DFOP0016713-KMDDL-PARSE-061324 NOFO (FINAL).pdf

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U.S. DEPARTMENT OF STATE

Bureau of International Narcotics and Law Enforcement Affairs (INL)

Notice of Funding Opportunity (NOFO)

Announcement Type: Request for Federal Assistance Award Applications

Funding Opportunity Title: Partnership to Advance Research and Scientific Evidence (PARSE)

Funding Opportunity Number: DFOP0016713 (Formerly: INL24CA0085-KMDDL-PARSE-061324)

Program: Global Justice and Security Sector Research Should the program be marked SENSITIVE? No

Catalog of Federal Domestic Assistance (CFDA) Number: 19.703 - Criminal Justice Systems

Total Funding Available: $1,795,000 U.S. Dollars

Funding Source: Domestic-Funds

Application Ceiling: $1,795,000 U.S. Dollars Application Floor: At least $1,000,000 U.S. Dollars

Anticipated Number of Awards: One (1) award

Initial Project Implementation Length: 24 months

Estimated Project Start Date: October 2024

NOFO Issuance Date: June 13, 2024

Deadline for Submission of Questions: July 15, 2024 by 11:59 PM EST via email

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Deadline for Discussion Sessions:

Session one: June 26, 2024 Session two: July 15, 2024

Discussion sessions: During the posting period of this program, INL/KM will host two (2) discussion sessions open to any applicants that wish to join on June 26, 2024, and July 15, 2024. These discussion sessions will serve as an opportunity for applicants to hear from INL/KM about this project and ask questions about the anticipated project and its components. If you are interested in joining this discussion, please forward your name, organization name, email address, and phone number to the INL point of contacts listed on page one of this funding opportunity by June 24, 2024, for the June 26th session and July 11, 2024, for the July 15 session. Discussion session notes, questions, and answers will be posted as an attachment to this NOFO following the session on Grants.gov.

Deadline for Submission of Applications: August 12, 2024 by 11:59 PM EST via www.grants.gov

Assistance Type: Cooperative Agreement

Applicant Types and Eligibility Categories:

Organizations only.

Refer to Section C: Eligibility Information for more information.

INL Points of Contact:

SiMonique Stallworth (StallworthS@state.gov) - Grants Officer Alejandra Bolanos (BolanosA1@state.gov) - Program Officer

BUREAU MISSION

The mission of the State Department’s Bureau of International Narcotics and Law Enforcement Affairs (INL) is to keep Americans safe by countering crime, illegal drugs, and instability abroad. The Bureau of International Narcotics and Law Enforcement Affairs (INL) is at the forefront of responding to these challenges, uniting these overarching themes through our foreign assistance programs, diplomatic engagement, and policy coordination.

INL’s foreign assistance programs are essential to advancing U.S. policy objectives. INL programs advance the following strategic goals:

1. Disrupt and reduce illicit drug markets and transnational crime to protect American lives and U.S. national security.

2. Combat corruption and illicit financing to strengthen democratic institutions, advance rule of law, and reduce transnational crime and its enablers.

http://www.grants.gov/ mailto:StallworthS@state.gov mailto:BolanosA1@state.gov

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3. Strengthen criminal justice systems to support stable, rights respecting partners.

4. Leverage learning, data, and resources – including people and funding – to advance INL’s mission and thought leadership on civilian security and justice on behalf of the United States.

TABLE OF CONTENTS

A. PROJECT DESCRIPTION

B. FEDERAL AWARD INFORMATION

C. ELIGILIBITY INFORMATION

D. APPLICATION AND SUBMISSION INFORMATION

E. APPLICATION REVIEW INFORMATION

F. AWARD ADMINISTRATION INFORMATION

APPENDIX A: PERFORMANCE MONITORING PLAN

APPENDIX B: PROJECT RISK ANALYSIS

APPENDIX C: BUDGET AND BUDGET NARRATIVE

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A. PROJECT DESCRIPTION

Introduction: The United States Department of State, Bureau of International Narcotics and Law Enforcement Affairs is seeking applications from qualified U.S. and non-U.S. based non-governmental (NGOs)/non-profit organizations or Educational Institutions for a Cooperative Agreement to implement a project entitled “Partnership to Advance Research and Scientific Evidence (PARSE)”.

The authority for this Notice of Funding Opportunity (NOFO) is found in the Foreign Assistance Act of 1961, as amended. Issuance of this NOFO neither constitutes 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 proposals. Further, the U.S. government reserves the right to reject any or all proposals received.

