DEMOCRACY FELLOWS AND GRANTS PROGRAM RESEARCH AND INNOVATION GRANTS REQUEST FOR APPLICATIONS: UNDERSTANDING SOCIAL MOVEMENTS

Transcription

1 DEMOCRACY FELLOWS AND GRANTS PROGRAM RESEARCH AND INNOVATION GRANTS REQUEST FOR APPLICATIONS: UNDERSTANDING SOCIAL MOVEMENTS

2 CONTENTS I. SUMMARY OF FUNDING OPPORTUNITY...1 A. Eligibility Criteria... 2 II. CASE STUDY DESCRIPTION...2 A. Case Study Requirements... 3 III. APPLICATION INSTRUCTIONS...3 A. Technical Application... 4 Annexes to the Technical Application... 4 B. Cost Application... 5 C. Application Submission Checklist... 5 IV. PROPOSAL SELECTION CRITERIA...5 A. Technical Application Evaluation Criteria... 5 B. Cost Application Evaluation Criteria... 6 V. APPARENTLY SUCCESSFUL APPLICANT...6 VI. TERMS AND CONDITIONS...7 A. Modifications to RFA... 7 B. Roles and Responsibilities... 7 C. Grant Agreement... 7 D. Grant Payment... 8 E. Monitoring... 8 F. Intellectual Property... 8 G. Standard Provisions... 8 Indirect rates... 8 Human Subjects... 8 Activities that will not be considered for funding... 9 Prohibited Goods and Services... 9 Restricted Goods... 9 Geographic Code International Travel Non-Expendable Equipment SAM.gov... 10

3 Acronym List CSO DFG DRG Center EEO FAA FOG IIE RFA SAM USAID USD USG civil society organization USAID s Center of Excellence on Democracy, Human Rights, and Governance Ensuring Equal Opportunity Foreign Assistance Act fixed obligation grant Request for Application System of Award Management United States Agency for International Development United States Dollars United States Government

4 I. SUMMARY OF FUNDING OPPORTUNITY This Request for Applications (RFA) is a research grant opportunity to support USAID s Center of Excellence on Democracy, Human Rights, and Governance (DRG Center) in learning how better to identify, understand, and support the informal networks, systems, and leadership that have characterized the social movements of the Arab Spring. This RFA is issued under the USAID-funded (DFG), managed by the (IIE). Through this RFA, IIE plans to award one fixed obligation grant (FOG) to a scholar or group of scholars to conduct a case study analysis of recent social movements in the Middle East and North Africa region, according to the specifications presented in Section II: Case Study Description. The grant will be awarded to the scholars affiliated institution. The period of performance for this grant will be eight (8) months, and the maximum amount available will be $50,000. The amount of the grant award is subject both to the availability of funds and to the quality and viability of applications received. IIE reserves the right to make one award or no awards at all under this RFA. This RFA is issued worldwide as a public notice to ensure that all interested, qualified institutions have a fair opportunity to submit applications for funding. IIE will accept applications from US and non-us colleges, universities, research institutions, think tanks, or other non-profit organizations that conduct research in relevant fields. Both public and private colleges and universities are eligible, provided they are not formed primarily for commercial or business purposes. Applications from non-us institutions that are ineligible for assistance under USG laws will not be accepted. Funding mechanism: fixed obligation grant (FOG) Estimated total number of awards: 1 Estimated award size: $50,000 Length of grant period: 8 months Social Movements RFA Quick Facts Questions: Questions may be submitted at any time during the APS open period to dem.grants@iie.org; applicants will benefit most from early submission of any questions. IIE will post questions (without attribution) and answers on the DFG website: Submission: electronic, via dem.grants@iie.org. Application deadline: December 10, 2013, at 11:59 PM EST Currency of grant award: US Dollars (USD) for US organizations; local currency for non-us organizations, with an established, not-to-exceed ceiling amount in USD. Research and Innovation Grants RFA: Understanding Social Movements 1

5 A. ELIGIBILITY CRITERIA Applicant must: Either be or be affiliated with a public or private university, research institution, think tank, or other organization. Be a legally registered entity, according to the laws of the country in which it operates. Be eligible for assistance under USG laws. Have Data Universal Numbering System (DUNS) number. 1 II. CASE STUDY DESCRIPTION The social movements of the Arab Spring brought protesters onto the streets in several countries in and beyond the Middle East, leading to unprecedented political transitions and changes that still reverberate across the region and throughout the world. These social movements brought millions to the streets, including groups from diverse religious and political backgrounds Christian, Muslim, women, youth, civil society organizations (CSOs), and labor groups. Traditionally, the international development community, including USAID, has focused mainly on supporting formal civil society actors (usually in the form of CSOs). These formal actors have defined demands, policy goals, and constituencies with whom they communicate strategically. Yet, the success of a social movement be it for political, economic, labor, or gender rights also depends on informal actors. The Arab Spring brought the power of citizen-led movements to the forefront of public discourse and exposed a key learning gap in the DRG Center s knowledge how best to engage with these informal civil society actors. This grant is designed to fund scholar(s) to develop a case study that analyzes 21 st Century social movements to support the DRG Center in better understanding their dynamics. The proposed case study offers an important opportunity for the DRG Center to better understand the dynamics of contemporary social movements, for which contexts vary widely and the interests of populations can differ significantly, yet the demand for transparent and accountable governance appears to be universal. This case study also will inform opportunities for the DRG Center and other USAID operating units to further explore ways to engage with informal civil society actors within social movements. USAID is interested in case study analysis that addresses, at a minimum: a. The main actors in the social movements and their roles: participants, organizers, other; whether and how those roles were structured or fluid. b. The interaction of informal civil society (such as bloggers, social networks, unregistered groups) and more formal civil society (such as registered CSOs, organized media). c. The potential triggers for social movements and political protests. d. Information dissemination within and outside the movement: what is communicated by whom, to whom, and through which medium. e. Participation of marginalized voices such as women and youth. f. Results: what did the respective movements accomplish since their emergence, and how partnerships between formal and informal actors are sustained (if at all). 1 DUNS numbers may be obtained through the following site: Research and Innovation Grants RFA: Understanding Social Movements 2

6 g. Interaction of social movements with external forces such as international donors, diplomatic efforts, etc. h. What the analysis reveals about how donors can engage and support social movements. A. CASE STUDY REQUIREMENTS The grantee will be responsible for conducting a case study analysis that meets the following specifications. 1. A final report in the range of , double-spaced pages, of which about 10 should be devoted to a summary synthesis and critique of existing theoretical literature on social movements. 2. In addition, the report must be accompanied by an executive summary of no more than 5 pages that captures key findings for a layman audience. 3. The draft report will be completed by Month 6 of the eight-month grant. Once the report is completed and approved, the grantee will present the draft report at a half-day workshop in Washington, DC, to be held in Month 7 of the grant. The workshop will not be covered by grant funds, and the grantee should budget only travel and expenses for their research team to attend the workshop. The workshop will be organized by USAID and IIE and attended by USAID staff and key scholars of social movements. The workshop will provide a forum for peer review of the findings and for discussion on what the findings suggest for donors like USAID. The grantee will retain responsibility for the final report product, but will either incorporate the workshop comments in the final report or append a response to the report explaining why comments were not integrated. 4. The DRG Center is not defining the case study selection. Applicants should present their approach in their proposals. USAID will accept proposals for either a comparative analysis or individual case studies of two to three cases. The cases will be selected by the researcher and proposed in their response (see Section III: Application Instructions). III. APPLICATION INSTRUCTIONS Applications include two components: a Technical Application and a Cost Application. Applications may be submitted to dem.grants@iie.org in.doc,.docx, or.pdf (searchable) formats. Any pages submitted in excess of the limitations and requirements detailed in this section will be discarded and will not be reviewed, including any annexes other than those required. If an applicant experiences technical difficulties with submission, the applicant may contact IIE at , no later than 12:00PM EST on the date of submission. Incomplete or late applications will be considered non-responsive and ineligible. IIE reserves the right to ask questions of applicants and to invite organizations to apply. An invitation to submit a proposal does not constitute a commitment to award. Under no circumstances will IIE reimburse any costs that applicants may incur in the preparation or submission of an application. Research and Innovation Grants RFA: Understanding Social Movements 3

7 A. TECHNICAL APPLICATION A complete Technical Application includes a technical proposal and three (3) technical annexes. All application documents must be prepared in Times New Roman 11 or relative font, single-spaced, on Letter (8.5 x 11 ) or A4 (8.27 x ) paper, with one-inch (1 ) margins. Page limits must be strictly adhered to, and material that exceeds the page limit will not be reviewed. The technical proposal includes the following sections and is limited to 10 single-spaced pages; anything over the 10 pages will not be accepted. 1. Title Page (1 page, not counted against page limit), including: a. Name and address of organization b. Principal location of business c. Type of organization d. Project Title e. Primary technical point of contact (name, title, address, telephone number) f. Partners, if any g. Total amount of funding requested h. Name and signature of representative authorized to enter into legally binding agreements for the applicant 2. Background: Applicants should present a brief understanding of social movements and how an understanding of these informal movements and groups of individuals has evolved. 3. Technical Approach: Applicants should present their research methodology and discuss how it will meet the requirement in Section II: Case Study Description. Applicants should discuss how the case study analysis will be constructed, the theoretical grounding of their proposed analysis, and the rationale behind their selection approach. 4. Capability Statement: Applicants should demonstrate the capability of their institution and scholar(s) to conduct innovative research on social movements. 5. Works Cited (not counted against the page limit): Full citations must be provided for research referenced in the technical proposal. ANNEXES TO THE TECHNICAL APPLICATION Applicants also should submit the following annexes: Annex 1: CV(s) of proposed scholar(s) (2 pages maximum for each): Applicants should submit the CV(s) of proposed scholar(s) who will be the primary researcher(s) on the grant. CVs can follow any format within the page limit, but must include a list of the five most relevant publications by the primary researcher(s). Should the application be successful, the primary researcher(s) may be designated as key personnel, in which case the grantee would need to receive IIE approval before replacing the primary researcher(s). Research and Innovation Grants RFA: Understanding Social Movements 4

8 Annex 2: Project Timetable: Applicants should complete the Project Timetable template attached with the RFA, detailing the preferred start and end months for the eight-month grant period and proposing due dates for the key grant deliverables. IIE will award a fixed obligation grant (FOG) for this grant, and grant payments will be made once the deliverables for each result are received and approved; this timeline will the basis for negotiation of the grant milestones for the successful applicant. Ensuring Equal Opportunity (EEO) survey: Applicants also are asked to download and submit the EEO survey, attached with this RFA. Submission of the EEO survey is optional. B. COST APPLICATION Applicants should complete the Project Budget template attached to the RFA. All costs charged to the grant will be evaluated applying US Government guidance as provided in FAR 31, A-21, and A-122 and must be reasonable, allocable, allowable, and accountable: Reasonable Necessary to complete grant activities. Allocable Incurred specifically for this grant. Allowable Conform to limitations of federal funding. Accountable Based on legal transactions and supported with documentation. Cost share is encouraged and will be reviewed as part of the cost application. C. APPLICATION SUBMISSION CHECKLIST Title Page Technical Proposal Works Cited CVs (as annex) Project Timetable (as annex) EEO Survey (optional) Cost Application IV. PROPOSAL SELECTION CRITERIA The successful applicant will be the one whose combined technical and cost applications receive the highest total score, based on the criteria below. A. TECHNICAL APPLICATION EVALUATION CRITERIA The technical application will be worth a total of 90 points: Technical Merit (35 points): Applications will be evaluated on: The strength of their technical understanding of social movements specifically, the social movements of the Arab Spring. This technical understanding should indicate how social Research and Innovation Grants RFA: Understanding Social Movements 5

