Request for Applications Announcement

Pathways to Prosperity in the Americas Pathways to Increased Market Access for Smallholder Producers Implementing Sustainable Agriculture Practices

Announcement Type: New Cooperative Agreement Funding Opportunity Title: Pathways to increased market access for smallholder producers implementing sustainable agriculture practices Funding Opportunity Number: OES-OTE-11-004 Catalog of Federal Domestic Assistance Number: 19.017 Funding Amount: One award of up to 247,500 U.S. Dollars Key Dates: 1. Applications must be submitted by 5 P.M. EST on June 15th, 2012 2. Application review and selection expected by July16th, 2012 3. Notification of project approval and grant signing expected by September, 2012

Executive Summary:

The Bureau of Oceans and International Environmental and Scientific Affairs (OES), Office of Environmental Policy at the U.S. Department of State (DOS) announces an open competition to support an initiative in CAFTA-DR and other Pathways partner countries geared toward increasing market access for smallholder farmers or producers implementing sustainable agriculture practices. This activity is in support of Pillar IV, Promoting Sustainable Business Practices and Environmental Cooperation, of the Pathways to Prosperity in the Americas Initiative. Pathways to Prosperity links 15 Western Hemisphere countries committed to democracy and open markets in an initiative to promote inclusive growth, prosperity, and social justice.

This effort looks to promote the sharing of best practices and to equip small farmers or producers in at least three Pathways countries with tools to access markets for goods produced using sustainable agricultural practices. Proposed activities should build on existing initiatives or ongoing collaboration with local communities, cooperatives and/or regional networks supporting sustainable agricultural practices. Applicants must have significant experience working with small farmers or producers, and/or rural communities in the Western Hemisphere, and are encouraged to partner or engage with other institutions to leverage available funds. Eligibility is limited to non-profit/nongovernmental organizations (NGOs) subject to section 501(c)(3) of the U. S. tax code, foreign not-for-profit organizations, educational institutions, and to public international organizations. Proposals should demonstrate creativity, substance, and a commitment to promoting regional and local activities that will continue well past the timeframe of the cooperative agreement. Subject to Congressional approval of funds, DOS will award a cooperative agreement for up to 247,500 U.S. Dollars (USD). The initial period of performance will be for 18-30 months. Funding authority rests in the Foreign Assistance Act of 1961, as amended.

Contact Person: Maina C. Martir-Torres Bureau of Oceans and International Environmental and Scientific Affairs [email protected] +1 202-647-4750 (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:

Attachments:

Appendix 1: Proposal Submissions Instructions (PSI)—IMPORTANT Pathways to Increased Market Access for Smallholder Producers Implementing Sustainable Agriculture Practices

Section 1. Funding Opportunity Description

1A. Background

Pathways to Prosperity in the Americas is an initiative where countries learn from one another’s experiences and work to spread the benefits of economic growth more broadly to all citizens. Pathways countries recognize that some segments of society have not shared the gains from trade and economic growth and that the promise of economic and social opportunity remains elusive for too many people in the Western Hemisphere. Pathways seeks to close this gap by encouraging public policies and public-private partnerships aimed at empowering small farmers, small businesses, craftspeople, workers, women, indigenous communities, Afro-descendants, youth, and other vulnerable groups to participate effectively in the global economy. For more information on this initiative, please visit: http://pathways-caminos.org.

Pathways partner countries are committed to deepening cooperation to achieve goals under four pillars: Pillar I-Empowering Micro, Small, and Medium Enterprises; Pillar II-Facilitating Trade; Pillar III-Developing a Modern Workforce; and Pillar IV- Promoting Sustainable Business Practices and Environmental Cooperation.

Through Pillar IV, Pathways countries engage in, among other things, cooperation activities to ensure that agricultural production aligns with best practices for natural resource conservation and environmental protection. The increase in demand for sustainably-produced goods presents an opportunity to promote the adoption of practices that conserve biodiversity and prevent deforestation, soil erosion, and pollution of water resources. The project supported by this cooperative agreement will help small producers take advantage of and benefit from increased market opportunities for sustainably-produced agricultural goods. In doing so, we hope to improve livelihoods and support Pathways countries’ transition into a green economy.