Overview:

The Bureau of International Narcotics and Law Enforcement Affairs (INL) of the U.S. Department of State announces an open competition for organizations to submit applications to implement the Partnership to Advance Research and Scientific Evidence (PARSE), a project to generate evidence-based research to counter crime, illegal drugs, and instability abroad. Expected results from this project are twofold. First the project should generate the identification of priority research themes, areas, or questions. Second, the project will enable the production of select synthesis reports and novel studies. Both results must fill public knowledge gaps by providing methodologically rigorous, relevant, actionable, and contextually diverse (international) insight on “what works best” to advance sustainable and effective criminal justice systems, approaches, and practices. Through actionable AND scientifically substantiated knowledge, the project results should be able to inform strategies or approaches to improve civilian security, mitigate internal and transnational threats and risks, and contribute to stable criminal justice institutions amongst U.S. partners abroad.

Applicants must be able to generate results that clearly, concretely, and compellingly convey evidence-based findings to non-scholarly audiences within the rule of law community. These audiences include but are not limited to law enforcement and justice sector officials as well as other decision makers and practitioners involved in policy formulation, program design, and strategic/operational/project/tactical implementation. Resulting research should also be framed by the possibility to extrapolate and adapt evidence-based and actionable findings to multiple countries and/or contexts. Additionally, the selected applicant (qualifying organization) should

5 | P a g e expect to work in close cooperation with INL. To achieve this level of cooperation, INL expects, among other mechanisms, to hold weekly or bi-weekly meetings with the qualifying organization.

Finally, contingent upon performance, relevance, and fund availability INL will consider the expansion of the project to develop additional research products and results (refer to Project Expansion Section).

Priority Region/Countries:

This project is globally focused. From inception, strong preference will be given to evidence-based products that are directly relevant to the criminal justice sectors and civilian security requirements in countries with INL programming. A list of countries INL partners with may be found at: Bureau of International Narcotics and Law Enforcement Affairs – Work by Country - United States Department of State. A tailored list of priority countries or regions may be determined in close consultation with and upon approval of INL.

Problem Statement:

The rule of law community comprised by interdisciplinary scholars and academics, members of civil society, partner governments, and donors lacks evidence on the most effective ways to pursue work that is vital to stable and secure democracies, criminal justice sector governance, and citizen well-being. A knowledge-generating instrument is required to help bridge the well-known but extremely detrimental gap that exists between policy/practice and solid scientific evidence. The instrument should bring together this community to help define research questions/themes and find answers generative of scientific evidence on what is needed, including what risks exist and interventions are most needed, along with what works to, for example: confront synthetic drugs as a top public health and security concern; deliver civilian security solutions that are agile and respond to emerging challenges to the rule of law; counter ongoing efforts by malign actors to undermine the rule of law, civilian security, and multilateral institutions working to tackle crime, illegal drugs, and instability abroad; counter corruption by bolstering prevention and accountability capacities in the justice and civilian security sectors.

This project seeks to generate one of those much-needed opportunities for the global rule of law community to be informed by relevant (needed) and better (evidence-based) approaches to developing capacity of criminal justice institutions and enhancing safety and security of communities and partner countries around the world.

Project Vision:

Close collaboration with the public rule of law community contributes to a coordinated and public-facing effort that leverages learning, data, and resources to develop questions and fill gaps in overall scientific knowledge about “what is most needed” and “what works best” to counter crime, illicit drugs, and instability abroad. Additionally, commissioned research findings will facilitate the generation of follow-on research that, though not supported by this project, will encourage a sustained public effort to scientifically understand and effectively counter crime, illicit drugs, and instability abroad.

Project Goal(s) and Objectives:

https://www.state.gov/bureau-of-international-narcotics-and-law-enforcement-affairs-work-by-country/ https://www.state.gov/bureau-of-international-narcotics-and-law-enforcement-affairs-work-by-country/ https://www.state.gov/bureau-of-international-narcotics-and-law-enforcement-affairs-work-by-country/

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Goal: A research partnership with a qualifying organization provides the public rule of law community with relevant and actionable evidence-based answers on which interventions are most needed and most likely to advance sustainable, effective, and criminal justice systems and approaches to civilian security.

Objective 1: The qualifying organization establishes a research committee to support the development of a learning agenda and priority research questions and to evaluate, manage, and/or produce select research products generated by this project.

Activity 1.1: The qualifying organization develops a plan to establish a research committee.

- This plan will explicitly detail: the committee’s goals, objectives and activities; the roles and responsibilities of members; the committee’s optimal size; the minimum professional and scholarly criteria for prospective members; the maximum term served on the committee by each member; and the mechanisms by which the committee configuration will adhere to best practices on diversity, equity, inclusion, and accessibility.

- The plan will also clearly stipulate the mechanisms used to ensure that the committee reflects diverse academic disciplines and complementary points of view. This may be accomplished through permanent and rotating committee membership. The plan will detail how members will rotate out, and how new members will be recruited to the committee.

