executive Summary, and Proposal Narrative in one file). The Narrative must include the following:

· Introduction to the Organization: A description of past and present operations, showing ability to carry out the project, including information on all relevant or similar type projects from previous grants from the U.S. Embassy and/or U.S. government agencies. Applicants must have more than five years of experience working in global water processes, consistent with the objectives of this program, and should identify specific experience and/or expertise. Applicants must demonstrate a history of work with multilateral institutions.

· Problem Statement: Clear, concise and well-supported statement of the problem to be addressed and why the proposed program is needed

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

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

· Program Objectives: The intermediate accomplishments and measurable targets to achieve a goal. Objectives of the program should be SMART:

· Specific: Detailed and specifies what will be achieved

· Measurable: have associated metrics or measurements of success

· Attainable: appropriately challenging, objectives can be reasonably attained give the available resources

· Relevant: align with the policy/program goal and appropriate within the country or beneficiary audience

· Time-Bound: achievable within the timeframe of the program

· Program Activities: Describe specific actions taken under Objective. All activities should be clearly developed and sufficiently explain the resource and time requirements (inputs) and things done or produced (outputs). Activities should detail: target areas, participant groups or selection criteria for participants; how relevant stakeholders will be engaged; actions taken by local partners as appropriate/relevant.

· Future Funding or Sustainability: Applicant’s plan for continuing the program beyond the grant period, or the availability of other resources, if applicable. Include ways program activities will ensure sustainability

· Risk Analysis - identify the internal and external risks associated with the proposed project, rate the likelihood of the risks, rate the potential impact of the risks on the project, and identify actions that could help mitigate the risks.

5. Budget (preferably as an Excel workbook) that includes three (3) columns containing the request to BUREAU, any cost sharing contribution, and the total budget. A summary budget should also be included using the OMB-approved budget categories (see SF-424A as a sample) in a separate tab. Costs must be in U.S. Dollars. Detailed line-item budgets for sub-grantees should be included as additional tabs within the Excel workbook (if available at the time of submission). Please see attached Budget Guidelines-Template for Multi-Year Awards (FY2023)

6. Budget Narrative (preferably as a Word Document) Justify each line-item in the budget and explain how the amounts were derived, consistency with the applicants documented policies, as well as the source and description of all proposed costs (and cost-share, if applicable). The narrative should complement the budget rather than repeat information provided in the budget. For example, the narrative should provide details on the purpose of costs, reasonability of costs, cost price analysis, explain allocations, explain any yearly variances and tie expenses to program activities and/or objectives where appropriate. Sources of all cost-share offered in the application should be identified and explained in the budget narrative. See Tab 1 Budget Guidelines-Template for Multi-Year Awards (FY2023) for more information.

7. Logic Model (preferably as a Word Document). Logic models, and alternative approaches, can be helpful when planning and designing programs. These tools can be used to visually depict or outline how and why a project will work—i.e. the rationale behind your project approach. Detailing how a program’s planned activities lead to certain outcomes can often help applicants understand the assumptions within the approach. Detailing factors outside your control, such as policy shifts (i.e. external factors) within a logic model can identify areas that should be included within your program’s risk analysis. It details planned activities, the immediate services or product of project activities (outputs), and the expected changes or benefits that occur after activities have been implemented (outcomes). Applicants should specify objectives, identify what resources (inputs) are needed, outline proposed activities (outputs) and beneficiaries, and illustrate how activities lead to expected results. See Sample Logic Model

8. Program Monitoring and Evaluation Narrative and Plan:

· An M&E Narrative (maximum one page) outlines how a project’s M&E system will be carried out and by whom. It details how you will track your project’s performance toward its objectives, over time. Provide a clear description of the approach and data collection strategies and tools to be employed (e.g., pre- and post-test surveys, interviews, focus groups). The description should include how the applicant will track and document whether activities occurred (outputs) and the results or changes caused by these activities (outcomes). If the project includes work with local partners or sub-partners, explain how M&E efforts will be coordinated amongst these organizations. Explain if an external evaluation will be included. Evaluations, internal or external, should be systematic studies that use research methods to address specific questions about project performance. They should provide a valuable supplement to ongoing monitoring activities. Evaluation activities generally include baseline assessments, mid-term and final evaluations.

