PKG00258533-instructions.pdf

United States Department of State

Bureau of International Narcotics and Law Enforcement Affairs (INL)

Notice of Funding Opportunity (NOFO) – SAMS Overseas

Announcement Type: Request for Federal Assistance Awards Applications

Public Opportunity Title: Modernization of the Police Preventive Model: Creation and Implementation of the Problem-Oriented Police

Strategy

NOFO Opportunity Number: INL20CA0017-CostaRica-PoliceStrategy

Catalog of Federal Domestic CFDA 19.704 Counternarcotics

Assistance (CFDA) Number:

Funding Amount Ceiling: $400,000 U.S. Dollars

Funding Amount Floor: $300,000 U.S. Dollars

NOFO Issuance Date: February 24, 2020

Deadline for Receipt of Questions: March 24, 2020

5:00 PM Eastern Standard Time

Application Submission Deadline: April 24, 2020

11:59 PM Eastern Standard Time via www.grants.gov

Program Type: INL/Program Office program initiative

Grant Program: Central America Regional Security Initiative

Assistance Type: Grant

Eligibility Category: Eligible organizations may include:

U.S. based non-profit/non-governmental organizations

(NGOs);

U.S. based educational institutions having a 501(c)(3) status with the IRS;

Overseas-based non-profit/non-governmental organizations (NGOs);

Overseas-based private/state educational institutions.

Applicant Type: Organizations only http://www.grants.gov/

Cost Sharing Requirement: Not required but recommended

INL Points of Contact: Katelyn Smith (SmithKB@state.gov)

Carla Ortega (OrtegaCM@state.gov)

Any questions concerning this NOFO should be submitted in writing to SmithKB@state.gov.

The deadline for submission of questions for this NOFO is March 24, 2020 at 5:00 PM EST.

Responses to questions will be made available to all potential applicants as an attachment to this

NOFO and posted on www.grants.gov .

EXECUTIVE SUMMARY

The mission of the State Department’s Bureau of International Narcotics and Law Enforcement

Affairs (INL) is to minimize the impact of international crime and illegal drugs on the United

States, its citizens, and partner nations by providing effective foreign assistance and fostering global cooperation. This mission, which centers on helping our partner nations establish a capable and accountable criminal justice sector, was expanded during the past decade to include stabilizing post-conflict societies through criminal justice sector development and reform. This mission supports peace and security by stabilizing and strengthening security institutions and by combating narco-trafficking and other transnational crimes such as money laundering and criminal gangs. It promotes just and democratic governments by strengthening justice sector institutions, good governance and respect for human rights.

INL combines forces with other U.S. Government (USG) and international agencies and takes a regional approach to widespread problems. INL also encourages more developed governments to take responsibility as equal partners in global efforts to combat transnational crime, including drug trafficking. The Bureau’s priority programs support three inter-related objectives:

• BUILDING CRIMINAL JUSTICE SYSTEMS: Institutionalize rule of law by developing and expanding criminal justice systems to strengthen partner country law enforcement and judicial effectiveness, foster cooperation in legal affairs, and advance respect for human rights;

• COUNTER-NARCOTICS: Disrupt the overseas production and trafficking of illicit drugs through targeted counter-narcotics and institution-building assistance and coordination with foreign nations and international organizations, and;

• TRANSNATIONAL CRIME: Minimize the impact of transnational crime and criminal networks on the United States and its allies through enhanced international cooperation and foreign assistance.

mailto:SmithKB@state.gov mailto:OrtegaCM@state.gov mailto:SmithKB@state.gov

NOTICE OF FUNDING OPPORTUNITY

The United States Department of State, Bureau of International Narcotics and Law Enforcement

Affairs INL is seeking applications from qualified and eligible organizations for a grant to implement a program entitled “Modernization of the Police Preventive Model: Creation and

Implementation of the Problem-Oriented Police Strategy.” The authority for this Notice of

Funding Opportunity (NOFO) is found in the Foreign Assistance Act of 1961, as amended.

Pursuant to 2 CFR 200.400g, it is U.S. Department of State policy not to award profit under assistance instruments. All direct and indirect reasonable, allocable, and allowable expenses, however, that are related to the agreement program and are in accordance with applicable cost standards (2 CFR 200 for U.S. and overseas-based non-profit organizations, and education institutions) may be paid under the grant. NOTE: overseas-based nonprofit organizations are legally required to comply with 2 CFR 200.

To be eligible for an award, the applicant must submit all required information and documents in its application through www.grants.gov including the requirements found in any attachments to this funding opportunity.

Issuance of this NOFO does not constitute an award commitment on the part of the U.S.

government, nor does it commit the U.S. government to pay for costs incurred in the preparation and submission of an application. In addition, final award of any resultant grant agreement cannot be made until funds have been fully appropriated, allocated, and committed through internal INL procedures. While it is anticipated that these procedures will be successfully completed, potential applicants are hereby notified of these requirements and conditions for award. Applications are submitted at the risk of the applicant. All preparation and submission costs are at the applicant's expense.

TABLE OF CONTENTS

SECTION I – PROGRAM DESCRIPTION

SECTION II – FEDERAL AWARD INFORMATION

SECTION III – ELIGIBLITY INFORMATION

SECTION IV – APPLICATION AND SUBMISSION INSTRUCTIONS

TAB A: PROPOSAL GUIDELINES

TAB B: PROGRAM MONITORING AND EVALUATION PLAN, LOGIC

MODEL, and PROGRAM RISK ANALYSIS

TAB C: BUDGET GUIDELINES

SECTION V – APPLICATION REVIEW INFORMATION

SECTION VI – FEDERAL AWARD ADMINISTRATION INFORMATION

GRANTS.GOV TIPS

This funding opportunity is posted on www.grants.gov and may be amended. See Section IV for further details. Potential applicants should regularly check the website to ensure they have the latest information pertaining to this NOFO. Applicants will need to have available or download the most updated version of the Adobe program to their computers to view and save the Adobe forms properly. If you have difficulty registering on www.grants.gov or accessing the NOFO, please contact the www.grants.gov helpdesk at: 1-800-518-4726, International callers: 1-606-

545-5035, or via email at support@grants.gov for technical assistance. The Contact Center is available 24 hours a day, seven days a week (except federal holidays).

See https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/ for a list of federal holidays.

You may also obtain online assistance at:

https://www.grants.gov/web/grants/applicants/applicant-faqs.html or https://www.grants.gov/help/html/help/GetStarted/Get_Started.htm.

INL encourages applicants to submit their applications during normal business hours (Monday

– Friday, 9:00AM - 5:00PM Eastern Standard Time). If an applicant experiences technical difficulties and has contacted the appropriate help desk, but is not receiving timely assistance, (e.g. if you have not received a response within 48 hours of contacting the help desk), you may contact the INL point of contact listed in the NOFO. The point of contact may assist in contacting the appropriate help desk, but an applicant should also document their efforts in contacting the help desk. Applicants may also contact the INL point of contact listed in the NOFO if experiencing technical issues with grants.gov that may result in a late submission.

Applicants experiencing technical difficulties should follow these three steps:

1) Contact the help desk for Grants.gov immediately.

2) Document (including screenshots) technical issues AND efforts to contact the help desk. Provide ticket number(s) and/or reference number(s) provided by the helpdesk in order to assist with the technical issue(s).

Note: The INL Grants Officer will determine technical eligibility of all applications and allowability of acceptable proposal submissions if applicants experience technical difficulties without a resolution.

It is the responsibility of the recipient of this NOFO document to ensure that it has been received from www.grants.gov in its entirety. INL bears no responsibility for data errors resulting from transmission or conversion processes associated with electronic or late submissions.

http://www.grants.gov/ mailto:support@grants.gov https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/ https://www.grants.gov/web/grants/applicants/applicant-faqs.html https://www.grants.gov/help/html/help/GetStarted/Get_Started.htm

SECTION I – PROGRAM DESCRIPTION

BACKGROUND

In 2012, the Ministry of Public Security of Costa Rica designed a model of the police service implemented by quadrant, which aimed to improve the quality of service provided to citizens by assigning specific responsibilities to police officers who serve in a small geographical area, called a quadrant. However, seven years later the police service model is not being implemented in all police stations in the country and, where it is being implemented, there is no evidence that the model has achieved its main objective. For this reason, the Directorate of Public Force has expressed the need to optimize this police service model by incorporating the principles of the problem-oriented policing (POP) and evidence-based policing. This will enable evidence with targeting and scientific methods to improve the quality of police services, reducing crime rates and increasing the confidence and perception of security in Costa Rica.

The specific problem is that the current management model for the police force is ambiguous, inadequate and has no scientific basis, which makes the model urgent to be optimized in order to improve the police force's response to the population's security needs.

The purpose of this project is to design a police management model that incorporates innovative police strategies and integrates the different programs and projects of the Public Force, focusing in prevention programs. This new model will allow current INL programs to be incorporated into Fuerza Publica’s work plan and become part of the programs they have to improve security in each cantonment. INL programs such as “Sembremos Seguridad”, “Police work with Youth”, “Anti-Drug Community Coalitions” and “Hacete Escuchar” will become part of the Police’s programs. This new model will also put INL funded “Datapol” (police database) into the heart of the police model, making it the primary source of evidence and information for police officers.

This funding will support USG objectives under the Central America Regional Security Initiative

(CARSI). Within Central America, CARSI is enhancing the capabilities of national law enforcement, border and customs, prosecutorial, judicial, and prison agencies. These improvements are strengthening partner governments’ ability to fight burgeoning narcotics- and arms-trafficking, gangs and associated street and organized crime, which threatens the security of governments in the region. The success of programs under the CARSI framework will enhance citizen safety and advance a wide range of other United States and regional shared security priorities. These improved capabilities will also provide a stronger platform for sustained bilateral and multilateral partnerships between the United States, Central American nations, and other regional states.