- The plan will establish a clear and efficient timeline for all activities required for the successful establishment of the committee.

Activity 1.2: The qualifying organization presents its plan to establish the research committee for INL consultation and approval.

Activity 1.3: The qualifying organization develops a shortlist of interdisciplinary scholars interested and qualified to become members of the initial research committee.

Activity 1.4: The qualifying organization presents INL with the shortlist of prospective committee members alongside a concrete and compelling rationale of why each of these candidates optimally meets the desired criteria as stipulated in the plan (Activity 1.1).

Activity 1.5: Upon INL’s approval, the qualifying organization formally establishes the research committee and works closely with its members to ensure that all the committee’s goals, objectives, and activities are achieved and performed effectively, efficiently, and at the highest standards of professional quality.

Objective 2: The qualifying organization and research committee develops a learning agenda for the public rule of law community that identifies research priorities.

Activity 2.1: The qualifying organization, led by the research committee, conducts a review of the existing research and consults with relevant practitioners to identify gaps in knowledge/evidence (topically and geographically) that can be included and prioritized a learning agenda.

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Activity 2.2: In consultation with INL, the qualifying organization and research committee develops a learning agenda that identifies globally representative research questions or themes to be prioritized and categorizes them as synthesis studies (reports) or novel studies (reports).

- If evidence already exists on “what is most needed” AND “what works best” to address gaps or problems, the committee will propose the production of synthesis reports that systematically and clearly distill this existing evidence.

- If there is insufficient evidence to properly understand the mechanism on how to effectively address a criminal justice need, the committee will propose the development of novel research products (reports).

- There may be scenarios where these products overlap when, for example, while completing a synthesis report, relevant research questions are identified that may be filled through a novel study. The learning agenda plan may describe such scenarios and propose ways forward on these.

Activity 2.3: The qualifying organization/research committee, upon INL approval, presents a final learning agenda to members of the rule of law community.

- The qualifying organization/research committee and INL closely cooperate to include iterative updates to the learning agenda and select specific research areas to be given priority during the production of research reports. Any change to the agenda will be submitted to INL for final approval of latest version on record and to the rule of law community for public advancement.

Objective 3: The qualifying organization/research committee produces plans to develop or solicit reports internally or from the broad research community.

Activity 3.1: The qualifying organization/research committee, upon close consultation with INL, develops plans to generate selected/specific research report. Strictly based on future funding availability, INL envisions that additional reports may be commissioned.

- Each plan may propose to produce a report either internally or through a call for proposals that may result in the organization/committee partnering with or entirely assigning work to another organization, team, or researcher.

- As part of each plan, the qualifying organization/committee will ensure that the mechanism used to put forth the call guarantees that the potential research candidates are aware a full range of scientific design and methods that may be used to effectively answer the research question, that researchers are solicited from a diverse range of academic disciplines, and that the proposal candidates are aware of the clarity, practitioner-oriented applicability, and relevance requirements for their research.

- The qualifying organization/committee will also ensure that the opportunity to submit proposals is advertised and communicated to minority serving institutions, groups that have been historically underrepresented among scholars in their disciplines, and researchers and research institutions in countries where INL works.

Activity 3.2: The qualifying organization presents each plan to produce any synthesis report and novel study to INL for iterative consultation and submits it for final INL approval.

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Objective 4: The qualifying organization and research committee reviews and awards suitable proposals for novel studies and manages the production of synthesis reports.

Activity 4.1: The qualifying organization/research committee develops a scoring rubric to assess the strength of each proposal. The rubrics will be presented to INL for collaborative feedback and for final approval.

Activity 4.2: The qualifying organization/research committee will put forth and manage call/s for proposals.

- Upon approval by INL, calls for proposals may be announced concurrently and/or on a rolling basis. Each call for proposals will seek to answer agreed upon questions related to or directly derived from the learning agenda’s priorities.

- In the event of insufficient number of submissions, or unsatisfactory quality of proposals and upon INL’s approval, a call for proposals may be extended, revised, or cancelled.

Activity 4.3: The qualifying organization/research committee reviews submitted proposals and identifies a short-list of final candidates. Concurrently, INL will conduct a similar but internal review informed by the rubric developed by the committee.

Activity 4.4: The committee consults with INL on which submissions will be accepted under a given call for proposals. A list of select submission finalists will be sent to INL for final approval.

Activity 4.5: The qualifying organization notifies candidates of the final decisions.

Activity 4.6: If synthesis reports are developed internally, the qualifying organization ensures the initiation of these, according to the plan to generate these reports (Activity 3.1).

Objective 5: The qualifying organization/research committee monitors and reviews the development and completion of the research products (synthesis reports or novel studies).