· The M&E plan should draw on the objectives, activities and expected changes from the logic model, and link those areas to indicators. The M&E plan is generally structured as a table with output- and outcome-based indicators. It explains how data will be collected (data collection methods) to show that certain changes occurred. It outlines baselines (where your project is starting) and quarterly targets (what you would like to achieve) for each indicator. See Monitoring Indicator Table Sample

9. Key Personnel (not to exceed two (2) pages, preferably as a Word Document). This can represent staff within your organization or outside of your organization (subgrantee, consultants, contractors), carrying out administrative or technical responsibilities, who are integral to the success of the program. Include short bios that highlight relevant professional experience. Provides names, titles, roles and experience/qualifications of key personnel involved in the program. Given the limited space, CVs are not recommended for submission. Limited to 3-5 individuals.

10. Timeline (not to exceed one (1) page, preferably as a Word Document or Excel Sheet). The timeline of the overall proposal should include activities, evaluation efforts, and program closeout. Sufficient time should be included to conduct and finalize internal/external evaluations and allow any sub-recipients time for final reporting. See Sample Timeline

11. Attachments:

· At least one past performance reference which describes any contracts, grants, or cooperative agreements which the applicant organization has implemented involving similar or related programs over the past three years. Please include the following information: name and address of the organization for which the work was performed; current telephone number and email address of responsible representative from the organization for which the work was performed; contract/grant name and number (if any), beginning and end dates, amount received and; brief description of the project/assistance activity and key project accomplishments/results achieved to date.

· Letters of support from program partners describing the roles and responsibilities of each partner, if applicable/pre-identified

· Official permission letters, if required for project activities

· Letter of Disclosure for proposed consultants/personnel (if applicable) of potential conflicts of interest, employment with a local/state/federal government.

· D3. Unique Entity Identifier (UEI) and System for Award Management (SAM)

Required Registrations:

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

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

Note: The process of obtaining a SAM.gov registration may take anywhere from 4-8 weeks. Please begin your registration as early as possible.

· Organizations based in the United States or that pay employees within the United States will need an Employer Identification Number (EIN) from the Internal Revenue Service (IRS). A Commercial and Government Entity (CAGE) code and a UEI number are issued through SAM.gov. Once received continue with the remainder of the SAM.gov registration.

· Organizations based outside of the United States and do not pay employees within the United States do not need an EIN from the IRS, but do need a UEI number prior to registering in SAM.gov. Please note that as of November 2022 and February 2022 respectively, organizations based outside of the United States that do not intend to apply for U.S. Department of Defense (DoD) awards are no longer required to have a NATO CAGE (NCAGE).

· If an applicant organization is mid-registration and wishes to remove a CAGE or NCAGE code from their SAM.gov registration, the applicant should submit a help desk ticket (“incident”) with the Federal Service Desk (FSD) online at www.fsd.gov using the following language: “I do not intend to seek financial assistance from the Department of Defense. I do not wish to obtain a CAGE or NCAGE code. I understand that I will need to submit my registration after this incident is resolved in order to have my registration activated.”

All organizations applying for grants (except individuals) must obtain these registrations. All are free of charge:

· NCAGE/CAGE code (if applicable)

· www.SAM.gov UEI and registration

If you are an organization based outside the U.S. and DO NOT plan to do business with the Department of Defense:

Step 1: Proceed to SAM.gov to obtain a UEI and complete the registration. SAM registration must be renewed annually.

If you are an organization based outside the U.S. and plan to do business with the Department of Defense:

Step 1: Apply for an NCAGE number

NCAGE Homepage:

https://eportal.nspa.nato.int/AC135Public/sc/CageList.aspx NCAGE Code Request Tool (NCRT):

https://eportal.nspa.nato.int/Codification/CageTool/home For NCAGE help from within the U.S., call 1-888-227-2423 For NCAGE help from outside the U.S., call 1-269-961-7766 Email NCAGE@dlis.dla.mil for any problems in getting an NCAGE code.

Step 2: After receiving the NCAGE Code, proceed to SAM.gov to obtain a UEI an complete registration. SAM registration must be renewed annually.

