Request for Applications Announcement

Request for Applications Announcement

Results Focused Monitoring and Evaluation of Work Implementing

Environmental Cooperation Mechanisms

Announcement Type: New Cooperative Agreement

Funding Opportunity Title: Results Focused Monitoring and Evaluation of Work Implementing Environmental Cooperation Mechanisms

Funding Opportunity Number: OES-OTE-11-003

Catalog of Federal Domestic

Assistance Number: 19.017

Funding Amount: One award of up to $198,000 U.S. Dollars

Key Dates: 1. Applications must be submitted by 5 P.M. EST on June 18, 2012

2. Application review and selection expected by June 29, 2012

3. Notification of project approval and cooperative agreement signing expected by July 30, 2012

Executive Summary:

The Bureau of Oceans and International Environmental and Scientific Affairs’ (OES) Office of Environmental Policy at the Department of State announces the Request for Applications (RFA) for the Results Focused Monitoring and Evaluation of Work Implementing Environmental Cooperation Mechanisms. The agreement awarded will use FY11 Economic Support Funds.

The United States has free trade agreements (FTAs) in force with 18 countries. In association with most of these FTAs, the United States has established environmental cooperation mechanisms (ECMs) that provide a framework for cooperation on environmental activities. The Department of State (DOS), Bureau of Oceans, International Environmental and Scientific Affairs (OES) coordinate the implementation of activities under the ECMs for the U.S. government. OES also funds foreign assistance projects in conjunction with these activities to assist selected countries strengthen and enforce their environmental laws and generally improve, conserve, and protect their environments in the context of achieving sustainable development goals.

Through implementation of ECMs, the United States and its ECM partners are striving to achieve the following long-term goals:

· Compliance with the FTA Environment Chapter obligations to:

(1) ensure that Parties’ environmental laws and policies provide for and encourage high levels of environmental protection;

(2) 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; and

· An improved 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.

OES seeks an independent entity to evaluate foreign assistance programs funded in conjunction with activities related to implementing ECMs and their related Work Programs. Prospective applicants may include a wide range of organizations - non-governmental organization (NGOs), commercial firms, and international and regional organizations.

Eligibility is limited to non-profit/nongovernmental organizations (NGOs) subject to section 501(c)(3) of the U. S. tax code, or similar entities, foreign not-for-profit organizations, commercial firms, educational institutions, and to public international organizations. Applicants must have significant experience doing results oriented monitoring and evaluation of environmental cooperation. Proposals should demonstrate creativity, substance, and relevance to OES’s goal of demonstrating the results of OES managed trade-related environmental cooperation.

A cooperative agreement of up to $198,000 U.S. Dollars (USD) in FY 2011 Economic Support Funds (ESF) will be awarded for Results Focused Monitoring and Evaluation of Work Implementing Environmental Cooperation Mechanisms. The initial period of performance will be for 2 years. Funding authority rests in the Foreign Assistance Act of 1961, as amended. (Optional: Future funding may be available for further results focused monitoring and evaluation work, and competitive applications received but not selected as a result of this RFA may be considered for future funding).

Contact Person: Lauren McCulloch

Bureau of Oceans and International Environmental and Scientific Affairs

+1 202-647-4833 (T)

+1 202-647-5947 (F)

Please read carefully the entire solicitation package including Proposal Submission Instructions if you plan to submit an application; there are steps that you should take immediately in order to make your submissions by the deadline.

Table of Contents:

Results Focused Monitoring and Evaluation of Work Implementing Environmental Cooperation Mechanisms 4

Section 1. Funding Opportunity Description 4

1A. Background 4

1B. Program Goals 5

1C. Expected Results 6

1D. Main Activities 6

1E. Performance Indicators 7

1F. Additional Strategic and Program Principles 7

Section 2. Award Information 8

2A. Available Funding and Legislative Authority 8

2B. Award Management 9

Section 3. Eligibility Information 9

3A. Eligible Applicants 9

Section 4. Application and Submission Information 9

4A. Requesting an Application Package 10

4B. Content and Form of Application Submission 10

4C. Submission Method and Dates 10

4D. Proposal Narrative Guidelines 10

Narrative Components 11

Budget Components 13

Section 5. Application Review Information 13

5A. Evaluation Criteria and Selection Process 13

Section 6. Award Administration Information 14

6A. Award Notices 14

6B. Administrative and National Policy 14

6C. Reporting Requirements 14

Section 7. Agency Contact 15

Attachments:

Appendix 1: Proposal Submissions Instructions (PSI)--IMPORTANT

Results Focused Monitoring and Evaluation of Work Implementing Environmental Cooperation Mechanisms

Section 1. Funding Opportunity Description

1A. Background

The United States has free trade agreements (FTAs) in force with 20 countries. In association with most of these FTAs, the United States has established environmental cooperation mechanisms (ECMs) that provide a framework for cooperation on environmental activities. The Department of State (DOS), Bureau of Oceans, International Environmental and Scientific Affairs (OES) coordinate the implementation of activities under the ECMs for the U.S. government.

Through implementation of ECMs, the United States and its ECM partners are striving to achieve the following long-term goals:

· Compliance with the FTA Environment Chapter obligations to:

(1) ensure that Parties’ environmental laws and policies provide for and encourage high levels of environmental protection;

(2) 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; and

Given the importance of accountability and the role of monitoring and evaluation in ensuring high quality programming that achieves its stated goals, the Department of State has allocated up to $198,000 USD in FY 2011 Economic Support Funds for Results Focused Monitoring and Evaluation of Work Implementing Environmental Cooperation Mechanisms.

Should the partnership prove successful, and should funds be available, OES may consider expanding this cooperative agreement in the future.

1B. Program Goals

Through the implementation of this grant, OES and the Recipient will evaluate the extent to which U.S.-funded environmental cooperation is helping FTA Parties achieve the long-term environmental goals mentioned above. The focus of the work to be performed will include several targeted countries with emphasis in Chile, Morocco, Oman, and Panama. Approximately $8million in economic support funds (ESF) has supported trade-related environmental cooperation programs since fiscal year 2009. The Recipient will support monitoring and evaluation of each project that comes together to comprise a country program. OES-funded projects in each country have common goals, but strategies for achieving these goals vary, and project implementers have been monitoring and evaluating their programs from the start. Each country also has a Program Management Framework by country to help track results over time and supports the Recipient´s process of drafting country status reports based on the implementers´ reports.

In undertaking the evaluation, the Recipient will be guided by detailed information DOS will provide on each of the cooperative projects being implemented. Recipient should consider, among other things:

- (1) the overall impact of environmental cooperation, including how it is impacting Parties’ abilities to strengthen and effectively enforce their environmental laws and meet the other long-term environmental goals;

- (2) the effectiveness of the cooperation in improving livelihoods and ensuring environmental and institutional sustainability of the programs and projects started through cooperation; and

- (3) the extent to which the environmental cooperation is helping build the capacity of civil society to participate more effectively in environmental compliance, enforcement, and decision-making.

The evaluation that the recipient performs will supplement and may incorporate reports from project implementers on their success toward meeting specific performance indicators established for each project. In addition, officials from DOS, with support from other government departments or agencies, will monitor on-going activities and evaluate progress toward meeting indicators and achieving results. The Recipient will collaborate closely with specific project implementers, including U.S. technical agencies, NGOs, and with DOS/OES/Office of Environmental Policy (ENV), and the Office of the United States Trade Representative. In certain cases, the Recipient will provide advice to the project implementers in developing project specific indicators, always in harmony with established foreign assistance F Standard Indicators and Gender Equality and Female Empowerment Policy guidance.

1C. Expected Results

Specific results will depend on the particular country involved but could include the following:

(1) a plan to build on existing Program Measurement Frameworks to support program planning and evaluate the results and impact of ECM projects and programs and to measure specific outputs and outcomes from these projects and programs;

(2) a work plan describing how the Recipient will conduct results measurement;

(3) a schedule for meeting with project implementers and providing technical assistance as they develop indicators and measurement strategies for specific projects;

(4) a schedule for processing semi-annual progress reports from project implementers (October and April);

(5) a status report by country every six months that measures progress in the implementation of projects including an aggregation of the outputs; and

(6) an annual report that will include an aggregation of the outputs across the countries to demonstrate results of the overall programs.