PROJECT PURPOSE/DESCRIPTION

This project will have three major components:

1. Creation of the new police management model that incorporates innovative police strategies (based on the Problem Oriented Police model) and integrate the different programs and projects of the Public Force, focusing in prevention programs. This will include the optimization of the Quadrant Plan model in accordance with the national reality. This will also require the model to strengthen police action to provide a timely and effective response to citizens.

2. Incorporate INL’s Sembremos Seguridad in every police delegation in country, and include INL’s programs such as “Police and Youth”, “Anti drug Community Coalitions” and “Hacete Escuchar” as part of Fuerza publica’s response. This component will have to include the creation of a new police program based in sports, to engage with youth.

(for example the police athetic league)

3. Make “Datapol” the main police database within this new model, so that it becomes the cientific tool that the Problem Oriented Police model recquires

PROJECT GOALS & OBJECTIVES

The project is comprised of the following objectives and corresponding activities:

Objective 1: Optimize the police management model of Costa Rica's Fuerza Pública.

Activity 1: Integration of scientific criteria based on Problem Oriented Police model, for the demand and supply of police services

Activity 2: Review the method for defining the territory and distribution of quadrants.

Activity 3: Enhance the use of technological tools for evidence-based policing. This will need to focus on the Datapol system and Sembremos Seguridad program

Objective 2: Train police officers on how to carry out the newly optimized police management model.

Activity 1: Develop the program curricula with the Police Academy

Activity 2: Implement the training program

Objective 3: Develop a pilot plan for the implementation of the police management model in a Sembremos Seguridad cantonment.

Activity 1: Information gathering that includes supply and demand in each canton as well as sectorization. This information will be obtained from datapol and Sembremos Seguridad mainly.

Activity 2: Accompaniment in crime prevention planning within the framework of Sembremos

Seguridad. This will include the INL programs “Police and Youth”, “Anti-drug community coalitions” and “Hacete Escuchar”

Activity 3: Accompaniment in control and monitoring of the plan

Objective 4: Create and implement a preventive program for the Fuerza Pública focused on sports and education for vulnerable populations

Activity 1: Development of a preventive program intervention model.

Activity 2: Develop a pilot of the prevention program in at least 3 districts of a Sembremos

Seguridad cantonment.

PROGRAM EXPANSION

If the project is successful, INL will consider the option of expanding the project to other areas or countries in the region, subject to availability of future funding. Applicants may include in their proposal a brief section outlining how additional funds could potentially be used to expand work into additional activities or countries in future years. Applicants are strongly encouraged to demonstrate how their project might leverage funding through other organizations.

TARGET POPULATION

The project must work with the delegations of the Fuerza Pública of the Sembramos Seguridad strategy as well as the hierarchies of the Fuerza Pública. When developing the preventive program it must be understood that the project seeks to count as direct beneficiaries youth in a condition of vulnerability in Sembremos Seguridad cantonments.

DESIRED RESULTS AND ILLUSTRATIVE INDICATORS

By the end of the two years of the project, the selected applicant is expected to create the new police service model and implement it in at least one police delegation of a Sembremos Seguridad cantonment. This model will have to include the components and objectives mentioned in this

NOFO.

When creating the new prevention program based in sports, the selected applicant is expected to do a pilot project in at least three districts of a Sembremos Seguridad Cantonment, or one district in three Sembremos Seguridad cantonments.

The recipient may propose outputs and indicators, and/or targets as appropriate for the new police preventive program. The recipient will be required to collect baseline data for all indicators during the first year of the project.

[END OF SECTION I]

SECTION II – FEDERAL AWARD INFORMATION

INL expects to award one (1) grant agreement based on this NOFO, in an amount not to exceed the total ceiling amount of $400,000. The period of performance is two (2) years with an anticipated start date of July 2020. INL may extend the award up to one (1) additional year contingent on INL priorities, good performance of the recipient, Department of State management approval, and funding availability.

INL reserves the right to fund one or none of the applications submitted and will determine the resulting level of funding for the award. The U.S. government will issue an award to the responsible applicant whose application, conforms to this NOFO, and is the most responsive to the objectives and criteria set forth in this NOFO. The U.S. government may (a) reject any or all applications, (b) accept other than the lowest cost application, (c) accept more than one application, (d) accept alternate applications, and/or (e) waive informalities and minor irregularities in applications received.

The U.S. government may make an award on the basis of the initial application received, without discussions or negotiations. Therefore, each initial application should contain the applicant's best terms from a cost and technical standpoint. The U.S. government reserves the right (but is not under obligation to do so) to enter into discussions with one or more applicant(s) to obtain clarifications, additional detail, or to suggest refinements in the program description, budget, or other aspects of an application.

Applicants please be advised that the following will be required if your organization is selected for this announcement:

State Department Leahy Amendment Vetting Requirements:

Funds provided under this award are subject to Section 620M of the Foreign Assistance Act of

1961, as amended, a provision titled “Limitation on Assistance to Security Forces” (the “Leahy

Amendment”). Subsection (a) of that provision states: “(a) In General.—No assistance shall be furnished under this Act [the Foreign Assistance Act] or the Arms Export Control Act to any unit of the security forces of a foreign country if the Secretary of State has credible information that such unit has committed a gross violations of human rights.” Accordingly, none of the funds under this award may be used to provide training or other assistance to any unit or member of the security forces of a foreign country if the Department of State has credible information that such unit or individual has committed a gross violation of human rights.

In signing this agreement, the Recipient agrees to exercise due diligence to ensure compliance with the Leahy provision and State Department policy, and to cooperate with the State

Department in implementation of the Leahy requirement for funds under this award. The

Department implements the Leahy requirement by vetting units or individuals proposed for training or other assistance to check for credible information of a gross violation of human rights by such units or individuals. To facilitate State Department vetting, the Recipient must provide the following information for proposed participants at least sixty (60) calendar days prior to commencing award activities. This information should be submitted to the U.S. Embassy in the country where the award will be implemented in order to initiate Leahy vetting procedures:

Information needed: Full name, date of birth, country of birth, country of citizenship, gender, rank, title, and organizational affiliation. Please also include the activity and date that the activity will take place—if the person will participate throughout an extended program, please note the timeframe. Participant information should be submitted in the format attached.

Information required for “security forces” personnel: The above information is needed for each member of a foreign police or military unit (security forces, broadly defined) who will participate in any activity under this award. This includes both civilian and military employees of security forces participating in any activities funded under this award, including training, workshops or meetings, conferences, or other activities.

The Recipient must collaborate with the relevant U.S. Embassy on a case-by-case basis to determine if the Leahy requirement applies to specific activities or proposed participants.

Individuals who are not members of the security forces but who participate in activities under the award (e.g., politicians, academics, etc.) generally do not need to be vetted.

Submission Deadline: Each candidate must be cleared under Leahy vetting in advance of participation in activities funded under this award. The vetting process typically takes approximately one month, but may take longer if there are a large number of candidates or if issues arise. Thus, all information on proposed candidates must be received by the Embassy at least sixty (60) days in advance of the training event or other activity.

The Recipient agrees that it will not include any security forces candidate in training or other activities funded under this award until the State Department advises that the candidate has cleared Leahy vetting and is approved for participation.

[END OF SECTION II]

SECTION III – ELIGIBLITY INFORMATION

(1) Eligibility for this NOFO is limited to:

• U.S. not-for-profit/non-governmental organizations (NGOs);

• U.S.-based educational institutions subject to section 501(c)(3) of the U.S. tax code;

• Foreign not-for-profits/non-governmental organizations (NGOs); and

• Foreign-based private/state educational institutions.

AND

• Applicants must have demonstrated experience working with Fuerza Publica. Experience working with the Police Academy in Costa Rica is desirable.

• Applicant must have knowledge and understanding of Datapol and Sembremos Seguridad

• INL reserves the right to request additional background information on organizations that do not have previous experience administering similar programs and/or federal grant awards.

• Applicants must have the ability to produce course materials, deliver training, and conduct evaluations in Spanish and English. At least some of the applicant’s staff should be proficient in English in order to fulfill reporting requirements.

• Applicants must be able to respond to the NOFO and be able to mobilize in a short period.

NOTE: Public International Organizations (PIOs) and For-Profit Organizations are excluded from applying to this grant announcement.

To be eligible for a grant award, in addition to other conditions of this NOFO, organizations must have a commitment to non‐discrimination with respect to beneficiaries and adherence to equal opportunity employment practices. INL is committed to an anti-discrimination policy in all of its programs and activities. INL welcomes applications irrespective of an applicant’s race, ethnicity, color, creed, national origin, gender, sexual orientation, gender identity, disability, or other status.

Applicants are reminded that U.S. Executive Orders and U.S. law prohibits transactions with, and the provision of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of the recipient to ensure compliance with these Executive

Orders and laws. This provision must be included in any sub‐awards issued under this grant award.

(2) INL encourages applications from potential new partners.

[END OF SECTION III]

SECTION IV – APPLICATION AND SUBMISSION INSTRUCTIONS

INL urges prospective applicants to immediately confirm their organization’s Unique Entity Identifier

Number (formerly Dun and Bradstreet (DUNS) number) as well as a current Central Contractor

Registration via www.SAM.gov. The process of obtaining a SAM.gov registration can take up to eight weeks and must be completed before the application deadline.

All organizations must also continue to maintain active SAM.gov registration with current information at all times during which they have an active Federal award or application under consideration by a

Federal award agency. SAM.gov requires all entities to renew their registration once a year in order to maintain an active registration status in SAM.gov. If an applicant has not fully complied with the requirements at the time of application, INL may determine that the applicant is unqualified to receive http://www.sam.gov/ an award and use that determination as a basis for making an award to another applicant.

Foreign-based organizations and wishing to conduct business (contracts/grants) with the U.S.

Government, must FIRST request a NCAGE Code, followed by a DUNS Number and then complete the registration process in SAM.gov.

CAGE/NCAGE Registration

For US-based organizations, a CAGE code will automatically be assigned to your entity once you submit your entity’s registration in SAM.gov and the TIN validation has been returned. NCAGE

Codes are required for all foreign entities prior to starting a SAM registration.

For overseas-based organizations, the organization’s name, address, and email information must match exactly what was used to request the Unique Entity Identifier (DUNS Number) Please ensure that alphabets, numerical characters, symbols, etc. and spacing is the same in both systems during the registration process. Otherwise, you will receive error messages when applying for the NCAGE code.

Organizations can submit a request for an NCAGE Code using the NCAGE Request Tool at https://eportal.nspa.nato.int/AC135Public/Docs/US%20Instructions%20for%20NSPA%20NCAG

E.pdf. Detailed instructions are posted at that site. For additional information, please call 1-269-

961-4623 or send an email message to NCAGE@dlis.dla.mil. NCAGE registrations for overseas organizations can take up to 10 days (or more) to finalize once a request has been received.

Unique Entity Identifier (DUNS Number)

All applicant organizations (foreign and domestic) must obtain a DUNS number. US-based organizations may request a DUNS number by calling 1-866-705-5711 or email:

SAMHelp@dnb.com; the DUNS number is usually provided immediately.

Foreign organizations that do not have a Unique Entity Identifier (DUNS number) will need to go to the Dun & Bradstreet website at http://fedgov.dnb.com/webform/CCRSearch.do?val=1 to start the process for obtaining a DUNS number. If further assistance is required, please email:

SAMHelp@dnb.com. NOTE: The organization’s name, address, and email information used to request the NCAGE Code must match what is used to request your Unique Entity Identifier

(DUNS Number). Please ensure that alphabets, numerical characters, symbols, etc. and spacing is the same in both systems during the registration process.

SAM.gov Registration

SAM.gov registration is required of all INL applicants prior to registering with www.grants.gov. If your organization was previously registered in the Central Contractor Registry (CCR), you must still create a new Individual User Account in SAM.gov prior to receiving a future federal grant.

https://eportal.nspa.nato.int/AC135Public/Docs/US%20Instructions%20for%20NSPA%20NCAGE.pdf https://eportal.nspa.nato.int/AC135Public/Docs/US%20Instructions%20for%20NSPA%20NCAGE.pdf mailto:NCAGE@dlis.dla.mil http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html mailto:SAMHelp@dnb.com http://fedgov.dnb.com/webform/CCRSearch.do?val=1 mailto:SAMHelp@dnb.com

Applicant organizations can obtain assistance for SAM.gov registration by using the following link:

https://www.fsd.gov or by calling 1-866-606-8220 (U.S. calls)/or 1-324-206-7828 (international calls). PLEASE NOTE: The organization’s name, address, and email information used to request your organization’s Unique Entity Identifier (DUNS number) and the NCAGE Code must match what is used to request the SAM.gov validation Please ensure that alphabets, numerical characters, symbols, and spacing is the same in both systems during the registration process. Otherwise, you will receive error messages when registering in SAM.gov.

For U.S.-based organizations that already have a TIN (taxpayer identification number), your SAM registration should take approximately 3-5 business days to process. For U.S.-based organizations applying for an EIN (employer identification number), please allow up to 2 weeks.

Foreign organizations must have a Unique Entity Identifier number and an NCAGE code prior to completing the SAM.gov registration process. Please follow the above listed instructions to obtain each.

Any applicant listed on the Excluded Parties List System (EPLS) in the System for Award

Management (SAM) is not eligible to apply for an assistance award in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR, 1986 Comp., p. 189) and

12689 (3 CFR, 1989 Comp., p. 235), “Debarment and Suspension.” Additionally, no entity listed on the EPLS can participate in any activities under an award. All applicants are strongly encouraged to review the EPLS in SAM.gov to ensure that ineligible entities are excluded from their applications.

All organizations must also continue to maintain active SAM.gov registration with current information at all times during which they have an active Federal award or application under consideration by a Federal award agency. SAM.gov requires all entities to renew their registration once a year in order to maintain an active registration status in SAM.gov. If an applicant has not fully complied with the requirements at the time of application, INL may determine that the applicant is unqualified to receive an award and use that determination as a basis for making an award to another applicant.

Please note: If your organization is registered with SAM.gov and your status is NOT listed as

ACTIVE, you will need to update your registration prior to submitting an application through www.grants.gov. SAM.gov requires ALL organizations (foreign and domestic) to register on an

ANNUAL basis.

Grants.gov Registration

To apply for a grant, your organization must complete the Grants.gov registration process. The registration process can take 10 business days or longer, even if all registration steps are completed in a timely manner.

Please log into http://www.grants.gov/web/grants/applicants/organization-registration.html to http://www.fsd.gov/ obtain complete instructions on the registration process.

Foreign Registrants: Anyone residing and doing business outside of the United States is still required to complete the five steps of the Grants.gov registration process, in addition to fulfilling supplementary requirements for doing business with the United States government. Please ensure that you have obtained an NCAGE code, a UEI number (also referred to as DUNS number), and an

“ACTIVE” status in SAM.gov prior to registering in Grants.gov.

Grants.gov Applications

Please refer to the Grants.gov website for definitions of various "application statuses" and the difference between a submission receipt and a submission validation. Applicants will receive a validation e-mail from Grants.gov upon the successful submission of an application. Validation of an electronic submission via Grants.gov can take up to two business days.

Late applications are neither reviewed nor considered unless the INL point of contact listed in the

NOFO is contacted prior to the deadline and is provided with evidence of a system error caused by

Grants.gov that is outside of the applicant’s control and is the sole reason for a late submission.

Applicants should not expect a separate notification from INL upon receiving their application.

It is the responsibility of the applicant to ensure that it has an active registration in Grants.gov.

Applicants are required to document that the application has been received by Grants.gov in its entirety. INL bears no responsibility for disqualification that result from applicants not being registered before the due date, for system errors in Grants.gov, or other errors in the application process.

TECHNICAL FORMAT REQUIREMENTS

For all application documents, please ensure:

A. All pages are numbered, including budgets and attachments, B. All documents are formatted to 8 ½ x 11 paper, and

C. All Microsoft Word documents are single-spaced, 12 point Times New Roman font, with a minimum of 1-inch margins.

TECHNICAL ELIGIBILITY REQUIREMENTS

Technically eligible applications are those that:

• Arrive electronically via Grants.gov by the designated due date and time noted in the NOFO.

If reasonable accommodations are granted for persons with disabilities or for security reasons, applications must still be received by INL by the designated due date and time noted in the NOFO;

• Are in English and all costs are in U.S. dollars. If an original document within the application is in another language, an English translation must be provided. If any document is provided in both English and a foreign language, the English language version is the controlling version. (Please note: the Department of State, as indicated in 2 CFR 200.111, requires that English is the official language of all award documents);

• Heed all instructions contained in the NOFO, including length and completeness of application, including all required documents; and

• Do not violate any of the guidelines stated in the NOFO.

It is the sole responsibility of the applicant to ensure that all of the documents submitted in the grant application package are complete, accurate, and current. INL strongly encourages all applicants, especially foreign or first-time applicants, to submit applications before the designated due date to ensure that the application has been received and is complete.

APPLICATION REQUIREMENTS

Complete applications must include all the following items listed below:

1. Completed and signed SF-424, SF-424A, and SF424B, submitted via www.grants.gov.

(Tab D includes instructions for completing Standard Forms 424, 424A, and 424B.)

Note: The SF-424B is required only for those applicants who have not registered in SAM.gov or recertified their registration in SAM.gov since February 2, 2019.

2. Cover Page that includes a table with the organization name, project title, target country/countries, project synopsis, name and contact information for the application’s main point of contact, project length (period of performance),and requested funding amount in U.S.

dollars (see the award amount ceiling as stated in the NOFO)

3. Table of Contents (not to exceed one [1] page in Microsoft Word) listing all documents and attachments, with page numbers.

4. Executive Summary (not to exceed two [2] pages in Microsoft Word) that includes:

a) a statement of work or synopsis of the program, including a concise breakdown of the project’s goals, objectives, activities, and expected results, and

b) a brief statement on how the project is innovative, sustainable, and will have a demonstrated impact.

5. Proposal Narrative (not to exceed fifteen [15] pages in Microsoft Word). Please note the page limit does not include the required documents listed in items #2 - 4 and items #6 – 16.

A proposal narrative should:

• Fully explain the program’s goals, objectives, and activities. Objectives should be ambitious, yet measurable, results-focused, and achievable in a reasonable time frame.

Applicant should explain the project’s significance or contribution to the INL mandate specified in the NOFO.

• Activities should be clearly developed and detailed, and the narrative should clearly articulate how the proposed activities contribute to objectives and overall project goal.

• Outline the applicant’s organizational capacity to implement the proposed program,

• Outline in detail the program approach, sustainability, potential impact, and complementarity to ongoing efforts.

• Identify target areas for activities, identify target participant groups or selection criteria for participants, address how the program will engage relevant stakeholders, and identify local partners as appropriate, among other pertinent details. If partners are included, the narrative should clearly describe the division of labor between the direct applicant and partners.

The proposal narrative should expand upon the risk analysis to provide greater context, operational or programmatic security concerns, and a contingency plan for overcoming potential difficulties in executing the original work plan.

6. Monitoring and Evaluation Plan; (see TAB B below for more information on this section);

A template is provided as an attachment under the announcement via www.grants.gov.

7. Logic Model; (see TAB B below for more information on this section);

8. Roles and responsibilities of key project personnel with short bios that highlight relevant professional experience. Given the limited space, CVs/resumes are not recommended for submission.

9. Timeline of the overall proposal - Components should include activities, evaluation efforts, and program closeout

10. Project Risk Analysis: Please provide the required risk analysis information as noted in TAB

B of this NOFO. A template is provided as an attachment under the announcement via www.grants.gov.

11. Summary and Detailed Line-Item Budget (in Microsoft Excel) that includes the following three [3] columns: the amount requested from INL, cost sharing contributions (if any), and total budget (see below for more information on budget format). Applicants must submit a budget summary using the OMB-approved budget categories (see SF-424-A as a sample). Costs must be in U.S. dollars.

12. Budget Narrative (in Microsoft Word) that includes an explanation and justification for each line item in the detailed budget spreadsheet, as well as the source and a description of all cost-share offered. For ease of review, INL recommends applicants order the budget narrative as presented in the detailed budget. Personnel costs should include a clarification of the roles and responsibilities of key staff and percentage of time devoted to the project. Applicants that have other USG-funded projects must confirm that the total time devoted by personnel assigned to more than one project does not exceed 100%. The budget narrative should communicate to INL any information that might not be readily apparent in the budget rather than simply repeating with words what is stated numerically in the budget.

13. NICRA: If your organization has a negotiated indirect cost rate agreement (NICRA) and will include NICRA charges in the budget, your latest NICRA must be included as a PDF file. This document will not be reviewed by the panelists, but rather used by program and grant staff if the submission is recommended for funding, and therefore does not count against the submission page limitations, as described above. If your proposal includes subgrants to organizations charging indirect costs, please submit the applicable NICRA also as a PDF file

(see “INDIRECT COST RATE” below for more information on indirect cost rates).

If your organization does NOT have a negotiated indirect cost rate agreement (NICRA) please specify if your organization elects to charge the de Minimis rate of 10% of the Modified Total

Direct Costs (MTDC). Note: MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward in excess of $25,000. The de Minimis rate must be included in the detailed budget and an explanation must be provided in the budget narrative.

14. A copy of your organization’s most recent audit (as required per 2 CFR 200.500 – Subpart

F). If an audit cannot be provided, an explanation must be submitted with the proposal submission.

15. A list of previous and/or current U.S. federal assistance awards received; please include the awarding agency, point of contact, name of the project, start and end dates, and amount of the award. If a list of previous and/or current U.S. federal assistance awards received cannot be provided, an explanation must be submitted with the proposal submission.

16. INL Pre Award Annual Survey; Template provided by INL that reviews the organization’s financial capacity and infrastructure.

17. Additional Attachments; Applicants may choose to submit additional attachments (not to exceed five (5) pages total, preferably in Microsoft Word) to supplement the required documents (e.g. further timeline information, letters of support, memoranda of understanding

(MOU)/agreement, etc.)

Applications that do not include the items listed above will be deemed technically ineligible.

INL retains the right to request additional documentation for those items not included on this form.

[END OF SECTION IV]

TAB A: PROPOSAL GUIDELINES

Proposals should include the following components:

• Introduction and Problem Statement

• Planned Activities

• Indicators

Problem Statement and Rationale: Describe the problem and how the project will achieve or contribute to achieving a sustainable solution and a measurable outcome. The applicant should explain the extent of existing assistance within the particular geographic area, and how the proposed intervention may complement (or differ from) other similar interventions. The implementer should also explain, as necessary, the particular experience and qualifications they bring to the project.

The rationale should also reflect understanding of the priorities and policies of the bureau/post or program with which this agreement is associated.

Planned Activities and Indicators: Describe the planned activities, and relevant stakeholders for implementation. The implementer should highlight key stakeholders and their expected role in the project, along with any contingencies. The implementer should list assumptions that are dependent on the ultimate success of the project. This could include elements like geographic location, coordination efforts with other international organizations, or political will from host governments, private sector, and NGOs. As appropriate, limited contingency possibilities should be included in the proposal, in case the initial planning assumptions are not met. Example of a planned activity and contingency:

Planned Activity Contingency

Energy efficiency workshops in collaboration with the government of Mexico and other representatives from the Latin America region, focused on raising awareness of energy efficiency standards.

If government of Mexico doesn’t engage at the expected level, project team will look to other regional stakeholders, such as the OAS, to assist in convening key stakeholders.

