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05/08/2023 03:39 PM EDT
Bureau of Democracy, Human Rights, and Labor
United States Department of StateBureau of Democracy, Human Rights and Labor (DRL)Notice of Funding Opportunity (NOFO):DRL Enabling Workers’ Rights through a Just Transition
Catalog of Federal Domestic Assistance Number: 19.345
Type of Solicitation: Open Competition
Application Deadline: 11:59 PM EST on Thursday, June 22, 2023
Total Funding Floor: 1. Southeast Asia Program: $750,000 2. South Asia Program: $1,000,000
Total Funding Ceiling: 1. Southeast Asia Program: $750,000 2. South Asia Program: $1,000,000
Anticipated Number of Awards: 2
Type of Award: Grant
Period of Performance: 18-36 months
Anticipated Time to Award, Pending Availability of Funds: 4 months
A. Project Description
The U.S. Department of State, Bureau of Democracy, Human Rights, and Labor (DRL) announces two open competitions for organizations interested in promoting a just transition for workers as economies shift toward clean energy and sustainable production. Two projects will be awarded – one for Southeast Asia and one for South Asia.
Applicants may apply to one or both opportunities. If applying to both opportunities, applicants should submit two separate applications.
As countries develop new technologies in transitioning to more environmentally sustainable, low-carbon economies, workers are both omitted from decent work opportunities created by these new technologies and workers’ rights are often marginalized, particularly the rights of the most vulnerable—migrant workers, agricultural workers, ethnic minorities and women workers. Concurrently, workers are also suffering from effects of climate change in both urban and rural areas. Workers in urban areas face occupational health and safety issues as a result of pollution exacerbated by climate change, while workers in rural areas face loss of agricultural land yielding cash crops and subsistence due to climate change effects.
I. Supporting Freedom of Expression in Just Transition for Workers in Southeast Asia. Total funding floor and ceiling: $750,000
Urban areas in Southeast Asia have developed at a rapid pace, especially where foreign investment has ushered in major infrastructure projects resulting in rising occupational health and safety effects tied to climate factors, such as respiratory health issues in workers from aggravated pollution, heat stress, and kidney disease. Workers on these projects often take low skilled positions, yet desire to learn new skills to succeed in this new environment. Workers are a critical piece of the transition to sustainable production, and should be central to dialogue, strategy, and action around the issue, to ensure a transition that respects internationally recognized labor standards. The voices and rights of workers, those most impacted in the world’s current carbon-based supply chains, must be included in defining a transition away from polluting industries and finding avenues for workers’ justice and redress in climate transition.
DRL requests proposals for a $750,000 project to support freedom of expression and association for the most vulnerable workers heavily impacted by climate change in Southeast Asia, particularly women. Programs may include up to two countries in Southeast Asia, with the exclusion of Vietnam. Programs should aim to achieve the following objectives:
– Networks of workers and climate advocates conduct unified messaging and advocacy on effects of climate change on the work and livelihoods of workers, and the necessary social protections and skills transfer required to transition to clean energy work opportunities, and
– Workers exercise freedom of association to collectively promote worker rights and protections, such as insurance and social security, in climate affected industries and new tech sectors, to promote a just transition to sustainable economies.
Proposed projects should be designed to achieve the following outcomes:
– Networks of workers and climate advocates, human rights defenders, justice defenders, occupational safety and health advocates, land defenders, and other allies build consensus and develop advocacy strategies around workers’ rights in just transition.
– Collective advocacy by workers and other stakeholders influence the development of national policies related to climate change and the development of clean energy industries.
– Rights to freedom of association for workers are strengthened in order to achieve a more just transition to low-carbon economies.
– Workers receive social protections and skills transfer in climate sustainable and green technology-centered jobs.
II. Supporting a Just Transition for Workers in South Asia. Total funding floor and ceiling: $1,000,000
In South Asia, DRL seeks to ensure a just transition for workers. The geographical location of the region makes it particularly vulnerable to climate change and natural disasters, taking the form of intense heatwaves and flooding from sea level rise, more intense monsoons, poor water management, and transboundary water issues. This has prompted attention from the governments of Bangladesh and Nepal, where there have been statements of interest in addressing the link between labor rights and climate change, and training workers for sustainable production. Workers need to be trained in acquiring new skills to match green and climate-friendly job opportunities in both urban and rural sectors—particularly garment, agriculture, hydropower, and solar energy—so they can benefit and not be left behind in the transition to more sustainable economies. Civil society organizations are needed to consult with workers in industries particularly susceptible to climate change, to define and organize their priority issues, and build action plans of support, including engaging in skills training for climate adaptation to clean energy sector jobs as well as social protections to mitigate adverse impacts in work conditions exacerbated by climate change. Notably, freedom of association around these issues are especially limited for workers in Bangladesh’s informal sectors, particularly women, in law and practice.
DRL requests proposals for a $1,000,000 project to ensure the rights of workers in communities most affected by climate change in South Asia, particularly women, are included in the transition to clean energy employment in transitioning economies. Programs should include Nepal and/or Bangladesh, may also consider Sri Lanka, and exclude Pakistan, Afghanistan and India. Programs may target one to three countries.
Programs should aim to achieve the following objectives:
– Networks of workers and climate advocates conduct unified messaging and advocacy on the effects of climate change on their work and livelihoods;
– Workers learn and use new skills to apply for and enter jobs in climate sustainable and green tech sectors, both urban and rural, and
– Workers, particularly women, migrant and informal sector workers, organize and advocate for labor rights in new green tech and climate sustainable jobs and social protections such as insurance and social security through the transition to sustainable economies.
Proposed projects should be designed to achieve the following outcomes:
– Networks of workers and climate advocates build consensus and develop awareness-raising strategies around workers’ rights in just transition so that environmental and labor activists understand the nexus of their issues and how to align for greater impact.
– Workers have the skills to match emerging job opportunities in green technology sectors, particularly garment, agriculture, hydropower and solar energy, and are better qualified to access employment in these jobs.
– Workers, particularly women, migrant and informal sector workers, organize around their rights in new green tech and climate sustainable jobs, and these marginalized groups are represented in these new jobs and supported in their inclusion.
Competitive programs for both solicitations will focus on high priority sectors, including but not limited to agriculture, construction, fishing, mining, livestock, and the informal sector. Competitive programs will be implemented by, or partner with, local civil society organizations and support locally led efforts. Proposals should clearly outline the roles and responsibilities of partners and include letters of commitment from proposed groups. Applicants should consider all stakeholders when designing the program approach.
All programs should aim to have impact that leads to reforms and have the potential for sustainability beyond DRL resources. DRL’s preference is to avoid duplicating past efforts by supporting new and creative approaches. This does not exclude from consideration projects that improve upon or expand existing successful projects in a new and complementary way.
DRL is committed to advancing equity and support for underserved and underrepresented communities. In accordance with the Executive Order on Advancing Racial Equity and Underserved Communities, programs should implement strategies for integration and inclusion of individuals/organizations/beneficiaries that can bring perspectives based on their religion, sex, disability, race, ethnicity, sexual orientation, gender identity, gender expression, sex characteristics, national origin, age, genetic information, marital status, parental status, pregnancy, political affiliation, or veteran’s status. Programs should be demand-driven and locally led to the extent possible.
DRL requires all programs to be non-discriminatory and expects implementers to include strategies for nondiscrimination of individuals/organizations/beneficiaries based on race, color, religion, sex, gender identity, gender expression, sex characteristics, sexual orientation, pregnancy, national origin, disability, age, genetic information, marital status, parental status, political affiliation, or veteran’s status.
Where appropriate, competitive proposals may include:
– Opportunities for beneficiaries to apply their new knowledge and skills in practical efforts;
– Solicitation of feedback and suggestions from beneficiaries when developing activities in order to strengthen the sustainability of programs and participant ownership of project outcomes;
– Input from participants on sustainability plans and systematic review of the plans throughout the life of the project, with adjustments made as necessary;
– Inclusion of vulnerable populations;
– Joint identification and definition of key concepts with relevant stakeholders and stakeholder input into project activities;
– Systematic follow up with beneficiaries at specific intervals after the completion of activities to track how beneficiaries are retaining new knowledge as well as applying their new skills.
Activities that are not typically allowed include, but are not limited to:
– The provision of humanitarian assistance;
– English language instruction;
– Development of high-tech computer or communications software and/or hardware;
– Purely academic exchanges or fellowships;
– External exchanges or fellowships lasting longer than six months;
– Off-shore activities that are not clearly linked to in-country initiatives and impact or are not necessary per security concerns;
– Theoretical explorations of human rights or democracy issues, including projects aimed primarily at research and evaluation that do not incorporate training or capacity-building for local civil society;
– Micro-loans or similar small business development initiatives;
– Initiatives directed towards a diaspora community rather than current residents of targeted countries.
This notice is subject to availability of funding.
B. Federal Award Information
Primary organizations can submit 2 applications, only 1 per region/program, in response to the NOFO. If an applicant chooses to submit multiple applications to this NOFO, it is the responsibility of the applicant to demonstrate the competitiveness and uniqueness of each application.
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.
DRL anticipates awarding either a grant or 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, DRL will undertake reasonable and programmatically necessary substantial involvement. Examples of substantial involvement can include, but are not limited to:
– Active participation or collaboration with the recipient in the implementation of the award;
– Review and approval of one stage of work before another can begin;
– Review and approval of substantive provisions of proposed sub-awards or contracts beyond existing Federal policy;
– Approval of the recipient’s budget or plan of work prior to the award.
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, DRL 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.
C. Eligibility Information
For application information, please see the proposal submission instructions (PSI), updated December 2022 on our website.
C.1 Eligible Applicants
DRL welcomes applications from U.S.-based and foreign-based non-profit organizations/nongovernmental organizations (NGO) and public international organizations; private, public, or state institutions of higher education; and for-profit organizations or businesses. DRL’s preference is to work with non-profit entities; however, there may be some occasions when a for-profit entity is best suited.
Applications submitted by for-profit entities may be subject to additional review following the panel selection process. Additionally, the Department of State prohibits profit to for-profit or commercial organizations under its assistance awards. Profit is defined as any amount in excess of allowable direct and indirect costs. The allowability of costs incurred by commercial organizations is determined in accordance with the provisions of the Federal Acquisition Regulation (FAR) at 48 CFR 30, Cost Accounting Standards Administration, and 48 CFR 31 Contract Cost Principles and Procedures.
Please see 2 CFR 200.307 for regulations regarding program income.
C.2 Cost Sharing or Matching
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.
C.3 Other
Applicants should have existing, or the capacity to develop, active partnerships with thematic or in-country partners, entities, and relevant stakeholders, including private sector partners and NGOs, and have demonstrable experience in administering successful and preferably similar projects. DRL encourages applications from foreign-based NGOs headquartered in the geographic regions/countries relevant to this NOFO. Applicants may form consortia in order to bring together organizations with varied expertise to propose a comprehensive program in one proposal. However, one organization should be designated in the proposal as the lead applicant, with the other members designated as sub-award partners. DRL reserves the right to request additional background information on applicants that do not have previous experience administering federal grant awards, and these applicants may be subject to limited funding on a pilot basis.
DRL is committed to an anti-discrimination policy in all of its programs and activities. DRL welcomes applications irrespective of race, ethnicity, color, creed, national origin, gender, sexual orientation, gender identity, disability, or other status. DRL seeks applications that demonstrate that the recipient does not discriminate against any beneficiaries in implementation of a potential award, such as, but not limited to, by withholding, adversely impacting, or denying equitable access to the benefits provided through this award on the basis of any factor not expressly stated in the award. This includes, for example, race, color, religion, sex (including gender identity, gender expression, sex characteristics, sexual orientation, and pregnancy), national origin, disability, age, genetic information, marital status, parental status, political affiliation, or veteran’s status. The recipient should insert this provision, including this paragraph, in all sub-grants and contracts under a potential award.
D. Application and Submission Information
D.1 Address to Request Application Package
D.2 Content and Form of Application Submission
For all application documents, please ensure:
– All documents are in English and all costs are in U.S. Dollars. 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 document is provided in both English and a foreign language, the English language version is the controlling version;
– 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 Times New Roman 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 one page width.
D.2.1 Application Requirements
Complete applications must include the following:
– Completed and signed SF-424, SF-424A, and SF-424B forms. Please see SF-424 instructions in Section 2B of the PSI.
– 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). Please see SF-LLL guidance in Section 2B of the PSI.
– Cover Page (not to exceed one (1) page, preferably as a Word Document) that includes a table with the organization name, project title, target country/countries, project synopsis, and name and contact information for the application’s main point of contact. Please see Cover Page Section 2C of the PSI for a template and more details.
– Executive Summary (not to exceed one (1) page, preferably as a Word Document) that outlines project goals, objectives, activities, etc.
– The Executive Summary should include a brief section that explicitly states: (1) the problem statement addressed by the project, (2) research-based evidence justifying the unique project approach, and (3) quantifiable project outcomes and impacts.
– Table of Contents (not to exceed one (1) page, preferably as a Word Document) listing all documents and attachments with page numbers.
– Proposal Narrative (not to exceed ten (10) pages, preferably as a Word Document). Please note the ten-page limit does not include the Cover Page, Executive Summary, Table of Contents, Attachments, Detailed Budget, Budget Narrative, Audit, or NICRA. 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). Please see Proposal Narrative Guidelines in Section 2F of the PSI for more details.
– The Proposal Narrative should demonstrate the applicant’s commitment to ensuring the participation of all people as a strategy for implementation. Please integrate inclusion strategies in all sections of the Proposal Narrative to enhance programmatic impact.
– Budget (preferably as an Excel workbook) that includes three (3) columns containing the request to DRL, 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 Budget Guidelines Section 2G of the PSI for more information.
– The programming approach should be dedicated to strengthening inclusive societies as a necessary pillar of strong democracies. Please include costs associated with this commitment in the Budget and Budget Narrative.
– Budget Narrative (preferably as a Word Document) that includes substantive explanations and justifications for each line item in the detailed budget spreadsheet, as well as the source and a description of all cost-share offered. Please see Budget Guidelines Section 2G of the PSI for more information.
– The organization’s most recent audit, if applicable. This should be a single audit, program-specific audit, or other audit in accordance with Generally Accepted Government Auditing Standards (GAGAS). Please see Audit Section 2H of the PSI for more information.
– Logic Model (preferably as a Word Document). Please see Logic Model Section 2I of the PSI for more information.
– Monitoring and Evaluation Narrative (not to exceed four (4) pages, preferably as a Word Document). Please see Monitoring and Evaluation Narrative Section 2J of the PSI for more information.
– As stated within the DRL Guide to Program Monitoring and Evaluation (p. 6): DRL strongly encourages applicants to consider whether their monitoring and evaluation systems are utilizing human rights-based approaches, applying a gender and equity lens, and/or include the participation of sub-grantees and project participants. Within the Monitoring and Evaluation Narrative, applicants should demonstrate their commitment to inclusive strategies and consider whether evaluation design, data collection, analysis, reporting and learning are conducted in an ethical and responsible way with all project participants (e.g. direct beneficiaries, sub-grantees). Applicants should still make adequate provisions to protect the privacy of human subjects when collecting data from individuals. For instance, when collecting data from project participants, consider whether your organization will have the necessary informed consent forms, confidentiality agreements, and data security protocols. Applicants should be aware that, should an application move forward for funding consideration, DRL will request a detailed Monitoring and Evaluation Plan for further review and approval.
– Risk Analysis (preferably as a Word Document). Please see Risk Analysis Section 2K of the PSI for more information on this requirement, including Do No Harm principles and Preventing Sexual Exploitation and Abuse (PSEA) policies/plans.
– Key Personnel (not to exceed two (2) pages, preferably as a Word Document). Please include short bios that highlight relevant professional experience. Given the limited space, CVs are not recommended for submission.
– 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.
– Gender and Inclusion Analysis (not to exceed three (3) pages, preferably as a Word Document) that provides a concise analysis of relevant gender norms, equity and equality for underserved communities and marginalized populations, power relations, and conflict dynamics in target countries. Potential domains of analysis include institutional practices and barriers, cultural norms, gender roles, access to and control over assets and resources, and patterns of power and decision-making. Applicants should briefly explain how they have integrated findings from their analysis into project design and/or other proposal documents, including a plan for regularly reviewing and updating the gender and inclusion analysis with local partners/beneficiaries, and making any necessary adjustments to project implementation. A set of guiding questions can be found in Section 2L of the PSI.
– Security Plan addressing any issues involving in-person events and recruitment for said events, and safety for any online programs or communications, including independent IT security audits (to include a vulnerability assessment) of any proposed web application or platform. Organization’s Security Plan should demonstrate consideration of the risks identified in the submitted risk assessment. Costs may also be identified within the budget and budget narrative. Applicants are also encouraged to include contingency plans for in-person or online activities.
– Contingency Plan for proposed activities should the originally planned activities not be able to be implemented. The Contingency Plan should be submitted as an additional annex. Applicants should demonstrate consideration of the risks identified in the submitted risk assessment and include specific alternative activities or locations as part of the Contingency Plan. Any proposed “plan” must comply with 2CFR200.433 – Contingency provisions. Plans must not include unallocable or unallowable expenses and must not result in a larger Total Award Value than the identified as the “competition ceiling.” DRL requires prior approval by the Grants Officer of the “plan” before any activities can take place, or costs can be incurred against the “plan.”
– Lessons Learned (not to exceed one (1) page, preferably as a Word Document) from past programs promoting just transition for workers, particularly in Southeast Asia and South Asia, that demonstrate how the implementer has safely operated and responded to programmatic challenges, learning from both successes and failures, in the operating environment. To be incorporated into the ten (10) pages allowed for “Proposal Narrative.”
Applications that do not include the elements listed above will be deemed technically ineligible.
D.2.2 Additional Application Documents
Strong applications will also contain the following:
– Individual Letters of Support and/or Memorandum of Understanding. Letters of support and MOUs must be specific to the project implementation (e.g. from proposed partners or sub-award recipients) and will not count towards the page limit.
DRL reserves the right to request additional documents not included in this NOFO. Additionally, to ensure that all applications receive a balanced evaluation, the DRL review panel will review from the first page of each section up to the page limit and no further.
Note: If ultimately provided with a notification of non-binding intent to make a federal award, applicants typically have two to three weeks to provide additional information and documents requested in the notification of intent. The deadlines may vary in each notification of intent and applicants must adhere to the stated deadline in the notification of intent.
D.2.3 Additional Information Requested For Those Receiving Notification of Intent
Successful applicants must submit, after notification of intent to make a federal award, but prior to issuance of a federal award:
– Written responses and revised application documents addressing conditions and recommendations from the DRL review panel;
– A copy of the applicant’s latest NICRA as a PDF file, if the applicant has a NICRA and includes NICRA charges in the budget;
– A completed copy of the Department’s Financial Management Survey, if receiving DRL funding for the first time;
– Submission of required documents to register in the Payment Management System managed by the Department of Health and Human Services, if receiving DRL funding for the first time (unless an exemption is provided);
– Other requested information or documents included in the notification of intent to make a federal award or subsequent communications prior to issuance of a federal award;
– Applicants who submit their applications through Grants.gov will be required to create a SAMS Domestic account in order to accept the final award. Accounts must be logged into to every 60 days in order to maintain an active account.
D.3 Unique Entity Identifier and System for Award Management (SAM)
All prime organizations, whether based in the United States or in another country, must have a Unique Entity Identifier (UEI) and an active registration with the SAM.gov before submitting an application. DRL 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.
Note: As of April 2022, a DUNS number is no longer required for federal assistance applications.
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 or renewing 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) and a UEI number prior to registering in SAM.gov. Please note that as of February 2023, organizations based in the United States that do not intend to apply for U.S. Department of Defense (DoD) awards are no longer required to have a Commercial and Government Entity (CAGE) code to apply for non-DoD foreign assistance funding opportunities.
– Organizations based outside of the United States and that 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 December 2022, 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) code to apply for non-DoD foreign assistance funding opportunities.
Organizations based outside of the United States and that DO NOT plan to do business with the DoD should follow the below instructions:
Step 1: Proceed to SAM.gov to obtain a UEI and complete the SAM.gov registration process. SAM.gov registration must be renewed annually.
Organizations based outside of the United States and that DO plan to do business with the DoD should follow the below instructions:
Step 1: Apply for an NCAGE code by following the instructions on the NSPA NATO website linked below:
– For NCAGE help from within the United States, call +1 (888) 227-2423.
– For NCAGE help from outside the United States, call +1 (269) 961-7766.
Step 2: After receiving an NCAGE code, proceed to SAM.gov to obtain a UEI and complete the SAM.gov registration process. SAM.gov 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.gov. 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.
Please refer to 2 CFR 25.200 for additional information.
Note: SAM.gov is not the same as SAMS Domestic. It is free of charge to register in both systems, but the registration processes are different.
Information is included on the SAM.gov website to help international registrations, including “Quick Start Guide for International Registrations” and “Helpful Hints.” Navigate to http://www.SAM.gov, click “HELP” in the top navigation bar, then click “Explore” and “New to SAM.gov?” for general information. 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 is currently being updated. Applicants should review the website for the most up-to-date guidance.
The attached “AQM Guidance for NCAGE-SAM.gov for Grant Applicants as of Dec. 2022” is a compilation of resources gathered by the Department’s Office of Acquisitions Management (AQM). 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 these attachments differs from the SAM.gov website, SAM.gov prevails and the applicant is encouraged to seek and document responses provided by the SAM.gov help desk.
D.3.1 Exemptions
An exemption from these requirements may be permitted on a case-by-case basis if:
– An applicant’s identity must be protected due to potential endangerment of their mission, their organization’s status, their employees, or individuals being served by the applicant.
– For an applicant, if the federal awarding agency makes a determination that there are exigent circumstances that prohibit the applicant from receiving a UEI and completing SAM.gov registration prior to receiving a federal award. In these instances, federal awarding agencies must require the recipient to obtain a UEI and complete SAM.gov registration within 30 days of the federal award date.
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.
Note: As of December 2022, 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) code to apply for non-DoD foreign assistance funding opportunities. As of February 2023, organizations based in the United States that do not intend to apply for U.S. DoD awards are no longer required to have a Commercial and Government Entity (CAGE) code to apply for non-DoD foreign assistance funding opportunities.
D.4 Submission Dates and Times
D.5 Funding Restrictions
Prior to issuing a federal award with a total amount of federal share greater than $250,000, the Department of State is required to review and consider any information about the applicant that is found in the designated integrity and performance system accessible through SAM.gov (41 USC §2313). An applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM.gov and comment on any information about itself that a federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM.gov. The Department of State will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants as described in 2 CFR 200.206.
Project activities whose direct beneficiaries are foreign militaries or paramilitary groups or individuals will not be considered for DRL funding given purpose limitations on funding.
In accordance with Department of State policy for terrorism, applicants are advised that successful passing of vetting to evaluate the risk that funds may benefit terrorists or their supporters is a condition of award. If chosen for an award, applicants will be asked to submit information required by DS Form 4184, Risk Analysis Information (attached to this solicitation) about their company and its principal personnel. Vetting information is also required for all sub-award performance on assistance awards identified by the Department of State as presenting a risk of terrorist financing. Vetting information may also be requested for project beneficiaries and participants. Failure to submit information when requested, or failure to pass vetting, may be grounds for rejecting your proposal prior to award.
U.S. foreign assistance for Burma or Burmese beneficiaries is subject to restrictions. This includes restrictions, pursuant to section 7043(a)(3) of the Department of State, Foreign Operations, and Related Programs Appropriations Act, 2020 (Div. G, P.L. 116-94)(SFOAA), on funds appropriated under title III of the act for assistance for Burma. Section 7043(a)(3) provides that such funds “may not be made available to any organization or entity controlled by the armed forces of Burma, or to any individual or organization that advocates violence against ethnic or religious groups or individuals in Burma, as determined by the Secretary of State.” In addition, funds cannot be made available to any individual or organization that has committed serious human rights abuse.
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 DRL 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.
D.6 Application Submission
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. DRL 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.