1D. Main Activities

The evaluation that the selected Applicant performs will supplement and may incorporate reports from project implementers on their success toward meeting specific performance and results indicators established for each project. In addition, officials from DOS, with support from other government departments or agencies, will monitor on-going activities and evaluate progress toward meeting indicators and achieving results. The Recipient will collaborate closely with specific project implementers, including U.S. technical agencies, NGOs, and with DOS/OES/Office of Environmental Policy (ENV), and the Office of the United States Trade Representative. In certain cases, the Recipient will provide advice to the project implementers in developing project specific indicators, always in harmony with established F Standard Indicators and Gender Equality and Female Empowerment Policy guidance.

To achieve the goals and expected results, a proposal could include activities to:

(1) build on existing tracking systems to support program planning

(2) build on existing tracking systems to evaluate the impact of ECM projects and programs and to measure specific outputs and outcomes from these projects and programs;

(3) describe a work plan that demonstrates how the recipient will conduct results measurement;

(4) communicate regularly with project implementers and provide technical assistance as they develop indicators and measurement strategies for specific projects in close collaboration with OES;

(5) process semi-annual progress reports from project implementers (October and April) for inclusion in aggregate reports;

(6) draft a status report by country every six months including an aggregation of the outputs, measuring progress, and analyzing effectiveness in the implementation of projects; and

(7) draft an annual report that will include an aggregation of the outputs across the countries to analyze and demonstrate results of the overall programs as they relate to the goals of the ECMs.

1E. Performance Indicators

The recipient should monitor and report on performance indicators that are specific, measurable, achievable, and reasonable. Potential indicators for this project could include:

· Number of aggregate data tools provided to OES and OES implementing partners;

· Number of project managers trained and implementing better M&E practices;

· Number of briefing materials supported by results focused M&E products;

· Number of reports shared with partner countries demonstrating results of trade related environmental cooperation in the framework of the ECMs; and,

· Number of F indicators easily tracked and prepared for the annual State Department Performance Plan and Report (PPR).

1F. Additional Strategic and Program Principles

Community Involvement: Methods of information collection employed with OES implementers should reflect participatory data collection methodologies.

Gender: Results focused monitoring and evaluation should be in harmony with USG standards outlined in the Gender Equality and Female Empowerment Policy of USAID and supported by Secretary Clinton. http://www.usaid.gov/our_work/policy_planning_and_learning/documents/GenderEqualityPolicy.pdf

Program Expansion: In the event of a successful project, OES will consider the option of expanding the project, subject to available funding, in the future.

Section 2. Award Information

2A. Available Funding and Legislative Authority

Overall grant making authority for this project is contained in the Foreign Assistance Act of 1961, as amended. OES has funding available for a single grant of up to 198,000 USD for Results Focused Monitoring and Evaluation of Work Implementing Environmental Cooperation Mechanisms. The initial period of performance will be two years. Depending on the quality of performance and other factors, OES may consider additional supplemental funding to continue activities and extend the period of performance, or to support work on additional activities and/or in additional countries, if funds are available and OES and the Recipient mutually agree.

Summary of Award Information

Type of Award / Cooperative Agreement
Fiscal Year Funds / FY 2011
Approximate Total Funding: / 198,000 USD
Approximate Number of Awards: / 1
Anticipated Award Date: / July 2012
Anticipated Project Completion Date: / July 2014

Timeline for Award Adjudication

Deadline for Applications / 6 P.M. EST on June 18, 2012
Application review and selection / by June 29, 2012
Notification of Project Approval/Disapproval and Cooperative Agreement Signing / by July 30, 2012

2B. Award Management

The successful applicant awarded under this RFA will need to routinely collaborate with the program management staff in OES/ENV Environment and Trade, as well as other OES selected partners implementing projects under the ECM framework.