9 movements incorporate and reflect the needs of marginalized populations, including women and youth. Soundness of their approach to designing and developing a case study analysis that will meet the specifics described in Section II: Case Study Description. Technical Methodology (35 points): Applications will be evaluated on the rigor and soundness of their methodology for constructing and completing the case study analysis. Research Team (20 points): Applications will be evaluated based from the CVs and capability statement and be scored on the depth and relevance of previous research work and/or publications. B. COST APPLICATION EVALUATION CRITERIA The cost application will be worth a total of 10 points and will be evaluated for cost realism and cost effectiveness and on: 1. Each item s being necessary to complete the work proposed in the technical application. 2. All work in the technical application being represented in the budget. 3. The applicant s understanding of the requirements of this APS. 4. The proposed prices are appropriate and competitive. Applicants must also demonstrate the reasonableness of the amount they request. There is a maximum of $50,000 available; however, applicants must clearly demonstrate the need for the grant amount they request. Any cost share included as part of the cost application will be reviewed in relation to overall cost effectiveness. V. APPARENTLY SUCCESSFUL APPLICANT The applicant recommended to receive a grant under this RFA will be provided detailed guidelines and templates to finalize the grant agreement and will be supported by IIE during that process. Funding will be contingent upon satisfactory completion of the necessary templates. It is anticipated that a completed grant package should be finalized one (1) month after the invitation has been delivered to a selected applicant. Except in exceptional circumstances, applicants will be held to the funding ceiling proposed in the original budget; however, IIE reserves the right to request applicants to adjust the technical and cost application to reflect available funding levels. Apparently successful applicants also will be asked to submit: Current and past performance information, which will include a complete list of all grants, contracts, or cooperative agreements, involving ONLY similar or related programs, which their organization has managed for the past three (3) years. The lack of past performance information does not disqualify an applicant from receiving a grant. The Certifications, Assurances, and Other Statements, duly dated and signed. All the highlighted sections must be completed. Research and Innovation Grants RFA: Understanding Social Movements 6

10 A Branding Strategy and Marking Plan that is consistent with USAID regulations and with IIE s Branding Strategy and Marking Plan for the DFG program, using the template provided. The Branding Strategy and Marking Plan will be developed and approved prior to the final award, and will be attached to the Grant Agreement. In addition, all apparently successful grantees will participate in a pre-award survey process to determine ability to manage a USAID-funded grant. During this process, IIE may suggest systems or personnel which may be needed to ensure compliance with USAID rules and regulations. VI. TERMS AND CONDITIONS A. MODIFICATIONS TO RFA This RFA may be amended at any time prior to grant award; due notice of any revisions will be provided on the DFG website and applicants will be given a fair and equal opportunity to apply, or to reapply, against materially new standards, criteria, or instructions. Applicants are invited to check the website frequently as no notice of postings will be issued. B. ROLES AND RESPONSIBILITIES IIE will be the point of contact with Grantees on all administrative and technical points. USAID will work closely with IIE to ensure that grant goals and deliverables meet USAID needs, and USAID input will be reflected in IIE s technical feedback. The table below illustrates the roles and responsibilities of IIE and USAID. IIE Publish and RFA. Negotiate grant award and prepare full grant packages. Manage grant reporting, payment, and compliance. Serve as point of contact for Grantees. Support Grantees in grant management. Manage grant closeout. Administratively approve all deliverables. USAID Establish priority research areas and funding levels. Oversee grant selections; manage final award decisions. Approve grant selection. Approve travel and other items requiring prior USAID approval. Provide technical review input on draft and final research deliverables. C. GRANT AGREEMENT Once fully executed, the Grant Agreement is a legally binding agreement between IIE and the recipient organization. Once the Grant Agreement is signed, it can be modified only by IIE. Please see the DFG Grant Manual for details on the modification process. Research and Innovation Grants RFA: Understanding Social Movements 7