Activity 5.1: The qualifying organization and research committee, in consultation with INL, develops a plan to monitor the timely and quality completion of all research products commissioned by this project, and to ensure that all products follow standard formatting and/or INL approved templates.

Activity 5.2: The qualifying organization and research committee monitors selected individual and/or organization progress towards completion of research products.

Activity 5.3: The qualifying organization provides quarterly evidence briefings to INL on any interesting findings emerging from commissioned research products.

- These briefings provide a timely opportunity for INL to learn along the way. INL may ask clarifying questions but will refrain from subjectively influencing conclusions or findings that should be exclusively derived from the application of methodological rigor.

Illustrative examples of briefing content are significant studies that have been included in synthesis reports, any emerging trends, promising intervention approaches, or new gaps being identified, and analytical themes emerging from novel studies.

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Activity 5.4: The qualifying organization and research committee, in consultation with INL, provides feedback on final draft submissions of research products.

Activity 5.5: The qualifying organization submits final research products for INL record.

Objective 6: The qualifying organization and research committee publicly disseminates findings from commissioned research products.

Activity 6.1: The qualifying organization/research committee develops a plan to strategically disseminate findings from research products through open-source publications, seminars, conferences, and/or other fora. Preferably, dissemination efforts will foster a dialogue between researchers and practitioners and will be tailored to bridge the knowledge gap between these two groups.

- The plan will explicitly and clearly identify the relevance and concrete objective of each dissemination effort.

- The plan will identify the appropriate target audience for each type of dissemination effort.

- The plan will include a section that describes how the dissemination effort, and its results will be measured and reported (e.g. through the collection of metrics on downloads, conference surveys, pageviews, amount of audience engagement, etc.). A discussion of outcomes (and possible impact) will be required as part of this plan, describing the change sought through a given dissemination effort, and how this change will be measured and reported.

Activity 6.2: The qualifying organization presents it dissemination plan to INL for consultation and approval.

Activity 6.3: The qualifying organization disseminates research findings, notifies INL of each time this is done, and, upon INL request, produces an agreed upon reporting mechanism to submit success stories, outcomes, and metrics associated with the dissemination efforts.

Project activities and deliverables:

Refer to “Project Goal and Objectives” for an explanatory list of activities under each objective. Any list of expected project deliverables will include, at a minimum:

• a plan to establish a research committee and shortlist of scholars, including future shortlists for any new members that may be nominated as a result of rotation.

• an initial learning agenda, and any future versions of these;

• individual plans to generate and solicit each research product (synthesis reports and novel studies);

• individual plans to monitor, standardize, and evaluate research products commissioned under this project;

• quarterly briefings on “interesting emerging evidence."

• finalized research products (synthesis reports and novel studies);

• plan to disseminate research findings and monitor results from the dissemination efforts;

• notifications of each dissemination effort;

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• and succinct reporting on dissemination outcomes and possible impact.

Applicants will refer to the project goal, objectives, activities, and expected deliverables in their determination of a project budget. INL expects that the qualifying organization will initially dedicate part of the resources to process-oriented activities such as setting up the committee, identifying research areas/themes/questions, collaborating with INL to determine which of these areas will be prioritized for the development of research products. INL also expects that no less than $495,000.00 will be devoted to research on countering ongoing efforts by malign actors to undermine the rule of law, civilian security, and multilateral institutions working to counter crime, illegal drugs, and instability abroad within the initial period of performance (POP). Strictly based on available funding, INL envisions that once some reports have been produced as proof-of-concept, additional funds could be assigned for research products under this grant’s POP.

Examples of illustrative outcome indicators for the project are provided below. The qualifying organization is expected to clearly define indicators, some of which can be crafted as milestones.

The organization should also set preliminary targets based on what it can reasonably achieve within the performance period of the project, and on the planned goal(s), objectives, and activities. The qualifying organization may also propose additional or alternate indicators and targets.

Illustrative Outcome Indicators Illustrative targets:

Rate of novel studies commissioned to those completed and made public

Rate of synthesis reports commissioned to those completed and made public

Number of follow-on research generated by commissioned research products

Examples of illustrative output indicators for the project are provided below. The qualifying organization is expected to define illustrative indicators and targets based on what it can reasonably achieve within the performance period of the project, and on the planned goal(s), objectives, and activities. The qualifying organization may also propose additional or alternate indicators and targets.

Illustrative Output Indicators Illustrative targets:

Number of novel studies made public Number of synthesis reports made public Number of participants in dissemination efforts

Participants and Audiences:

In general, the primary audience for research is the public rule of law community (in terms of disseminating findings from commissioned research) and INL (in terms of the delivery of completed reports and studies). See explanatory list of project activities under “Project Goal and Objectives” for details about the expected participants in and intended audience for various project activities.

Project Expansion:

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Based on recipient/project performance, and subject to future funding availability, INL may consider the option of an award modification to include additional work within existing activities or additional activities relevant to the project’s goal and objectives. Applicants may include in their proposal a brief section outlining how additional funds could potentially be used to generate additional outcomes or influence additional/broader impact. Applicants are strongly encouraged to demonstrate how their project might leverage funding through other organizations.

B. FEDERAL AWARD INFORMATION

Applicants are encouraged to reference the table on the first page(s) of this NOFO to determine the basic federal award information (e.g., project length, amount of funding available, anticipated number of awards, assistance type, etc.). Additional award information is included in this section, although specific aspects of the award(s) issued from this NOFO may differ from program to program.

1. Project Implementation Period

The initial project implementation length is the amount of time (e.g., months) applicants should plan to implement the project. If a range of months is listed, applicants should propose a realistic project length within that range.

INL may extend the project implementation period, contingent on INL priorities, good performance of the recipient, Department of State management approvals, and funding availability. INL projects shall not exceed five (5) total years of project implementation.

2. Assistance Type

The type of assistance is determined by scope of INL’s involvement in the implementation of the project. Refer to the table on the first page(s) of the NOFO to determine whether this particular project will be a grant or cooperative agreement.

As a cooperative agreement, INL/KM will be substantially involved at different points of this project. Substantial involvement in this project is in addition to standard oversight, monitoring, and administration of federal awards and unanticipated actions to correct recipient performance or administrative deficiencies identified during the implementation of the award.

Substantial involvement from INL/KM includes but is not limited to active participation or collaboration with the recipient in the implementation of the award; review and approval of one stage of work before another can begin; review and approval of all proposed sub-awards; joint preparation or presentation of results with the recipient; and/or involvement where INL requires specific oversight over the award beyond normal monitoring.

Cooperation and consultation are expected for most work performed under this award, including but not limited to configuration of the committee, learning agenda development, review of all plans, extending, revising or cancelling calls for research proposals, rubric development, feedback on draft submissions, and review of dissemination plans. Other examples of substantial involvement by INL may include, but are not limited to, reviewing and approving key project deliverables, project materials, and evaluation plans of sub-recipients.

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See below for specific substantial involvement decision points where INL/KM approval will be required. These may be further refined in consultation with the recipient, or in response to performance issues.

Approval from INL/KM will be required to:

• plan for and establishment of the initial research committee, including any new members;

• finalize the learning agenda, any plans to update this, and any updates of this;

• finalize plans to generate synthesis reports and novel studies;

• finalize scoring rubrics for commission products proposals;

• finalize the list of accepted submissions under a given call for proposals;

• finalize plans to disseminate and monitor commissioned research products.

3. Funding Notices

This award will be supported with International Narcotics Control and Law Enforcement (INCLE) funds under the Foreign Assistance Act of 1961. This notice is subject to availability of funding.

Length of performance period: 24 months

Anticipated program start date: October 1, 2024

Number of awards anticipated: One (1) award (dependent on amounts)

Award amounts: awards may range from a minimum of $1,000,000 U.S. Dollars to a maximum of $1,795,000 U.S. Dollars

Total available funding: $1,795,000 U.S. Dollars

Type of Funding: FY23/24 INCLE Funds

C. ELIGIBILITY INFORMATION

1. Eligible Applicant Types The following organizations are eligible to apply:

• U.S.-based non-profit/non-governmental organizations (NGOs);

• U.S.-based educational institutions subject to section 501(c)(3) of the U.S. tax code or section 26 US 115 of the US 115 of the U.S. tax code;

• Foreign-based non-profits/non-governmental organizations (NGOs);

• Foreign-based non-profit educational institutions.

Applicants must also meet the following capacity requirements to apply for this NOFO:

• Demonstrate, through examples of any previous partnerships or projects, a substantial capacity to manage multiple research products at any given time, in various national and international locations, and with several individuals/groups/institutions working to generate those products.

• Demonstrate capacity to manage and produce high quality research and research products by submitting samples of a learning agenda, a plan to generate synthesis reports, and a plan to generate novel studies. See “Sample Learning Agenda” and “Sample Research Plans” for more information.

Author We should only list what we have available.

Bolanos, Alejandra Revised

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2. Cost Sharing or Matching

Cost share is the portion of project costs not borne by the U.S. government. Cost share is recommended but not required for this project. Applicants must be able to ensure cost share is accounted for/tracked through accounting systems and/or supporting documentation (such as Personnel Activity Records, proof of voluntary hours, proof of any purchases for materials being included as cost share, etc.)

Any cost share proposed must be appropriately captured within the SF-424A, budget, and budget narrative.

3. Other Eligibility Requirements

• In order to be eligible to receive an award, all organizations must have a unique entity identifier (also known as UEI), as well as a valid registration on www.SAM.gov.

Individuals are not required to have a unique entity identifier or be registered in SAM.gov. Refer to Section D for additional guidance.

• Applicants are only allowed to submit one proposal per organization. Organizations may form a consortium and submit a combined proposal, however one organization should be designated as the lead applicant and other organization(s) listed as sub-recipient partner(s).

• To be eligible to receive a federal assistance award, 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.

• All applicants must provide a workplace free from harassment and bullying for all individuals, including but not limited to cooperative agreement/grant personnel and INL personnel.

• 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.

Note: Public International Organizations (PIOs) and For-Profit Organizations are excluded from applying to INL grant/cooperative agreement announcements.

D. APPLICATION AND SUBMISSION INFORMATION

Applicants should carefully follow all instructions in this section to ensure their application is formatted properly and includes all required documents. Proposals that do not meet the requirements of this announcement or fail to comply with the stated requirements will be deemed ineligible for review.

1. How to Apply and Submit Questions

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This opportunity is posted on www.grants.gov, along with all required application forms and, where applicable, templates for application documents. Applications and all supporting documents must be submitted via www.grants.gov. INL reserves the right to reject any applications submitted through improper channels.

Applicants are encouraged to closely review the NOFO and email questions to the INL points of contact by the deadline listed on the first page(s) of this document. After the question deadline has passed, INL will respond to all questions publicly through a Questions & Answers document uploaded to the Related Documents tab of this opportunity.

2. Required Application Documents All documents in the following list must be included in your application, unless explicitly listed as optional. If a document includes a page limit, please adhere to that limit in your application.

Applicants that do not submit all required documents will be notified via email of their ineligibility after the application deadline.

Standard Application Forms

SF-424 (Application for Federal Assistance – Organizations)

Must be signed by an authorized signatory of the applicant’s organization.

SF-424A (Budget Information for Non-Construction Programs)

SF-424B (Assurances for Non-Construction Programs) – Optional The SF-424B is only required for applicants who are not registered in SAM.gov.

Project Proposal The proposal should contain sufficient information that anyone not familiar with it would understand exactly what the applicant is proposing to do. The following documents may be submitted separately or combined into one document. If combined, please be sure to adhere to the page limits for each section.

Proposal Narrative – Maximum 20 pages (including Cover Page, Table of Contents, and

Executive Summary) Applicants may use their own proposal template, but it must include all the sections below. Refer to Appendix A for additional guidance on drafting a proposal narrative.

- Cover Page: include organization name, project title, requested number of months, the range of target countries (with emphasis on where INL works), point(s) of contact, and requested funding amount.

- Table of Contents: list all documents and attachments with page numbers.

- Executive Summary: Provide a synopsis of the project.

- Project Context: Include an analysis of the degree to which rule of law practitioners have access to evidence to enable decision making, the implications for this level of access, and what successful change looks like; suggested approaches and solutions (with evidence to support suggestions); and suggestions for appropriate revisions to the NOFO’s activities and, if necessary, slight modification to the project goal and objectives.

http://www.grants.gov/

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- Theory of Change & Implementation Plan: Describe the implementation plan (specific activities to implement suggested solutions); explain how or why they should result in accomplishment of the project goals and objectives (i.e., the theory of change). Projects should be designed such that activities, if implemented according to plan, should result in achievement of project objectives; and objectives, if achieved, should result in achievement of project goal. The Theory of Change should clearly demonstrate this causal logic. Finally, discuss likely challenges to implementation, including any risks of harm to project implementers or participants, along with mitigation strategies. The Theory of Change may also propose (with supporting reasoning) appropriate revisions to the project’s activities so that the project’s objectives and goal may be better achieved.

- Gender, Equity, and Inclusion Analysis: Include in your proposal an analysis that addresses the ways in which women, gender diverse persons, and members of other marginalized and underrepresented groups (as specified in the “Participants and Audiences” section above) might affect and be affected differently by your work, including a consideration of their safe and meaningful participation. Strengthen your proposal by incorporating the results of this gender, equity, and inclusion analysis into your project design. Include a description of how you will minimize any inequities and identified potential risks.

- Description of Prior Work: Provide brief descriptions, including outcomes and deliverables, of any similar projects the organization has implemented. Provide samples of workplans, see “Sample Learning Agenda” and “Sample Research Plans” for more information.

- Future Funding Plan/Sustainability: Briefly discuss the plan for ensuring the sustainability of the project and any research commissioned under it (i.e., the anticipated ripple effect of the project and its products beyond the grant’s period of performance).

Performance Monitoring Plan

See Appendix A for more details and instructions. Applicants MUST submit the following:

• Change Map (see template) or equivalent

• Illustrative Performance Indicator Reference Sheet (see template)

Note 1: If full performance monitoring information is not available at the time of the proposal, applicant should indicate that the indicators and associated information are notional. If selected, a final version of the documents will be required as an early deliverable.

Note 2: INL may require the grantee to report quarterly performance report information in INL’s DevResults database.

Project Risk Analysis

A template is included under the Related Documents section of this NOFO announcement on www.grants.gov. Refer to Appendix B for additional guidance on drafting a Project Risk Analysis.

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Timeline Outline key milestones in the project, project start-up, and closeout, programmatic activities, and monitoring and evaluation activities (e.g., monitoring trips or semi-annual reviews). The timeline must explicitly mark key decision points where INL approval will be required. Points for INL consultation may be excluded from the timeline. See “Assistance Type” for more information on substantial involvement.

The timeline may be submitted as a written schedule and/or a GANTT chart.

Organization, Staff, and Partners The following documents may be submitted separately or combined into one document. If combined, please be sure to adhere to the page limits for each section.

Biographical Information of Applicant Organization – Maximum 4 pages

- Introduce the applicant organization, including biographical information such as mission statement, organization size, relevant office location(s), etc.

- Provide a summary description of past and present operations, demonstrating the applicant’s ability to carry out the project.

- Describe organizational experience in managing multiple research products at any given time, in various national and international locations, and with several individuals/groups/institutions working to generate those products.

- Confirm where the organization is a registered business entity (include all countries).

List of Key Personnel – Maximum 3 pages

- Names, titles, responsibilities, and relevant experience or qualifications of key personnel involved in the management of the project.

Partner Information – Maximum 3 pages

- Introduce and provide relevant information about key partner organizations and sub-awardees.

- Briefly describe the division of labor and/or distinct roles and responsibilities among the applicant organization and its partners.

- If proposing a sub-grantee, please briefly describe the applicant organization’s experience related to managing sub-recipients.

Sample Learning Agenda

- One sample learning agenda demonstrating applicant’s capacity to define research priorities, explain the rationale for the priorities, and develop a research agenda that tackles these priorities – Maximum 5 pages (may submit draft or working agendas)

Sample Research Plans

- One sample research plan to generate synthesis reports. – Maximum 5 pages o While a synthesis report systematically reviews and distills research findings on a given topic, the sample plan will detail the applicant’s process for how these reports may be solicited, commissioned, managed, 17 | P a g e and submitted, and in a manner that ensures high standards for quality control, rigor, and expertise. This plan must detail who will ideally produce these reports (scholars, graduate students, professionals, and so

on) and reasoning for why. And it will clarify the applicant’s position on whether reports are produced internally, externally, or through some blended effort, providing supporting reasoning for this position.

o OPTIONAL: One example of a complete synthesis report managed by the applicant. In lieu of a final and published report, applicants may submit a complete draft of a working report, or an unpublished report (e.g., meant for internal circulation), noting the status of the report as such. – Maximum 5 pages

- One sample research plan to generate novel studies. – Maximum 5 pages o This plan will detail the applicant’s process for how original research based on a clearly defined topic and research question will be solicited, commissioned, managed, and submitted, and in a manner that meets high standards for quality control, rigor, and expertise. This plan must also detail how networks of interdisciplinary and diverse scholars will be identified, maintained, and managed to help produce new research and evidence.

o OPTIONAL: One example of a completed novel study managed by the applicant. If the paper is not published through peer-review, applicants may submit a complete draft of a working paper, or an unpublished paper (e.g., under ‘review’, or under ‘revise and resubmit’), noting the status of the paper as such. – Maximum 20 pages

Letters of Support – Optional

- If desired, applicants may submit letters of support from project partners, host government entities, or other relevant stakeholders.

Project Budget and Cost Documents

Summary and Detailed Budgets

A proposal budget must be submitted in spreadsheet format (e.g., Microsoft Excel). A template is located under the Related Documents section of this NOFO announcement on www.grants.gov for applicants as a reference. Refer to Appendix C for additional guidance on drafting a proposal budget.

One tab of the spreadsheet shall contain the Summary Budget, which lists the OMB-approved budget categories and total estimated cost per category

One tab of the spreadsheet shall contain the Detailed Budget, which breaks down the OMB-approved budget categories into individual line items and provides detailed cost estimates per line item

If applicable, federal costs and recipient cost share must be reported in separate columns.

The proposed budget must be able to designate no less than $495,000.00 U.S.

Dollars in funding for research on countering ongoing efforts by malign actors to undermine the rule of law, civilian security, and multilateral institutions working to counter crime, illegal drugs, and instability abroad.