All prime organizations must also continue to maintain active SAM.gov registration with current information at all times during which they have an active Federal award or application under consideration by a Federal award agency. SAM.gov requires all entities to renew their registration once a year in order to maintain an active registration status in SAM. It is the responsibility of the applicant to ensure it has an active registration in SAM.gov and to maintain that active registration. If an applicant has not fully complied with the requirements at the time of application, the applicant may be deemed technically ineligible to receive an award and use that determination as a basis for making an award to another applicant.

Note: SAM.gov is not the same as SAMS Domestic. It is free to register in both systems, but the registration processes are different.

Information is included on the SAM.gov website to help international registrations: https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0016380&sys_kb_id=194695221bfe4d983565ed3ce54bcbbb&spa=1 Please note, guidance on SAM.gov and the guidance on GSA’s website about requirement for registering in SAM.gov is subject to change and currently being updated. Applicants should review the website frequently for the most up-to-date guidance.

The attached “UEI and SAM.gov FAQ updated 021623” is a resource provided by the grants policy office. Any content shown from SAM.gov is not owned by the Department of State. This guidance and instruction are to the best of our knowledge based at the time of posting this solicitation. Where guidance in this attachments differs from the SAM.gov website, SAM.gov prevails and the applicant is encouraged to seek and document clarity provided by the SAM.gov helpdesk.

D.3.1 Exemptions

An exemption from these requirements may be permitted under the following circumstances:

· Recipient is a foreign organization receiving an award that will be performed outside the United States valued at less than $25,000, if the Grants Officer deems it to be impractical for the entity to obtain a UEI or register in SAM.gov.

· The recipient is an overseas school and does not currently have a UEI number.

· The award relates to a classified or national security matter.

· The recipient’s identity must be protected due to possible endangerment of their mission, their organization’s status, their employees, or the beneficiary being served by the recipient.

· There are exigent circumstances that prohibit the recipient from receiving a UEI and completing SAM registration prior to receiving the award. These circumstances are identified in the justification below and the recipient will be required to register within 30 days of the award date in accordance with 2 CFR 25.

Organizations requesting exemption from UEI or SAM.gov requirements must email the point of contact listed in the NOFO at least two weeks prior to the deadline in the NOFO providing a justification of their request. Approval for a SAM.gov exemption must come from the warranted Grants Officer before the application can be deemed eligible for review.

D.4. Submission Dates and Times

Applications are due no later than 11:59 PM Eastern Daylight Time (EDT), on July 30, 2023 on https://www.grants.gov/ or SAMS Domestic (https://mygrants.servicenowservices.com) under the announcement title “Track 1.5 Dialogue on Global Water Security” funding opportunity number “SFOP0009864.”

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

D5. Funding Restrictions

OES will not consider applications that reflect any type of support for any member, affiliate, or representative of a designated terrorist organization. Please refer the link for Foreign Terrorist Organizations: https://www.state.gov/foreign-terrorist-organizations/

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

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

D6. Other Submission Requirements

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

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

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

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

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

SAMS Domestic Applications:

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

Please note that establishing an account in SAMS Domestic may require the use of smartphone for multi-factor authentication (MFA). If an applicant does not have accessibility to a smartphone during the time of creating an account, please contact the helpdesk and request instructions on MFA for Windows PC.

Organizations must remember to save a screen shot of the checklist showing all documents submitted in case any document fails to upload successfully.

SAMS Domestic Help Desk:

For assistance with SAMS Domestic accounts and technical issues related to the system, please contact the ILMS help desk by phone at +1 (888) 313-4567 (toll charges apply for international callers) or through the Self Service online portal that can be accessed from https://afsitsm.service-now.com/ilms/home. Customer support is available 24/7.

Grants.gov Applications:

Applicants who do not submit applications via SAMS Domestic may submit via www.grants.gov.

Please be advised that completing all the necessary registration steps for obtaining a username and password from Grants.gov can take ten (10) business days or longer.

Please refer to the Grants.gov website for definitions of various "application statuses" and the difference between a submission receipt and a submission validation. Applicants will receive a validation e-mail from Grants.gov upon the successful submission of an application. Validation of an electronic submission via Grants.gov can take up to two business days. Additionally, organizations must remember to save a screenshot of the checklist showing all documents submitted in case any document fails to upload successfully.