11 D. GRANT PAYMENT Payment will be made at the point that a milestone s deliverables have been submitted and approved by IIE. See the DFG Grant Manual for more details. IIE will pay US-based Grantees in USD. Non-US Grantees will be paid in their local currency, based on a not-to-exceed amount expressed in USD. Payment information will be collected from non-us Grantees at the point of setting up the grant. E. MONITORING The grantee is required to maintain good quality, transparent, supported financial records for all grantrelated costs. The recipient must make its records available, upon request, for review by IIE, USAID, or their representatives. IIE also reserves the right to conduct independent verification of milestones and to conduct unannounced spot checks of grant activities. IIE reserves the right to review finances, expenditures, and any relevant documents at any time during the project period and for three (3) years after the completion of the project and closeout. Receipts and other documentation related to the DFG grant must be retained by the recipient for three (3) years after the formal closeout of the grant has been completed. F. INTELLECTUAL PROPERTY Unless otherwise stipulated in the Grant Agreement, the grantee should expect that grant products, selections from products, or data/findings from products also may be incorporated in USAID knowledge management system, strategy documents, policies, procurement, and/or programs, at USAID s discretion. For further details, consult the relevant standard provision. Any and all data resulting from awards must be made publicly available at the conclusion of the grant award period. Furthermore, in accordance with 22CFR226.36, the recipient may copyright any work that is subject to copyright and was developed, or for which ownership was purchased, under an award. USAID reserves a royalty-free, nonexclusive, and irrevocable right to reproduce, publish, or otherwise use the work for Federal purposes, and to authorize others to do so. G. STANDARD PROVISIONS IIE is required to respect the provisions of the US Foreign Assistance Act (FAA) and other US laws and regulations. The DGF grant program is administered according to USAID s regulations and IIE s policies and procedures. These include: INDIRECT RATES Indirect rates that have not been approved by a USG agency in a NICRA may not be charged to this award. All costs charged to the project should be directly related to the project s implementation. For additional information, see HUMAN SUBJECTS Research and Innovation Grants RFA: Understanding Social Movements 8

12 Where a proposed research activity includes the use of human subjects, applicants must comply with the applicable USAID Standard Provision: PROTECTION OF HUMAN RESEARCH SUBJECTS (JUNE 2012). ACTIVITIES THAT WILL NOT BE CONSIDERED FOR FUNDING In keeping with the conditions above, programs that fall within the following categories, or indicate they might participate in any one of the following, will be automatically disqualified: a. Research related to the promotion of specific political parties b. Research related to the promotion of a particular faith c. Unrelated operational expenses PROHIBITED GOODS AND SERVICES Under no circumstances will a DFG grantee procure any of the following with funds provided under an IIE grant, as these items are excluded by the FAA and other legislation that governs USAID funding: a. military equipment b. surveillance equipment c. commodities and services for support of police or other law enforcement activities d. abortion equipment and services e. luxury goods and gambling equipment f. weather modification equipment Programs that use grant funding to purchase any of these will be disqualified. RESTRICTED GOODS The following costs are restricted by USAID and require prior approval from IIE and USAID: a. agricultural commodities b. motor vehicles c. pharmaceuticals d. pesticides e. fertilizer f. used equipment g. USG-owned excess property GEOGRAPHIC CODE 937 All goods and services must be procured from countries within the geographic code 937. Applicants must identify any individual item or service procured from a country not included in the geographic code 937. Should applicants fail to do so, the specific cost(s) will be disallowed. For more information on geographic code 937, review ADS 310: Source and Nationality Requirements for Procurement of Commodities and Services Financed by USAID and 22CFR228. Research and Innovation Grants RFA: Understanding Social Movements 9

13 INTERNATIONAL TRAVEL Per the terms of IIE s agreement with USAID, any proposed international travel funded through a DFG grant and mentioned in a grant milestone must receive USAID approval. Travel will need to comply with the Fly America Act. NON-EXPENDABLE EQUIPMENT Funding of non-expendable equipment (defined as having a unit value of $5,000 or more, and a life of 1 year or more) is not anticipated. However, in the event that applicant requests funding of nonexpendable equipment, it should be noted that such purchase requires prior IIE approval and that certain restrictions apply. Applicant should clearly state the purpose of the equipment, as well as the specifications and source (country, nationality). SAM.GOV Successful applicants, if not already registered with SAM.gov, will be required to register prior to issuance of a grant. This one-time registration is done via the internet at The registration will command a fee, currently listed at $599, which will be an allowable cost under the grant. Research and Innovation Grants RFA: Understanding Social Movements 10