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Budget Narrative

The Budget Narrative is a companion document to the summary and detailed budgets, and must be submitted in word document format. A template is included under the Related Documents section of this NOFO announcement on www.grants.gov. Refer to Appendix C for additional guidance on drafting a Budget Narrative.

The Budget Narrative should communicate to INL any budgetary information that is not readily apparent in the detailed budget. Rather than simply repeating with words what is stated numerically in the budget, the Budget Narrative should explain the logic behind the amount budgeted for each line item.

The narrative will describe how the applicant plans to sub-award funds under this grant to compensate sub-grantees generating synthesis reports (if produced by an external individual or group), to award submissions for novel studies that are accepted under a given open call for proposals, and to conduct various research dissemination activities. And it will estimate how many of each type of research product can be expected in a given year and at what cost, along with reasoning for these estimates.

If applicable, proposed recipient cost share must be included in the Budget Narrative, including reference to the source of the cost share.

Indirect Costs

Negotiated Indirect Cost Rate Agreement (NICRA):

If the applicant has an approved Negotiated Indirect Cost Rate Agreement

(NICRA) and includes NICRA charges in the budget, a copy of the organization’s most-recent NICRA must be included in the application

If the applicant is proposing a sub-recipient that has an approved NICRA, and includes NICRA charges in the sub-award budget, a copy of the sub-recipient organization’s most-recent NICRA must be included in the application

10% de minimis Rate:

The applicant can elect to charge a de minimis rate of 10% of modified total direct costs (MTDC), which is allowable if the organization does not have a current agreement. (Please see Appendix C: Budget and budget narrative for more information regarding the 10% de minimis rate.)

If the applicant elects to utilize the 10% de minimis rate, that rate is then applicable for the entire period of performance of that award. Should the applicant negotiate and obtain a NICRA, it may not be applied to an award already using the 10% de minimis rate.

Applicant Management Capabilities INL must assess each potential applicant for organizational risks related to the financial and programmatic management of a federal assistance project.

History of U.S. Government Federal Assistance Awards

This document outlines the applicant organization’s experience with implementing U.S.

government-funded federal assistance awards, including current and completed projects.

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The list should include the awarding agency, point of contact, name of the project, start and end dates, and amount of the award.

If the applicant has never received a U.S. federal assistance award, please list other projects the organization has implemented, including the information requested in the bullet above.

Organizational Audit

If the applicant organization is required to undergo an audit (per regulations outlined in 2 CFR 200.500 – Subpart F), a complete copy of the organization’s most-recent audit must be submitted. (The financial statement is not a substitute for a single audit report. The Single audit report is an additional requirement for domestic and foreign organizations that spend $750,000 or more in federal funds in the fiscal year.)

If the applicant organization is not required to undergo an audit (per the regulation cited above), a brief explanation must be submitted with the application. This explanation shall include confirmation that the organization is under the threshold for which an audit is required and/or plans for the organization to undergo an audit in the future.

Responses to the Pre-Award Risk Survey in reference to the Organizational Audit does not satisfy this requirement. Please provide the required explanation in addition to the Pre-Award Risk Survey.

INL Applicant Pre-Award Risk Survey This risk survey reviews the applicant organization’s financial capacity, policies, and infrastructure. A template is included under the Related Documents section of this NOFO announcement on www.grants.gov.

Please take note of the questions within the survey that request additional documentation. These documents must be included in the application.

3. Document Formatting

Applicants must ensure that their application documents conform to the following requirements:

The proposal clearly addresses the goals and objectives of this funding opportunity All documents are in English All budgets are in U.S. dollars All pages are numbered All documents are formatted to 8 ½ x 11 inch paper All Word documents are, at minimum, single-spaced with 12 point Calibri font and 1-inch margins

4. Required Entity and Account Registrations for Applicants All prospective applicant organizations must register and/or maintain active registration in the systems outlined below in order to submit an application to this NOFO.

Organizations that are first-time applicants may need to register and/or create accounts in these systems. INL encourages prospective applicants to initiate these registrations as soon as

20 | P a g e possible. Applicants that have previously applied to other opportunities may already have registrations and/or accounts in the necessary systems, though applicants should ensure their registrations are active.

Registration in these systems is free of charge; Applicants will never be asked to pay a fee to register or submit an application in these systems.

Unique Entity Identifier Organizations must have a UEI which will be automatically assigned by SAM.gov.

• If your organization does not have a UEI already, you may obtain one by calling 1-866- 705-5711 or submitting a request at http://fedgov.dnb.com/webform.

Effective April 4, 2022, the DUNS Number will be replaced by the Unique Entity Number (UEI) as the primary means of entity identification for all federal awards U.S. government wide. A DUNS number is no longer required for federal assistance applications. For more information, please go to the following link: https://www.fsd.gov/gsafsd_sp

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