In the proposal, there should be a clearly defined link between each of the following elements as delineated:

Problem Statement → Planned Activities/Inputs → Process Indicators → Output Indicators →

Outcome Indicators → Impact

Process Indicators measure the activity that has been completed. Please delineate the specific activities to be conducted, such as workshops, roundtables, trainings, forums, exchanges, policy dialogues, etc. All indicators must include targets. Example of a process indicator:

Process Indicator 50 women trained in energy efficiency standards

Output Indicators, otherwise known as deliverables associated with the agreement, should be included. Unlike process indicators, outputs are what is produced, and are often tangible. At this level, it is the measurement of ability, knowledge, skills, or access. All indicators must include targets. Example of an output indicator involving the same participants:

Output Indicator 80 percent of participants demonstrate at least 75 percent cognizance of efficiency standards

Outcome Indicators measure the change in system or behavior or practice. Expected outcomes are the results that come from a series of activities that are necessary to achieve impact. All indicators must include targets. Example of an outcome indicator:

Outcome Indicator 30 percent of efficiency standards being implemented in a participant’s country as a result of participant’s participation.

All indicators must include measurable, numerical targets, which should serve as the foundation for monitoring and evaluation efforts. Ultimately, proposed activities and achievement of indicator targets will lead to impact.

TAB B: PROGRAM MONITORING AND EVALUATION PLAN,

LOGIC MODEL, and PROGRAM RISK ANALYSIS

INL will work with recipient organizations to implement the appropriate monitoring and evaluation plan that meets both the needs of the bureau and the implementing partner. 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 objectives that are specific, measurable, attainable, results-focused, and placed in a reasonable time frame (SMART);

• Linking project activities to stated objectives;

• Developing key performance indicators that measure realistic progress towards the objectives.

INL expects implementing organizations 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 attitude and behavior as a result of the program, and effects of the program on institutions in which participants work or partner with.

Applicants should include the monitoring and evaluation process in their timeline.

Recipients will be required to provide reports with an analysis and summary of their findings, both quantitative and qualitative, in their regular quarterly progress reports to INL.

Performance indicators should be clearly defined, and are in many cases quantifiable. Qualitative indicators are encouraged if they provide a reliable means to measure a particular phenomenon or attribute. A good guide for determining the quality of performance indicators is the acronym

SMART – i.e., are the indicators: specific, measureable, attainable, realistic, and timely.

Indicators can focus on (i) inputs / process (measures activities or the necessary components for an activity to occur—e.g. training curriculum developed), (ii) outputs (products and services delivered from project activities, and often stated as an amount—e.g. 100 civil society organization members trained in organizational fundraising, 60 radio programs produced), and (iii) outcomes (the specific results of a project, which are often measured as a degree of change—after receiving training on effective engagement in the political process, 40% of female participants ran for a seat in parliament).

LOGIC MODEL

A logic model is a useful tool to help “map” a project. It details planned activities, the immediate services or product of project activities (outputs), and the expected changes or benefits that occur after activities have been implemented (outcomes). Applicants can specify objectives, identify what resources (inputs) are needed, outline proposed activities (outputs) and beneficiaries, and illustrate how activities lead to expected results. The activities and expected outcomes documented within the logic model should be achievable within the level of funding and timeframe of the project.

The monitoring and evaluation plan must include, at a minimum, the following elements:

• A results “Logic Model” planning document (see attached sample Logic Model template)

• Indicators, as described in Tab A, as well as details on how each indicator will be measured, frequency of the measurements, units of measure, etc. Provide indicators at the output and outcome levels. Monitoring and evaluation plans should include a chart component that clearly delineates indicators and targets. All indicators must include measurable, numerical targets. (see attached sample Monitoring and Evaluation template)

• Establish, where possible, performance baseline data and expected performance targets for each indicator/outcome. In some cases, the baseline may be zero.

• Describe monitoring and evaluation tools, including methods or methodology, that will be used.

• Plans should describe the projected outcomes and a dissemination plan where applicable, and how the project’s impact and effectiveness will be monitored and evaluated throughout the project.

INL has included a sample Monitoring and Evaluation template and a Logic Model template as an attachment to the NOFO.

PROGRAM RISK ANALYSIS

Risks are unavoidable – all programs inherently contain both internal and external risks. However, with proper identification and management, risks can be prepared for, minimized or mitigated. The purpose of a risk analysis is to identify the internal and external risks associated with the proposed program in the application, rate the likelihood of the risks, rate the potential impact of the risks on the program, and identify actions that could help mitigate the risks. A risk analysis should not be considered a one-time exercise or a static document. INL defers to organizations to conduct adequate risk analysis and remediation for all of its operations and advises that risk analysis and remediation occur throughout the life of a program and should result in revisions to risk analysis documents and processes as necessary. Applicants should include all assumptions and external factors identified in the logic model in the risk analysis. Applicants should rate the likelihood of a risk and potential impact of the risk as “High,” “Medium,” or “Low.” A sample template is provided as an attachment to this NOFO via www.grants.gov.

The safety and security of recipients and beneficiaries are of utmost importance. INL requires all recipients to conduct thorough risk assessments and take all actions necessary in accordance with those assessments to mitigate those risks. INL does not take responsibility for the risks incurred by any recipient.

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