The proposed activity should build on positive results and ongoing initiatives in Pathways countries in support of sustainable agriculture. In addition to supporting broader efforts to increase market access for smallholder farmers or producers implementing sustainable agriculture practices, the activity should strive to promote inclusive economic growth, environmental and business management best practice sharing, and local capacity building. Special consideration will be given to proposals addressing supply chains that help prevent or reduce deforestation. The proposed activity may also address issues such as competitiveness, global supply chain connections for environmental goods and services, entrepreneurship, education, and training. The proposed activity should incorporate at least three of the following countries: Costa Rica, the Dominican Republic, El Salvador, Guatemala, Honduras, Nicaragua, or Panama. 1B. Program Goal

The overall goal of this cooperative agreement is to support inclusive economic growth and natural resource conservation in Pathways partner countries by increasing market access for smallholder farmers or producers implementing sustainable agriculture practices.

1C. Expected Results

Specific results will depend on the particular country involved, the specified value or supply chain, and the target guild or group; but, could include the following:

 Capacity built among smallholder farmers or producers to access markets for sustainably-produced agricultural products;  An increase in local technical capacity to help increase market access for smallholder farmers or producers implementing sustainable agricultural practices;  Demonstrated commitment from the private sector to support sustainable agriculture and to engage in business transactions with smallholder farmers or producers implementing sustainable agricultural practices;  Quantifiable progress in increasing the number of smallholder farmers/producers, including women, indigenous communities, Afro-descendants, and/or vulnerable groups, receiving economic benefits from sustainably-produced agricultural products;  Progress in increasing the long-term economic viability of land under sustainable agricultural production.

1D. Illustrative Activities

To achieve the goals and expected results, the program should include activities that address the following:

 Coordinating with the DOS program officer, U.S. embassy, participating governments points of contact, and other U.S. government initiatives as appropriate to find synergies among their efforts and the ones developed under this project;  Identifying a specific value chain and target group (communities or associations), to work with and ways to leverage in country expertise; and  Designing a Monitoring and Evaluation Plan to effectively provide a need assessment, measure the baseline, the recommended intervention, , quantify progress, and impact of the program on an on-going basis. This should include performance indicators and effective methodologies for collecting data. Performance indicators should be time- bound and measurable and should include all relevant Foreign Assistance Indicators (http://www.state.gov/f/indicators/index.htm).

The program may also include activities that address the following:  Bringing smallholder farmers/producers, key community leaders, and private-sector representatives together to exchange experiences in the use of mechanisms to best link to demand for sustainably-produced agricultural goods, including experiences in production and business management best practices;  Facilitating the participation of female small farmers/producers in proposed activities;  Conducting follow-up visits as appropriate to provide technical support if needed;  Facilitating business transactions and partnerships between smallholder farmers or producers and local or international exporters to encourage the adoption of sustainable agriculture production practices; and  Disseminating success stories and lessons learned from the implementation of pilot projects and partnerships.

1E. Performance Indicators

The project should monitor and report on performance indicators that are specific, measurable, achievable, reasonable, and time-bound. Establish, where possible, need assessment, performance baseline data and expected performance targets for each expected result, and include details on what sources of data will be used to document performance, how the indicators will be measured, frequency of measurement, and units of measure. Potential indicators for this project could include:

 Number of female and male farmers and others who have applied new technologies or management practices as a result of USG assistance.  Number of public-private partnerships formed as a result of USG assistance.  Number of women’s organizations/associations assisted as a result of USG supported interventions.  Number of members of producer organizations and community based organizations receiving USG assistance.  Number of private enterprises, producer organizations, water users associations, trade and business associations and community-based organizations (CBOs) who have applied new technologies or management practices as a result of USG assistance.  Number of micro, small and medium enterprises receiving business development services from USG assisted sources.  Number of male and of female owners of micro, small and medium enterprises.  Increases in prices and consistency of sales of sustainably produced goods by participating producers.  Number of hectares in areas of biological significance under improved management as a result of USG assistance.  Number of hectares under improved natural resource management as a result of USG assistance.  Number of hectares under improved technologies or management practices as a result of USG assistance.  Number of people receiving USG supported training in natural resources management and/or biodiversity conservation.  Relevant Foreign Assistance Indicators (http://www.state.gov/f/indicators/index.htm)

1F. Additional Strategic and Program Principles

Local Involvement: The project should demonstrate efforts to reach out to local communities and organizations and involve them in the design and implementation of the project in order to increase awareness of markets for sustainably-produced goods and the benefits of adopting sustainable agriculture practices.

Utilize Local Resources and Expertise: When possible, the applicant is encouraged to utilize local country nationals in order to promote local training capacity, reduce cultural barriers, and build local knowledge. Also encouraged is the leverage and involvement of regional institutions and expertise such as educational institutions.

Program Expansion: In the event of a successful project, DOS will consider the option of expanding the project to other areas or countries in the region, subject to available funding, in the future. Applicants may include in their proposal a brief section outlining how additional funds could potentially be used to expand work into further activities or additional countries in future years. Applicants may also want to consider how their project might leverage further funding through international organizations and the private sector.

Gender: Grantees should provide a short paragraph for how the organization integrates, or takes into consideration, gender. Specifically, how gender is taken into consideration at the program inception, implementation, management and evaluation (if applicable). This can include, but is not limited to, the organization’s gender policy, gender monitoring tools, or output indicators. Activities under this award 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/GenderEqualityPolic y.pdf).

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. DOS has funding available for a single grant of up to 247,500 USD. The initial period of performance will be 18-30 months. Depending on the quality of performance and other factors, DOS 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 DOS and the Recipient mutually agrees.

Summary of Award Information

Type of Award Cooperative Agreement

Anticipated Fiscal Year Funds FY 2011

Approximate Total Funding 247,500 USD

Approximate Number of Awards 1

Anticipated Award Date September 2012

Anticipated Project Completion Date March 2015

Timeline for Award Adjudication

Deadline for Applications 5 P.M. EST on June 15th, 2012

Application review and selection by July 16th, 2012

Notification of Project Approval/Disapproval and by September , 2012 Grant Signing 2B. Award Management

The Department of State (DOS) will award one cooperative agreement for the implementation of this project. In a cooperative agreement, the Bureau of Oceans and International Environmental and Scientific Affairs at the DOS is substantially involved in program activities. The activities and responsibilities of the DOS are as follows:

• Review and approve implementation plan to achieve expected results (Section 1C); • Review and recommend approval for any subawards; • Facilitate communication with U.S. agencies, officials from participating countries, other implementers, and Pathways points of contact; • Review and approve written materials utilized for dissemination; • Help promote the project when relevant.

The Recipient must ensure that all funds are used in a manner consistent with U.S. Government laws on the use of foreign assistance funds, including any applicable restrictions on funding.

Section 3. Eligibility Information

3A. Eligible Applicants

Eligibility is limited to non-profit/nongovernmental organizations (NGOs) subject to section 501(c)(3) of the U.S. tax code, foreign not-for-profit organizations, educational institutions, and to public international organizations. Applicants must have technical expertise in sustainable agriculture and market access in relevant Pathways countries. Expertise in and established relationships with governmental and non-governmental organizations, and private sectors in the countries in which the project will be conducted will be considered favorably. There are no limitations on the number of not-for-profit/non-governmental organizations working within each country nor are they limited to work in multiple countries.

This program does not require cost-sharing; however, the ability of the organization to leverage resources will be evaluated; see Section 5. Applications that include additional in-kind and/or cash contributions from non-U.S. Government sources will be more competitive, since cost- sharing demonstrates a strong commitment to the proposed activities and will be considered to show great cost effectiveness.

See Appendix 1 for Technical Eligibility. Section 4. Application and Submission Information

Please read carefully the entire announcement and follow the guidelines of the Proposal Submission Instruction (PSI) document in Appendix 1before sending inquiries or submitting proposals. Once the RFA deadline has passed, OES staff may not discuss this competition with an applicant until the proposal review process has been completed.

4A. Requesting an Application Package

This RFA contains all of the information and links necessary for potential applicants to apply. This RFA and all required forms can be downloaded at www.grants.gov. If you have trouble obtaining them, please contact Maina Martir-Torres by email at [email protected] or by phone at 202-647-4750 with your request.

4B. Content and Form of Application Submission

Please read the entire RFA and follow the guidelines for proposal preparation in the Proposal Submission Instructions (PSI) document in Appendix 1.

Any prospective applicant who has questions concerning the contents of this RFA should submit them by email to [email protected]. Please refer to the funding opportunity that is automatically generated in GrantSolutions. Any updates about this RFA will also be posted on www.grants.gov.

4C. Submission Method and Dates

Completed applications should be submitted electronically through www.grants.gov. Please follow all RFA instructions carefully and start early to ensure you have time to collect all of the required information. All applications must be submitted by 5:00 pm Eastern Daylight Time (EDT) on June 15, 2012. OES will email applicants to acknowledge receipt of their application. It is each applicant’s responsibility to monitor for confirmation of receipt from OES. Applications received after the deadline will not be considered. Direct all questions regarding grants.gov registration and submissions to a grants.gov Customer Service Representative. The Customer Service Center can be reached at 1-800-518-4726 or at [email protected]. The center is open Monday through Friday, 7 AM to 9 PM EST.

4D. Proposal Narrative Guidelines

An important part of the application is the Proposal Narrative. The Proposal Narrative, which shall not exceed ten pages, should be organized using the following section headings: Executive Summary, Organizational Capacity and Past Performance, Program Strategy, Performance Monitoring and Evaluation, and Management Plan. The key information to include in each section is described below. The point value shown for each section indicates its relative importance in the application review process. Please see Section 5 for more information. Evaluation values are based on five narrative components and two budget components. See Appendix 1 for additional guidance on the Proposal Narrative.

Narrative Components

1. Executive Summary, including rationale, goal, objectives, and expected results (5 points)

This section should be a succinct one-page summary containing information that the applicant believes best represents the rationale for its proposed program and includes: the name and contact information for the project’s main point of contact; the project’s purpose and expected results; and a one paragraph program description. This section will be evaluated based on how well the overall project proposal meets DOS goals and program objectives as outlined in this RFA.

2. Organizational Capacity and Past Performance (15 points) This section of the application provides information about the applicant organization and any proposed key partners. It provides evidence that the applicant has the ability to successfully carry out the program activities of the grant.  Provide a description of the applicant organization – including its general purpose, goals, annual budget (including funding sources), and major past and current activities and projects undertaken.

 Include a description of all key partners for this project and proposed working relationship with them. Applicants should clearly distinguish between partners with whom they intend to enter into a sub-granting relationship and those with whom they intend to collaborate, but not transfer program funds.  As an attachment, include a letter of institutional support of the proposed activities to be executed throughout the period of performance of the cooperative agreement.

 Discuss the applicant organization’s and key partners’ past experience in designing, implementing, monitoring, and/or evaluating programs similar to that requested.

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

3. Program Strategy (35 points)

 Propose a clear and realistic implementation plan to significantly address the Program Goals in Section 1B. Program strategy should demonstrate significant understanding of working with small producers to achieve access to markets for sustainably-produced goods in the countries included in the proposal. The proposal should describe the target value chain and group, and explain why the project is appropriate for the circumstances found in-country. The proposal should further outline the expected and achievable results for the project, which could include suggestions in Section 1C. It should also outline the relevant and appropriate Main Activities to accomplish the goals and expected results, which could include those found in Section 1D. Explain the assumptions on which the success of the project depends, and the involvement of other stakeholders. Be sure the plan also addresses each of the strategic and program principles described in Section 1F.

 In table format, please present a brief, one to two page work plan matrix with a timeline including target dates for activities for the life of the grant, which reflects the overall program approach, and objectives.

4. Performance Monitoring and Evaluation (15 points)

 Discuss how progress towards the expected results will be measured, as outlined by the Performance Indicators in Section 1E. Identify which performance indicators will be measured and how data on these indicators will be collected, analyzed, and used for program management. Present indicators linked to specific project objectives in table format and include source of data and proposed frequency of collection. See additional guidance in Appendix 1.

5. Management Plan (10 points)  Describe the proposed management structure for this project and provide a project organizational chart in the attachments. Include in the narrative a description of the responsibilities of all principal organizations and staff involved (including DOS, participating U.S. Embassies, and/or other key partners), reporting relationships, authority and lines of communication within and between each of these organizations.

 Include job descriptions and CVs of key staff (Project Director, etc.) as attachments, which demonstrate that the proposed key staff members are consistent with the requirements and needs of the project. The project should have a designated Project Director who will be expected to have lead responsibility for communicating with DOS and the appropriate U.S. Embassy. Note the location where key staff will be based.

Budget Components

1. Budget Appropriateness (10 points)

 Budgeted items are necessary to the achievement of the goals and activities as presented in the proposal.

2. Cost-effectiveness (10 points)

 Proposals keep estimated overhead and administrative costs as low as possible and have proposed expenditures that are reasonable, allowable, and allocable to the proposed project activities and reflect the applicant’s understanding of the allowable cost principles established by Office of Management and Budget (OMB) Circular A-122. Amount of funding contributed by the applicant, sub-awardees, and other partners shows a commitment to the success of the project.

See additional guidance on Budget preparation in Appendix 1.

Section 5. Application Review Information

5A. Evaluation Criteria and Selection Process

Each application will be evaluated and scored on the five part Proposal Components and the two part Budget Components using a 100 point scale by a peer review committee of Department of State and other experts, as appropriate. Proposal Narrative: The committee will score each of the five sections of the Proposal Narrative based on how completely they address the bulleted points described in the Proposal Narrative Guidance in Section 4D. The importance of each section is indicated by the maximum score as follows:

 Executive Summary –5 points  Organization Capacity and Past Performance – 15 points  Program Strategy – 35 points  Performance Monitoring and Evaluation – 15 points  Management Plan – 10 points

Budget: The committee will also review the budget components in Section 4D in order to assign up to 20 points for the overall program budget and cost-effectiveness.

 Budget Appropriateness – 10 points  Cost-effectiveness – 10 points

Section 6. Award Administration Information

6A. Award Notices

The grant shall be written, signed, awarded, and administered by the Grants Officer. The Grants Officer is the Government official delegated the authority by the U.S. Department of State Procurement Executive to write, award, and administer grants and cooperative agreements. The assistance award agreement is the authorizing document and it will be provided to the Recipient through either mail or facsimile transmission. Organizations whose applications will not be funded will also be notified in writing.

Issuance of this RFA does not constitute an award commitment on the part of the Government, nor does it commit the Government to pay for costs incurred in the preparation and submission of proposals. Further, the Government reserves the right to reject any or all proposals received.

6B. Administrative and National Policy

Prior to submitting an application, applicants should review all the terms and conditions and required certifications which will apply to this award to ensure that they will be able to comply. The terms and conditions are available on the State Department’s procurement website at: http://fa.statebuy.state.gov/

Applicants should plan to coordinate with DOS throughout the course of the agreement to ensure assistance is provided only to eligible participants.

6C. Reporting Requirements

The Recipient, at a minimum, shall provide DOS with the following reports. Please note that 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.

Financial Reports

Grantee is required to submit quarterly financial reports throughout the project period, using Form FFR SF-425, the Federal Financial Report form, as well as forms suggested by the Grants Officer Representative. If payment is made through the Payment Management System, all financial reports must be submitted electronically through the Payment Management System. Grantee is also required to upload to Grantsolutions.gov a portable document format (.pdf) version of all financial reports (Federal Financial report) they have submitted in the Payment Management System. Form FFR (SF-425) can be found on OMB’s website here: http://www.whitehouse.gov/omb/grants_forms/. Financial reports are due 30 days after the end of each quarter.

Progress Reporting

Grantee is required to upload all progress reports to the award file in Grantsolutions.gov. Progress reports must be submitted semi-annually. Grantees must submit Page 1 of the Performance Progress Report (SF-PPR), signed and completed as a cover page to progress reports, which should be compiled according to the objectives, outcomes, and outputs of the project as outlined in the statement of work below, consistent with the project proposal and monitoring and evaluation plan. Reports should also include an update on expenditures during the quarter. Progress reports should include:

 Significant activities of the period and how activities reflect progress toward achieving goals;  Evaluation of progress on goals/objectives with quantitative and qualitative data, as appropriate;  Any problems/challenges in implementing the project and a corrective action plan;  Evaluation of accomplishments with quantifiable information on goals and objectives to date as available, including reporting on agreed-upon indicators;  An update on expenditures during the month; and  Supporting documentation or products related to project activities (such as surveys, travel, etc.).

Progress reports should also reflect the grantee’s continued focus on measuring the project’s impact on the overarching goals or problems the project set out to address. An assessment of the overall project impact, as appropriate, should be included in each quarterly project report.

Final Report

The final report will be due no later than ninety days after completion or termination of all project activities. The Final Report shall include the following elements: executive summary, successes, outcomes, how the project works within the larger effort to help small farmers or producers access markets for sustainably-produced goods, best practices, challenges, how the project addresses social inclusion and gender issues in sustainable agriculture, and a final financial report.

Section 7. Agency Contact

Any prospective applicant who has questions concerning the contents of this RFA should email them to Maina Martir-Torres at [email protected].

Note that once the Request for Proposals deadline has passed State Department staff in Washington DC and overseas at U.S. Embassies/Missions may not discuss this competition with applicants until the review process has been completed.