Grants.gov Helpdesk:

For assistance with Grants.gov, please call the Contact Center at +1 (800) 518-4726 or email support@grants.gov. The Contact Center is available 24 hours a day, seven days a week, except federal holidays.

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

E. Application Review Information

E1. Proposal Review Criteria

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

Quality and Program Design – 20 points: The program idea is well developed and responsive to the policy and program objective of the NOFO. The applicant describes the project’s potential contribution to solving the problem addressed in the problem statement. The application clearly defines the problem; it’s causes; stakeholders; and existing research/data; the approach taken to solve the problem; realistic milestones to indicate progress.

Organizational Capacity – 20 points: The applicant demonstrates an institutional record of successful projects in the content area proposed. The applicant demonstrates experience (e.g., has previously worked and/or has established contacts/partners) in the proposed country/territory/region. The organization has expertise in its stated field and has adequate staffing to manage the proposed project. Expertise and capacity in:

· Dialogue and negotiation process facilitation

· Environmental and water governance

· Conflict mitigation and mediation

· Decision sciences and climate resilience

· Science-based decision-support

· Water policy and policy communication

· Political economy analysis

· International development, and stakeholder engagement, particularly among development partners at the national and local levels.

Program Planning/Ability to Achieve Objectives – 20 points: Goals and objectives are clearly stated, and project approach is likely to provide maximum impact in achieving the proposed results. The applicant proposes activities that are feasible, and are also practical, and/or experiential in nature to encourage innovation. The applicant addresses how the project will engage or obtain support from relevant stakeholders and/or identifies local partners. Program logic is sound showing plausible pathways to achieve project outcomes. Key assumptions and risks have been identified and their potential influences described. The applicant acknowledges if activities similar to those proposed are already taking or have taken place previously, and provides an explanation as to how proposed new activities will not duplicate or merely add to existing/recent activities.

Budget & Budget Narrative – 10 points: The budget justification is detailed, accounting for all necessary expenses to achieve proposed activities. Costs are reasonable in relation to the proposed activities and anticipated results and provide detail of calculations, including estimation methods, quantities, unit costs, labor in-put and responsibilities, procurement practice and policy information, and other similar quantitative detail Monitoring & Evaluation/Sustainability – 20 points: Applicant demonstrates it is able to measure program success against key indicators and provides milestones to indicate progress toward goals outlined in the proposal. The program includes output and outcome indicators and shows how and when those will be measured and who will be responsible for them. The applicant clearly details how activities will result in benefits that will continue beyond the funding period.

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

E2. Review and Selection Process

The Department of State is committed to ensuring a competitive and standardized process for awarding funding. Applications will be screened initially in a Technical Eligibility Review stage to determine whether applicants meet the eligibility requirements outlined in section C and have submitted all required documents outlined in section D. Applications that do not meet these requirements will not advance beyond the Technical Eligibility Review stage and will be deemed ineligible for funding under this NOFO.

All applications that are deemed eligible will proceed to the Merit Review Panel consisting of U.S. government subject matter and/or country-specific experts and will be rated on a 100-point scale. OES reserves the right to request the assistance of non-US government Subject Matter Experts (SMEs), if appropriate to the solicitation. Point values for individual elements of the application are presented in E.1, of this part. Panel Reviewers’ ratings, and any resulting recommendations, are advisory. Panel Reviewers may provide conditions and recommendations on applications to enhance the proposed project, which must be addressed by the applicant before further consideration of the award.

Final selection authority reside with OES’s senior level official. Final award decisions will be influenced by whether the application meets the Department of State’s programmatic goals and objectives, how it supports the Department’s overarching foreign policy priorities, and the geographic distribution of the top-ranking applications.

E.3 Responsibility/Qualification Information in SAM.gov (Formerly, FAPIIS)

The Department of State, prior to making a federal award with a total amount of federal share greater than the simplified acquisition threshold, is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (formerly FAPIIS) (see 41 U.S.C. 2313).

The applicant, at its option, may review information about itself that a Federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM.