**[FIRST PAGE OF GRANTS.GOV WEBSITE]{.underline}**

**Section One: Request for Application (RFA) Announcement**

**CAFTA-DR Environmental Cooperation Program**

**Management of Small Grants Program for Public Participation**

+----------------------------------+----------------------------------+
| Announcement Type:               | New Cooperative Agreement        |
+==================================+==================================+
| Funding Opportunity Title:       | Management of Small Grants       |
|                                  | Program for Public Participation |
+----------------------------------+----------------------------------+
| Funding Opportunity Number:      | S-OES-08-RFA-002                 |
+----------------------------------+----------------------------------+
| Catalog of Federal Domestic      | 00.000                           |
| Assistance Number:               |                                  |
+----------------------------------+----------------------------------+
| Key Dates:                       | 1.  Applications must be         |
|                                  |     submitted 6:00 p.m. Eastern  |
|                                  |     Standard Time (EDT) Monday,  |
|                                  |     June 20^th^, 2008            |
|                                  |                                  |
|                                  | 2.  Application review and       |
|                                  |     selection on July, 2008      |
|                                  |                                  |
|                                  | 3.  Notification of project      |
|                                  |     approval and grant signing   |
|                                  |     on August, 2008              |
+----------------------------------+----------------------------------+
|                                  |                                  |
+----------------------------------+----------------------------------+

**Executive Summary:**

The Office of Environmental Policy of the Bureau of Oceans, Environment,
and Science (OES) at the Department of State (DOS) announces the
Requests for Applications for Management of the Small Grants program in
the Dominican Republic-Central American---United States Free Trade
Agreement countries (CAFTA-DR). The purpose of the Small Grants Program
is to promote public participation in environmental issues by engaging
local organizations in the CAFTA-DR countries (Costa Rica, Dominican
Republic, El Salvador, Guatemala, Honduras, and Nicaragua), such as
non-governmental organizations (NGOs), academic institutions,
professional organizations, and other civil society organizations, in
the public participation opportunities and mechanisms that the CAFTA-DR
Environment Chapter and Environmental Cooperation Agreement provide.
NGOs and International Organizations (IO) with strong regional presence
in the region may submit applications to manage the Small Grants
Program. The applicants must demonstrate the ability to manage and
coordinate all aspects of the program, including open competition
process, review and selection of the sub-grantees, monitoring,
reporting, and dissemination of the results in coordination with
CAFTA-DR government points of contact and the DOS. For the purpose of
this document, the CAFTA-DR countries or region include Costa Rica,
Dominican Republic, El Salvador, Guatemala, Honduras, and Nicaragua. One
grant will be awarded in the amount of **\$396,000** in Economic Support
and Development Assistance FY 2007 funds.

**Contact Person:** Carmen Yee-Batista

Bureau of Oceans, Environment, and Science

<yeebatistac@state.gov>

Phone: (202) 647-6777

Fax: (202) 647-5947

This solicitation package consists of three sections: 1) RFA
Announcement, 2) Program Description including a list of ongoing
projects funded in FY 2006 included as Attachment A, and 3) Proposal
Submissions Instructions (PSI). Please carefully read the entire
solicitation package if you plan to submit an application; there are
steps that you should take immediately in order to make your submissions
in grants.gov by the deadline.

**[Section Two: Program Description]{.underline}**

I.  **CAFTA-DR Environmental Cooperation Agreement Funding Opportunity**

Funding Authority for this program rests in sections 534(d) of the
Foreign Assistance Act of 1961, as amended, and section 515 of the
Foreign Operations Export Financing, and Related Programs Appropriations
Act, 2006 (P.L. 109 - 102) as carried forward under the Revised
Continuing Appropriations Resolution, 2007 (P.L. 110- 5).

The following sections provide a background of the CAFTA-DR
Environmental Cooperation Program, a description of the Small Grants
Program, a statement of need for the RFA, and information on performance
indicators, budget and timetable.

A.  **Background**

On February 18, 2005, the Governments of Costa Rica, the Dominican
Republic, El Salvador, Guatemala, Honduras, Nicaragua, and the United
States (hereinafter CAFTA-DR Parties) signed an Environmental
Cooperation Agreement (ECA). In the ECA, the CAFTA-DR Parties agreed to
cooperate to protect, improve and conserve the environment, including
natural resources. They agreed that the objective of the ECA was to
establish a framework for such cooperation among the Parties.

On July 17, 2006, the CAFTA-DR Parties agreed on a two-year work plan
for implementing the ECA. The Work Plan identifies three priority areas
for early action:

-   strengthening each Party's environmental management systems,
    including reinforcing institutional and legal frameworks for
    developing, implementing, administering, and enforcing environmental
    laws, regulations, standards, and policies, including those that
    implement Multilateral Environmental Agreements to which all
    CAFTA-DR Parties are a party;

-   development and promotion of incentives and other voluntary and
    flexible mechanisms in order to encourage environmental protection,
    including the development of market-based initiatives and economic
    incentives for environmental management; and

-   facilitating technology development and transfer and training to
    promote the use, proper operation, and maintenance of cleaner
    production technologies.

The Work Plan identifies numerous activities and sub-activities to be
carried out under each priority area, subject to availability of
resources.

To date, the United States has committed over \$38 million to fund
cooperative activities under the ECA Work Plan. The United States
expects to commit a significant amount of additional funding toward
cooperative activities in fiscal years 2008 through 2009.

As implementation of cooperative activities under the Work Plan
continues, the CAFTA-DR Parties recognize the importance of: (1)
identifying certain overarching goals for that cooperation; and (2)
structuring work plan activities within high priority thematic areas.

Goals

The CAFTA-DR Parties recognize that through environmental cooperation
they are striving to achieve the following long-term goals:

-   compliance with CAFTA-DR Environment Chapter obligations: (1) to
    ensure that their environmental laws and policies provide for and
    encourage high levels of environmental protection; (2) to
    effectively enforce their environmental laws; and (3) to ensure that
    judicial, quasi-judicial, or administrative proceedings are
    available to sanction or remedy violations of environmental laws;

-   improved protection and conservation of the environment, including
    natural resources;

-   transparency and public participation in environmental
    decision-making;

-   a culture of environmental protection and compliance with
    environmental laws through, among other things, the promotion of
    economic opportunities, voluntary measures to enhance environmental
    performance, and job creation; and

-   regional harmonization and integration of environmental laws and
    policies to facilitate improved environmental protection and parity
    across the region.

**Themes**

To facilitate Work Plan implementation and achievement of these goals,
the CAFTA-DR Parties have decided to structure Work Plan activities
under the following themes (referred as CAFTA-DR Environmental
Cooperation Program). These themes describe the broad areas in which
cooperative activities fall; they do not supplant the Work Plan priority
areas.

-   Theme A. Institutional Strengthening for Effective Implementation
    and Enforcement of Environmental Laws;

-   Theme B. Biodiversity and Conservation;

-   Theme C. Market-based Conservation;

-   Theme D. Improved Private-Sector Environmental Performance; and

-   Theme E. Implementation of Specific Obligations under CAFTA-DR.

**Public Participation under the CAFTA-DR Environmental Cooperation
Program**

The CAFTA-DR Parties recognize that a civil society that is actively
engaged in environmental decision-making and helping to enforce
environmental laws is crucial to ensuring the sustainability of our
cooperative environmental work, ensuring that governments are
effectively enforcing their environmental laws, and creating a general
culture of environmental protection and sustainable development.
Therefore, the CAFTA-DR Environment Chapter, the ECA and Work Plan
provide a variety of mechanisms and requirements to encourage input from
the public in decision-making, consider submissions from the public on
failures to enforce environmental legislation, and define expectations
for transparency and accountability in domestic environmental
governance. The text of CAFTA-DR Environmental Chapter and its ECA can
be found at <http://www.state.gov/g/oes/env/trade/>. **Figure 1**
provides a summary of the mechanisms and opportunities for public
participation in the Chapter, ECA, and Work Plan.

![](media/image1.wmf)

The CAFTA-DR Environmental Cooperation Program includes public
participation cooperative activities in Theme A - Institutional
Strengthening for Effective Implementation and Enforcement of
Environmental Laws, to achieve objectives set out in the Environment
Chapter. The activities are aimed at providing 1) easy access to
reliable environmental information in engaging society, 2) creating
forums and other institutionalized processes for public involvement, and
3) educating the public about opportunities and methods for engaging in
environmental decision-making.

Public participation activities are also included under Theme E -
Implementation of Specific Obligations under CAFTA-DR, as it relates to
strengthening the capacity of the Secretariat for Environmental Matters
(SEM) to accept and process public submissions on environmental
enforcement issues. A core obligation of the CAFTA-DR Environment
Chapter (Articles 17.7 and 17.8) is the establishment of an independent
secretariat to accept submissions, from a "person of a party," asserting
that a Party is failing to effectively enforce one or more of its
environmental laws. On February 18, 2005 the CAFTA-DR Parties agreed to
establish the SEM to be housed within the Secretariat for Economic
Integration of Central America (SIECA) in Guatemala City, Guatemala. The
Secretariat performs the functions with respect to submissions on
enforcement matters (submissions) and factual records set out in
Articles 17.7 and 17.8 of the CAFTA-DR. In addition, the Secretariat
plays an important role in promoting public awareness of its functions
and how CAFTA-DR has expanded citizen participation and access
opportunities on environmental decision-making. This role complements
the results indicated above in regards to direct engagement with NGOs
and efforts to strengthen the governments' capacity to conduct outreach
and educate the public on opportunities for public involvement in
environmental decision-making and enforcement.

**Previous Work with local NGOs and Civil Society**

The Department of State through its Regional Environmental Hub in Costa
Rica, with Fiscal Year 2006 funds, launched a small grants program in
August 2007 to engage local organizations with the mechanisms and
opportunities for public participation. The Department of State awarded
six small grants to different local organizations in the CAFTA-DR
countries to (1) educate the public about opportunities in the CAFTA-DR
Environment Chapter and ECA for public participation; (2) obtain
informed, productive public participation in environmental
decision-making in CAFTA-DR countries; and (3) promote compliance with
environment laws. The name of the local organizations that received
funds in 2007 and their project descriptions are included in
**Attachment A.**

The Department of State with FY 2007 Economic Support and Development
Assistance funds under the CAFTA-DR environment set aside **US\$
396,000** to continue the Small Grants Program building on recent
experience in the region. The Department of State through an open
competition is seeking an applicant organization with a strong presence
in the region to manage and coordinate all aspects of the Small Grants
Program, including announcement, review and selection process,
oversight, grant administration, and dissemination of results in
coordination with CAFTA-DR Points of Contact.

**B. Small Grants Program Description**

**Purpose**

To engage civil society in the CAFTA-DR countries with the mechanisms
and opportunities for public participation contained in the CAFTA-DR
Environment Chapter and Cooperation Agreement, as well as in the
countries own mechanisms through small grants directed at local
organizations.

**Eligibility**

Local organizations refer to community groups, non-governmental
organizations, indigenous peoples\' organizations, charitable
organizations, academic institutions, professional associations and
foundations which are legal entities in Costa Rica, Dominican Republic,
El Salvador, Guatemala, Honduras or Nicaragua.

**Expected Results**

The following results are expected to achieve the purpose of the Small
Grants Program:

-   strengthen the capacities of local organizations (small grantees) in
    the CAFTA-DR countries to conduct public outreach on opportunities
    for public participation in environmental issues and promote
    compliance with environmental laws;

-   increase public awareness and understanding of CAFTA-DR
    Environmental Chapter and ECA and the avenues they provide for
    public participation, including through submissions to the
    Secretariat on environmental matters;

-   increase effective participation of civil society and local NGOs
    (including indigenous communities) in CAFTA-DR countries in
    environmental decision-making at the national and local government
    levels;

-   encourage partnerships between civil society and government to
    develop strategies for getting tools and standards into the hand of
    the broader public; and

-   educate approximately 700 people in the region about opportunities
    for civil society involvement in environmental decision-making and
    enforcement.

**Project activities**

Project activities will address, among other things, methods for
encouraging public participation during Environmental Affairs Council
meetings; workshops on preparing submissions to the Secretariat for
Environmental Matters; and innovative means of participating in, or
engaging with, national consultative or advisory committees. Other
activities may include developing written materials to explain the
CAFTA-DR public participation mechanisms to the general public,
including, for example, a step-by-step guide for shepherding
environmental complaints or information to the appropriate national
authorities or CAFTA-DR institutions; promoting public involvement in
government (environment and trade) decision-making; or providing
technical assistance to citizens in preparing submissions of information
or complaints to national authorities or CAFTA-DR institutions.

**C. RFA Statement of Need**

This RFA is for a NGO or international organization with a strong
regional profile to manage the Small Grants Program described in Section
B. The applicant must demonstrate the ability to manage all aspects of
the Small Grants Program---announcement, open competition process,
review and selection process, monitoring, and dissemination of the
results. The recipient will carry the following activities:

-   Develop an Assistance Grant award plan and Grant Administration
    manual for approval by the DOS grant representative.

-   Develop an open competition in the six CAFTA-DR countries in
    coordination with the CAFTA-DR points of contact and the DOS.

-   Announce a request for application through the proper media channels
    to access different sectors and areas of the population in the six
    CAFTA-DR countries. Proper communication outlets for rural
    communities should be included.

-   Conduct a review and selection process, which include the
    organization of a selection committee, in coordination with the
    CAFTA-DR points of contact and the DOS. The selection committee may
    include US government representatives from interested agencies and
    CAFTA-DR points of contact. The final selection of the grant
    applications should be confirmed by the DOS.

-   Award at least one small grant to a local organization in each
    CAFTA-DR country, before July 2009. The grant manager will work
    closely with DOS to develop the grant criteria and process to select
    recipients.

-   Administer the Small Grants Program in accordance with the practices
    established under the Department of State federal assistance
    programs. Information about grant management can be found in the
    link: <http://fa.statebuy.state.gov/>

-   Oversee implementation of the small grants by conducting site visits
    (at least one per project) and frequent communications with
    grantees.

-   Submit progress and financial reports to the Department of State
    every quarter as described in Section IV.

-   Coordinate with the Secretariat of Environmental Matters and
    CAFTA-DR points of contact other public participation outreach
    activities to find synergies between their efforts and the ones
    conducted by the Small Grants Program.

-   Review written materials (e.g. brochures, presentations, web sites,
    and others) to ensure that the information is accurate and follow
    the spirit of the various public participation mechanisms.

-   Disseminate success stories and lessons learned resulted from the
    implementation of the Small Grants Program in coordination with the
    DOS.

The Department of State will award one Cooperative Agreement for the
management of the Small Grants Program. Should an applicant organization
wish to work with other organizations in the implementation of this
program, the DOS requests that a sub-grant agreement be developed.

In a cooperative agreement, the Office of Environmental Policy (ENV) in
the Bureau of Oceans, Environment and Science at the Department of State
is substantially involved in program activities. The following
activities and responsibilities are as follows:

-   Participate in the design of the program announcement

-   Participate in development of selection criteria and procedure to
    select grantees

-   Participate in the selection committee

-   Approve selected grantees

-   Provide guidance or input for the program implementation

-   Provide liaison with CAFTA-DR points of contact, the Secretariat for
    Environmental Matters, and U.S. Embassies in the region.

-   Review written materials utilized for public participation outreach

D.  **Performance Indicators**

**Performance indicators**

The required performance indicators for this cooperative agreement
include:

-   a minimum of six (6) local organizations in the CAFTA-DR countries
    using USG assistance to promote public participation on
    environmental issues. (at least one local organization in each
    CAFTA-DR country).

-   educate approximately 700 people in the region about opportunities
    for civil society involvement in environmental decision-making and
    enforcement (include number of females and males).

Other possible indicators that the recipient may consider when
developing the application are:

-   Number of outreach campaigns supported by USG assistance

-   Number of people who have completed workshops (include number of
    females and males)

-   Number of participants in USG-funded programs supporting
    participation and inclusion of traditionally marginalized ethnic
    minority groups. (include number of females and males)

-   Number of media outlets that promote public participation mechanisms
    and opportunities under CAFTA-DR

-   Number of educational/outreach materials that promote public
    participation on environmental issues.

-   Number of partnerships involving local organizations, business,
    and/or academic institutions.

E.  **Budget and Term of Performance**

The Department of State set aside [US \$ 396,000]{.underline} from the
CAFTA-DR Environment FY2007 funds to support the Small Grants Program.
This amount includes the administrative and management costs of the
program, as well as funds for the small grants. Projects are expected to
range from US \$ 20,000 to US \$ 50,000; however, individual projects
could be larger or smaller depending on the selection committee's review
and selection process

The initial period of performance will be two years from the initial
award of the Cooperative Agreement with DOS.

Depending upon quality of performance and other factors, the DOS
reserves the right to supplement this budget and extend the period of
performance for up to three additional years, as appropriate, and if the
DOS and the recipient mutually agreed

II. **Award Information:**

  Type of Award                          Cooperative Agreement.
  -------------------------------------- ------------------------
  Fiscal Year Funds                      FY 2007
  Approximate Total Funding:             \$ 396,000
  Approximate Number of Awards:          1
  Anticipated Award Date:                August 2008
  Anticipated Project Completion Date:   August 2010

III. **Application Process**

**A. Eligibility**

Eligible applicants include non-governmental organizations or
international organizations with a strong regional profile and
experience in grant management and public participation related to
environmental issues. The applicant must address all the technical
components of this competition.

**B. Review Criteria and Selection Process**

An independent panel will review each application and recommend which
application to fund. Officials from the Department of State, and other
interested U.S. government agencies, will review the recommendation and
make final award decisions. Preference will be given to those
organizations with a proven track record administering small grants and
that can respond quickly and efficiently to the time frame for awarding
the small grants set out in Section C -- Timeline.

Technically eligible applications will be competitively reviewed
according to the criteria listed below.

-   Understanding of CAFTA-DR Environment Chapter and Cooperation
    > Agreement: applications should demonstrate understanding of the
    > various public participation mechanisms and opportunities referred
    > to in the CAFTA-DR Environment Chapter and Cooperation Agreement.
    > (10 points)

-   Program Management: the applicants should demonstrate capacity and
    > experience with all aspects of grant-making from the open
    > competition process, to the administration and overseeing of the
    > small grants. (20 points)

-   INSTITUTIONAL CAPACITYAND TRACK RECORD IN THE REGION: the applicants
    > must demonstrate that the qualifications of the organization are
    > adequate and appropriate to achieve the program objectives
    > including proposed key personnel and institutional resources.
    > Applications should demonstrate a record of past performance,
    > including a record of fiscal management and full compliance with
    > reporting requirements. The applicants should also demonstrate
    > regional experience (more than 2 countries) and local connections
    > (20 points)

-   TECHNICAL MERIT OF APPROACH: the applicants should propose an
    > approach (implementation plan and timelines) to address the
    > purpose, expected results, and activities indicated in Section II.
    > The implementation plan should answer how the applicants proposes
    > to manage and oversee the small grants; coordinate with the target
    > population, host governments, and the DOS; and leverage
    > partnerships that involve multiple sectors (private, university,
    > government, etc.). Applicants may be disqualified if the proposal
    > includes countries outside CAFTA-DR. (20 points)

-   COST EFFECTIVENESS: the overhead and administrative components of
    > the proposal, including salaries should be kept as low as
    > possible. All other items should be necessary and appropriate.
    > Whenever possible, applicants are encouraged to maximize
    > cost-sharing through other partnership support as well as
    > institutional funding contributions (20 points);

-   Project evaluation and monitoring plan: applications should include
    > a plan to evaluate the success of the Small Grants Program, both
    > before, during, and after the completion of the program. The plan
    > should include a methodology to monitor and evaluate the Small
    > Grant Program, as well as ideas for disseminating success stories
    > and lessons learned. (10 points);

**C. Timeline**

  Deadline for applications                                        June 20, 2008
  ---------------------------------------------------------------- ---------------
  Application Review and Selection                                 July 2008
  Notification of Project Approval/Disapproval and Grant Signing   August 2008

**D. Application**

Prospective applicants must submit an application to
[www.grants.gov](http://www.grants.gov) by 6:00 pm Eastern Standard Time
(EST) on June 20, 2008. Submissions should conform to instructions in
the submission package, available at <http://grants.gov>. Please read
the entire three sections of the solicitation package and follow the
guidelines in the Proposal Submission Instructions (PSI) document

IV. **Reporting**

The recipient, at a minimum, shall provide the Department of State with
the following reports:

**Implementation Plan**

Thirty days after signature of the agreement, the grantee shall provide
the DOS with an implementation plan, describing project activities
during year one, including the CV's of key personnel on the
implementation team.

**Progress and Financial Reports**

Quarterly progress and financial reports are required that provide
reporting on activities the recipient has undertaken during the period
of the agreement.

**Final Report.**

Final report should include successes, best practices, lessons learned,
challenges, and how the project advances CAFTA-DR implementation efforts
in the Region. The final report will be due no later than sixty (60)
days after completion or termination of the project.

.

V.  **Additional Information**

This RFP will appear on www.grants.gov.

Other resources to assist you in the preparation of this application can
be found in the following links:

CAFTA-DR Environmental Chapter, Agreement, and Work Plan

<http://www.state.gov/g/oes/env/trade/index.htm>

Understanding Regarding the Establishment of a Secretariat for
Environmental Matters under the CAFTA-DR FTA

<http://www.ustr.gov/assets/Trade_Agreements/Bilateral/CAFTA/Briefing_Book/asset_upload_file842_7227.pdf>

Web Site of the Secretariat for Environmental Matters

<http://www.mysem.ws/>

Comisión Centroamericana de Ambiente y Desarrollo

<http://www.ccad.ws/DR-CAFTA.html>

VI. **Contact Information**

Contact Carmen Yee-Batista, (202) 647-6777, in the Office of
Environmental Policy on all inquiries and correspondence. Please read
the complete announcement before sending inquiries or submitting
proposals. Once the proposal submission deadline has passed, the DOS
staff may not discuss this competition with applicants until the
proposal review process has been completed.

**[ATTACHMENT A]{.underline}**

**Previous Work with local NGOs and Civil Society**

The Department of State through its Regional Environmental Hub in Costa
Rica, with Fiscal Year 2006 funds, launched a small grants program in
August 2007 to engage local organizations with the mechanisms and
opportunities for public participation. The Department of State awarded
six small grants to different local organizations in the CAFTA-DR
countries to (1) educate the public about opportunities in the CAFTA-DR
Environment Chapter and ECA for public participation; (2) obtain
informed, productive public participation in environmental
decision-making in CAFTA-DR countries; and (3) promote compliance with
environment laws. The name of the local organizations that received
funds in 2007 and their project descriptions are indicated below.

1)  **Helvetas Swiss Association for International Cooperation,
    Guatemala**

Project Title: Getting to Know CAFTA-DR Environmental Chapter

The project consists of an awareness raising campaign targeting the
general public, including information dissemination through radio,
newspaper, mobile information booths, and fairs in three languages of
the region (Mam, Quiche and Spanish). In addition, the grantee in
collaboration with the Ministry for the Environment and Natural
Resources have set up a nation-wide hotline for people to report
environmental complaints (hotline \#: 1560). This project also aims to
inform at least 25 percent of the population in the Departments of
Quetzaltenango, Totonicapan, San Marcos, and Huehuetenango about public
participation opportunities and mechanisms on environmental issues
through cooperatives agreements between the Municipal Development
Council (COMUDES) and Department Development Councils (COCODES).

2)  **Instituto de Investigación y Promoción Ambiental (IPA), El
    Salvador**

Project Title: Environmental Units: Mechanisms for Increasing Public
Participation in Environmental Management and Enforcement

This one-year pilot project takes place in five municipalities and
promotes public participation in the enforcement of environmental laws
and compliance of Chapter 17 by building or strengthening their
Environmental Units (EUs). The main activities include 1) training the
EUs to effectively engage in environmental management, soliciting and
disseminating information from and to the public, and ensuring
compliance with Chapter 17, 2) promoting that the National System of
Environmental Management (SINAMA) and Ministry of the Environment and
Natural Resources (MARN) engage in a public relations campaign to inform
all citizens of these rights, and 3) assisting the Environmental Units,
SINAMA, and the public with the mechanisms necessary to ensure open and
effective lines of communication.

3)  **Colegio Lincoln, Costa Rica**

Project Title: Environmental Congress

This project consists of organizing a group of no less than 30
interested secondary students from a variety of public and private
schools, within the surrounding areas of Barrio Socorro, San Miguel,
Santo Domingo, Heredia, to participate in the "ECO 1" Environmental
Congress, which will be held in Lincoln School Campus from 05/24 to
05/25). During this event the students will engage in activities
regarding the role of the public and obligations in the Environmental
Chapter, participate in environmental workshops with scientific
professors, discuss environmental problems in Costa Rica, and create an
action plan to address environmental issues. Please refer to this web
site for additional information:
[www.lincoln.ed.cr/eco](http://www.lincoln.ed.cr/eco).

4)  **Central America Technological University (UNITEC), Honduras**

Project Title: Support the Diffusion of Opportunities and Informed
Participation in the Environmental Decisions within the Framework of
CAFTA-DR and the ECA.

This project is aimed at promoting the understanding of the mechanism
for public participation included in Chapter 17 of the CAFTA-DR
Agreement and ECA through workshops directed at government and
non-government sectors and the preparation of a document. The document,
expected to be completed in May 2008, will provide a summary of the
opportunities and obligations that Honduras has within the framework of
CAFTA-DR, a legal interpretation within the Constitution and pertinent
laws of Honduras, and suggestions to meet the obligations in Chapter and
ECA.

5)  **Promoción y Desarrollo Empresarial (PRODEM), Nicaragua**

Project Title: Improving Public Participation in Environmental
Decision-making in the Region Encompassed by the CAFTA-DR.

This project increases the participatory efforts of civil society and
the private sector in environmental issues by strengthening information
flows of approximately 200 organizations, building capacity on
environmental issues in small private enterprises, and promoting the
establishment of public and private partnerships.

6)  **Alianza ONG, Dominican Republic**

Project Title: Promoting Public Participation Mechanisms of the Chapter
17 Environment from CAFTA-DR

This project has two main components to promote public participation
mechanisms of the Chapter: 1) outreach using mass media outlets, web
site, journals, and the elaboration of didactic guides and 2) four
workshops in Santo Domingo and in the east and north regions of the
country targeting commerce and production entities, tourism
organizations, and economic and environmental journalists.

**[Section Three of Solicitation Package]{.underline}**

**Proposal Submission Instructions (PSI)**

**Management of Small Grants Program for Public Participation**

U.S. Department of State

Bureau of Oceans, Environment and Science

Central Programming Unit

Room 2201 C Street, NW

Washington, D.C. 20520

<http://oes.state.gov/>

updated: 01/08

**TECHNICAL ELIGIBILITY**

Technically eligible submissions are those which: 1) arrive
electronically via [www.grants.gov](http://www.grants.gov) by Monday,
June 20^th^ before 6:00 p.m. Eastern Standard Time (EST); and 2) have
heeded all instructions contained in the Request for Application (RFA)
and Proposal Submission Instructions (PSI), including length and
completeness of submission 3) do not violate any of the guidelines
stated in the solicitation and this document.

**QUESTION AND ANSWER PERIOD**

In order to ensure the integrity of the proposal submission process, all
questions and correspondence pertaining to this grant must be done via
email between **May 21^st^ and June13th**. All questions and answers
will be posted on grants.gov. Correspondence after June 14^th^ will be
strictly limited to the technical requirements set forth in the PSI.

**PROPOSAL SUBMISSION INSTRUCTIONS**

As of October 1, 2005 the State Department requires proposals be
submitted electronically via [www.grants.gov](http://www.grants.gov).

**Please note:** In order to safeguard the security of applicants'
electronic information, [www.grants.gov](http://www.grants.gov) utilizes
a credential provider. It is the process of determining, with certainty,
that someone really is who they claim to be.

The credential provider for [www.grants.gov](http://www.grants.gov) is
Operational Research Consultants (ORC). Applicants MUST register with
ORC to receive a username and password which you will need to register
with [www.grants.gov](http://www.grants.gov) as an authorized
organization representative (AOR). Once your organization\'s E-Business
point of contact has assigned these rights, you will be authorized to
submit grant applications through Grants.gov on behalf of your
organization.

Each organization will need to be registered with the Central Contractor
Registry (CCR) and you will need to have your organization\'s DUNS
number available to complete this process. After your organization
registers with the CCR, you must wait 3 business days before you can
obtain a username and password.

PLEASE be advised that completing all the necessary steps for obtaining
a username and password from [www.grants.gov](http://www.grants.gov)
**can take up to 2 full weeks**. The Bureau of Ocean, Environment and
Science (OES) strongly urges applicants to begin this process on
[www.grants.gov](http://www.grants.gov) well in advance of the
submission deadline. No exceptions will be made for organizations that
have not completed the necessary steps to post applications on
[www.grants.gov](http://www.grants.gov). Please access
[www.grants.gov](http://www.grants.gov) for the necessary information.

Faxed, couriered, or emailed documents will not be accepted at any time.
Applicants must follow all formatting instructions in the applicable RFA
and these instructions.

**TECHNICAL FORMAT REQUIREMENTS**

Applicants must include the following in the proposal submission:

1.  Table of Contents that lists application contents and attachments
    (if any)

2.  Completed and signed SF-424, SF-424a and SF424b, as directed on
    grants.gov

3.  Executive Summary (one page, double-spaced in 12 point Times New
    Roman font in Microsoft Word) that includes:

-   the target countries

-   name and contact information for the project's main point of
    contact,

-   the project's purpose and expected results (include proposed number
    of projects and sub-grant range),

-   target population including type of local NGO's and or/civil society
    organizations.

-   a one-paragraph statement of work,

-   the total amount of funding requested, program length and how the
    project is innovative, sustainable, and will have a demonstrated
    impact.

4.  Proposal Narrative (Not to exceed ten (10) pages, single-spaced, 12
    point Times New Roman font in Microsoft Word, at least one-inch
    margins) to include:

```{=html}
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```
a)  Introduction and rationale of the proposal.

b)  Proposed long-term goal and expected results (short-term project
    goals) of the project and the main activities that are necessary to
    support each expected result.

c)  Implementation plan. The implementation plan should answer
    questions, such as who are the key stakeholders and their expected
    participation in the project; what are the assumptions on which the
    success of the project depends; and the proposed methodology to
    achieve the expected results.

d)  Roles and responsibilities of primary staff

e)  A comprehensive monitoring and evaluation plan that includes
    measurable and time bound outputs and outcomes.

f)  Provide a detailed monthly timeline that include target dates for
    completion of each of the proposed activities.

```{=html}
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```
5.  Detailed Budget in spreadsheet format, which includes three (3)
    columns including OES request, any cost sharing contribution, and
    total budget (see Budget Guidelines). Costs should be in USD;

6.  Budget Narrative (Not to exceed 6 pages) that includes an
    explanation for each line item in the Excel spreadsheet, as well as
    the source and description of all cost share offered;

7.  Attachments (letters of support, CVs of key personnel, project
    experience, etc) may not exceed 5 pages;

8.  If your organization has a negotiated indirect cost rate agreement
    (NICRA) and includes NICRA charges in the budget, your latest NICRA
    must be sent as a pdf file. If your proposal involves subgrants to
    organizations charging indirect costs, and those organizations also
    have a NICRA, please submit the applicable NICRA as a pdf file.

9.  Number all pages, including budget and addenda

10. Format all pages to standard 8 ½ x 11 paper with a minimum of 1-inch
    margins.

**INFORMATION ON STANDARD FORMS**

Organizations must also fill out and submit SF-424, SF-424A, and SF-424B
forms as directed on [www.grants.gov](http://www.grants.gov).

Please fill in the highlighted yellow fields and use the following
guideline for the SF-424:

1.  Type of Submission: Application

2.  Type of Application: New

> 5b. Federal Award Identifier: Please enter zeros or leave blank
>
> 8a. Please enter name of applicant (organization)
>
> 8b. Please enter the organization's EIN or TIN number
>
> 8c. Please enter the organization's DUNS number
>
> 8d. Please enter the organization's address
>
> 8f. Please enter the name, telephone number and e-mail address of the
> primary contact person for this proposal
>
> 9\. Please select type of applicant from pull down list
>
> 11\. The CFDA number is 00.000
>
> 15\. Please enter descriptive title of project
>
> 16a. Please enter congressional district of applicant organization
>
> 16b. Please enter N/A or zeros
>
> 17\. Please enter the approximate start and end dates of the proposed
> activities
>
> 18\. Please enter the amount requested from the USG under "Federal,"
> any cost-share under "Applicant," fill in the total, and otherwise use
> zeros.
>
> 19\. Please enter "c"
>
> 20\. Complete as indicated
>
> 21\. Complete as indicated

Please fill in the highlighted yellow fields of the SF 424A with
information from your proposed budget.

Please fill in the highlighted yellow fields in the SF-424B:

> Page 2 - Complete Applicant Organization and title of authorized
> official.

**OFFICE OF MANAGEMENT AND BUDGET (OMB) CIRCULARS**

Organizations should be familiar with OMB Circulars A-110 (Revised) 22
CFR 145 (Uniform Administrative Requirements for Grants and Agreements
with Institutions of Higher Education, Hospitals and Other Nonprofit
Organizations), A-122/A-21 (Cost Principles for Nonprofit Organizations;
Indirect Costs), and A-133/A-128 (Audits of Institutions of Higher
Education and Other Nonprofit Organizations) on cost accounting
principles. For a copy of the OMB circulars cited, please contact
Government Publications or download from
http://www.whitehouse.gov/omb/circulars/index.html.

**AUDITS**

**The recipient\'s proposal should include the cost of an audit that**:

\(1\) complies with the requirements of OMB Circular No. A-133, \"Audits
for Institutions of Higher Education and Other Nonprofit Institutions\";

\(2\) 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 U.S. Department of State is the largest direct source
of Federal financial assistance (i.e., the cognizant Federal Agency) and
indirect costs are charged to Federal grants, a supplemental schedule of
indirect cost computation is required.

\(4\) Organizations that receive more than \$500,000 in US government
funds are required to have an A-133 audit.

**The audit costs shall be identified separately for**:

(1) audit of the basic financial statements, and

(2) supplemental reports and schedules required by A-133

**INDIRECT COST-RATE**

An organization with a negotiated indirect cost rate agreement (NICRA)
negotiated with a cognizant federal government agency other than the
U.S. Department of State should include a copy of the cost-rate
agreement as an addendum to the budget. An applicant must indicate in
the proposal budget how the rate is applied and if any of the rate will
be cost-shared. OES generally does not pay indirect costs against
participant expenses. Organizations claiming indirect costs should have
an established NICRA. If subgrantees are claiming indirect costs, they
should have an established NICRA that is also submitted with the
proposal package.

**COST -- SHARING**

Cost - sharing is the portion of program cost not borne by the sponsor.
OES encourages cost - sharing, which may be in the form of allowable
direct or indirect costs, and offered by the applicant and/or in-country
partners. Applicants should consider all types of cost sharing. Examples
include the use of office space owned by other entities; donated or
borrowed supplies and equipment; (non-federal) sponsored travel costs;
waived indirect costs; and program activities, translations, or
consultations conducted by qualified volunteers. The values of offered
cost share should be reported in accordance with (the applicable cost
principles outlined in) OMB Circular A-110 (Revised) Subpart C (23)
"Cost-sharing or Matching." **Other federal funding does not constitute
cost sharing.**

The recipient of an assistance award must maintain written records to
support all allowable costs which are claimed as its contribution to
cost - share, as well as costs to be paid by the Federal government.
Such records are subject to audit. The basis for determining the value
of cash and in-kind contributions must be in accordance with OMB
Circular A-110 (Revised), Subpart C (23) "Cost-sharing or Matching." In
the event the recipient does not meet the minimum amount of cost-sharing
as stipulated in the recipient's budget, the Bureau's contribution will
be reduced in proportion to the recipient's contribution.

All organizations, including those not offering any cost - sharing, must
submit a budget in Excel, formatted to include three columns for each
line item: OES funding request, cost -- share offered, and total
funding. Sources of all cost - share offered in the application must be
identified and explained in the budget narrative. When organizations
have made a reasonable, good-faith effort to obtain cost sharing or are
pursuing avenues to cost share, OES encourages applicants to note this
in the proposal (refer to Budget Guidelines).

**PROGRAM MONITORING AND EVALUATION**

Proposals must include a detailed plan on how the project's impact and
effectiveness will be monitored and evaluated throughout the project.
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 program. Successful monitoring and evaluation
depend on the following:

-   setting short-term and long-term goals that are clear, attainable,
    measurable, and placed in a reasonable time frame;

-   linking program activities to stated goals;

-   developing key performance indicators that are quantifiable, have
    realistic targets, and are categorized into outputs or outcomes.

Performance indicators are quantifiable measures that assess the
progress of a project. Two types of performance indicators are outputs
and outcomes. Outputs are products and services delivered from the
program activities, often stated as an amount. Output data show the
scope or size of project activities, but it cannot substitute
information about progress towards outcomes or the project's impact.
Examples of outputs include the number of people trained or the number
of seminars conducted. Outcomes, in contrast, represent specific results
a project intends to achieve and are usually measured as an extent of
change.

Examples of project outcomes include environmental regulatory changes,
or a marked improvement in a government's ability to foster public
participation in environmental decision making, better enforcement
against illegal logging, or better controls against the trafficking of
endangered species, or number of institutions and individuals trained in
solar technology. Findings on outputs and outcomes should both be
reported, but the focus should be on outcomes since those more
accurately assess the program's true impact.

The Bureau recommends that applicants include a clear description of the
methodology and data collection strategies/tools to be employed (e.g.
surveys, interviews, focus groups) and, as appropriate, samples of
evaluative tools such as draft survey questionnaires. The Bureau expects
that the grantee will track participants or partners as appropriate and
be able to respond to key evaluation questions, including satisfaction
with the program/training, information learned as a result of the
program/training, changes in behavior as a result of the program, and
effects of the program on institutions in which participants work or
partner institutions. Applicants should include a timeline for the
monitoring and evaluation process.

Overall, the quality of your monitoring and evaluation plan will be
judged on how well it incorporates the abovementioned components. Since
a quality evaluation should be as objective and unbiased as possible,
OES highly encourages all applicants to include an independent
evaluation (e.g., hiring an outside evaluator to assess the program) as
part of their overall monitoring and evaluation plan. Costs for an
outside evaluation may be charged to the OES grant.

Grantees will be required to provide reports with an analysis and
summary of their evaluation findings in their regular program reports to
the Bureau. All data collected, including survey responses and contact
information, must be maintained for a minimum of three years and
provided to the Bureau upon request. OES conducts quarterly reviews of
all of its programs in order to meet its PART requirements as set by OMB
and to ensure grants are being administered and implemented
successfully.

**BUDGET GUIDELINES**

An applicant organization\'s budget must respond to the solicitation
guidelines and be included in the proposal submission. Applicants must
provide a detailed line-item budget outlining specific cost requirements
for proposed activities. A minimum of three columns must be used to
delineate the bureau funding request, cost-share by applicant, and total
project funding. Include a budget narrative to explain specific
line-items and how the amounts were derived.

The three-column proposal line item budget must include these main
components and should follow the format below:

A.  Summary Budget

B.  Line-Item Administrative and Program Budget

                                                                          OES Request   Cost Share   Total
  --------------------------------------------- ------------------------- ------------- ------------ -------
  **ADMINISTRATIVE COSTS**                      unit cost                                             
  a\) Personnel: US-based                                                                             
  Program Officer (X months)                    X% of \$X/yr                                          
  Financial Specialist (X months)               X% of \$X/yr                                          
  b\) Fringe Benefits: US-based Personnel       fringe=X% salary                                      
  Program Officer (X months)                    X% fringe                                             
  Financial Specialist (X months)               X% fringe                                             
  c\) Travel                                                                                          
  Monitoring Trip: DC-field (X)                 \$X/RT flight                                         
  Per diem (X days)                             \$X/day                                               
  e\) Supplies (US based, if applicable)                                                              
  Printing and Photocopying (X months)          X% of \$X/yr                                          
  j\) Indirect Costs                                                                                  
  NICRA (X% on program costs)                                                                         
  TOTAL Administrative Costs                                                                          
  **PROGRAM COSTS**                                                                                   
  a\) Personnel: Field                                                                                
  Program Manager (x months)                    X% of \$X/yr                                          
  Program Assistant (x months)                  X% of \$X/yr                                          
  b\) Fringe Benefits: Field Personnel          fringe=X% salary                                      
  Program Manager (x months)                    X% fringe                                             
  Program Assistant (x months)                  X% fringe                                             
  c\) Travel                                                                                          
  [Activity 1: Workshop]{.underline}                                                                  
  Staff Travel (\# staff)                       \$X/RT flight/\# staff                                
  Staff Per Diem (X days)                       \$X/day/\# day/\# staff                               
  Participant Travel (\# participants)          \$X/trip/\# pax                                       
  Participant Per Diem (X days)                 \$X/day/\# day/\# pax                                 
  [Activity 2: Town Hall Meeting]{.underline}                                                         
  Staff Travel (\# staff)                       \$X/RT flight/\# staff                                
  Staff Per Diem (X days)                       \$X/day/\# day/\# staff                               
  Participant Travel (\# participants)          \$X/trip/\# pax                                       
  Participant Per Diem (X days)                 \$X/day/\# day/\# pax                                 
  d\) Equipment                                                                                       
  Used laptop for field office                  \$X/laptop                                            
  e\) Supplies (Field Office)                                                                         
  Markers and dry erase board                   \$X/set                                               
  Telephone (X months)                          X% of \$X/yr                                          
  Office Supplies (X months)                    X% of \$X/yr                                          
  f\) Contractual                                                                                     
  Local Subgrantee                              \$X/unit                                              
  g\) Consultant Fees                                                                                 
  Media Specialist/Honoraria (X)                \$X/consult                                           
  Independent M & E specialist                  \$X/unit                                              
  Translation Fees (X pages)                    \$X/page                                              
  h\) Other Direct Costs                                                                              
  Field Office Rent (X months)                  X% of \$X/mo                                          

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

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

**A. SUMMARY BUDGET:**

Please include the applicant organization name, title and duration of
the project, and the following:

a)  Personnel

b)  Fringe Benefits

c)  Travel

d)  Equipment

e)  Supplies

f)  Contractual

g)  Consultant Fees

h)  Other Direct Costs

i)  Total direct charges (sum a -- h)

j)  Indirect Charges

k)  Totals

**B. LINE-ITEM BUDGET --**

**Personnel** -- Identify staffing requirements by each position title
and brief description of duties. List annual salary of each position,
percentage of time and number of months devoted to project (e.g.,
Administrative Director: \$30,000/year x 25% x 8.5 months;
[calculation]{.underline}: \$30,000/12 = \$2,500 x 25% x 8.5 months =
\$5,312).

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

**Travel** - Staff and any participant travel:

1\) international airfare

2\) in-country travel

3\) domestic travel in the U.S., if any

> 4\) per diem/maintenance: includes lodging, meals and incidentals for
> both participant and staff travel. Rates of maximum allowances for
> U.S. and foreign travel are available from the following website:
> http:/www.policyworks.gov/. Per diem rates may not exceed the
> published U.S. government allowance rates; however, institutions may
> use per diem rates lower than official government rates.

Please explain differences in fares among travelers on the same routes:
e.g., project staff member traveling for three weeks whose fare is
higher than that of staff member traveling for four months. Please note
that all travel, where applicable, must be in compliance with the Fly
America Act.

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

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

**Contractual** -- For each subgrant/contract please provide a detailed
line item breakdown explaining specific services. In the subgrant
budgets, provide the same level of detail for personnel, travel,
supplies, equipment, direct costs, and fringe benefits required of the
direct applicant.

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

**Other Direct Costs** - these will vary depending on the nature of the
project. The inclusion of each must be justified in the budget
narrative.

**Indirect Charges** - See OMB Circular A-122, \"Cost Principles for
Non-profit Organizations\"

a\. If your organization has an indirect cost-rate agreement with the
U.S. Government, please include a copy of this agreement as an addendum
to the budget.

b\. Indicate how the rate is applied\--to direct administrative
expenses, to all direct costs, to wages and salaries only, etc.

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

2

**Cost Share -** Explanation of contributions should be included,
whether cash or in-kind. Assign a monetary value in U.S. dollars to each
in-kind contribution. If the proposed project is a component of a larger
program, identify other funding sources for the proposal and indicate
the specific funding amount to be provided by those sources.

The Bureau of Oceans, Environment and Science [WILL]{.underline}
CONSIDER BUDGETED LINE-ITEMS FOR THE FOLLOWING:

-   Independent evaluations to assess the project's impact (costs must
    be built into the overall original budget proposal and must be
    reasonable);

-   Costs associated with an internal evaluation conducted by the
    grantee (costs must be built into the overall original budget
    proposal and must be reasonable).

-   Visa Fees and Immunizations associated with program travel.

> 1

The Bureau of Oceans, Environment and Science DOES [NOT]{.underline} PAY
FOR THE FOLLOWING under any circumstances:

-   Administration of a program that will make a profit;

-   Expenses incurred before or after the specified dates of the grant
    (unless prior approval received);

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

-   Entertainment expenses, including alcoholic beverages.

-   Contingency funds to cover unexpected costs, including salary
    increases, increased airfares, and other inflationary factors.

**ADDITIONAL INFORMATION**

**Once the Request for Application deadline has passed, State Department
staff in Washington D.C. and overseas at U.S. Embassies/Missions may not
discuss this competition with applicants until the review process has
been completed**.