FINAL Proposal Submission Instructions.docx

Proposal Submission Instructions U. S. Department of State Bureau of International Narcotics and Law Enforcement Affairs Washington, DC

TECHNICAL REQUIREMENTS

Technically eligible submissions are those which: 1) arrive electronically via HYPERLINK "http://www.grantsolutions.gov/" www.grantsolutions.gov or www.grants.gov by the designated due date and time; 2) heed all instructions contained in the RFP and Proposal Submission Instructions (PSI).

The information contained here is to assist applicants as a general reference for completion of the proposal submission. It is the sole responsibility of the applicant to ensure that all of the material submitted in the award application package is complete, accurate, and current.

Proposals that do not fully comply with the requirements of the RFP will not be considered. Applicants must set forth full, accurate, and complete information. The penalty for making false statements to the U.S. Government in proposals is prescribed by 18 U.S.C. §1001.

For more technical requirements, see below.

SUBMISSION REQUIREMENTS

Applications must include the documents set forth below. If an application addresses more than one theme each theme should be clearly articulated in the program documents. To ensure that applications receive balanced evaluations, the Proposal Review Committee will review each section of the application up to the specified page limit and no further.

INFORMATION ON STANDARD FORMS

Applicants must submit completed SF-424, SF-424A, and SF-424B forms as directed on HYPERLINK "http://www.grantsolutions.gov/" www.grantsolutions.gov and/or www.grants.gov. In addition, please refer to the following guidelines as you fill out the SF-424:

1. Type of Submission: Application

2. Type of Application: New

3. Date Received: Leave blank. This will automatically be assigned.

4. Applicant Identifier: Leave blank

5. (5a). Federal Entity Identifier: Leave blank (5b). Federal Award Identifier: Leave blank

6. Date Received by State: Leave blank. This will automatically be assigned

7. State Application Identified: Leave blank. This will automatically be assigned

8. (8a). Enter the legal name of the applicant organization. Do NOT list abbreviations or acronyms unless they are part of the organization’s legal name.

(8b). Employer/Taxpayer ID Number: Non-U.S. organizations enter 44-4444444 (8c). Enter organizational DUNS number (Data Universal Numbering System). Organizations can request a DUNS number at https://iupdate.dnb.com/iUpdate/viewiUpdateHome.htm (8d). Enter the address of the applicant (8e). Enter the name of the primary organizational unit (and department or division, if applicable) that will undertake the assistance activity, if applicable (8f). Enter the name, title, and all contact information of the person to be contacted on matters involving this application

9. Select an applicant type (type of organization)

10. Enter: Department of State

11. The CFDA number is 19.703

12. Enter the Funding Opportunity Number and title. This number will already be entered on electronic applications.

13. Enter the Competition Identification Number and title. This number will already be entered on electronic applications.

14. Areas Affected by Project: PanamaList the country or countries where project activities will take place in alphabetical order; for projects that will take place in more than one region enter “Global”.

15. Enter the title of your proposed project (if necessary, delete pre-printed wording)

16. Congressional districts of Applicant and Program: Applicant if based in the U.S. please enter congressional district; if unknown or a foreign applicant please enter “90.” In box 16(b) for congressional district of program please enter “90.”

17. Please refer to the solicitation for the estimated start date and enter your projected end date

18. (18a) Enter the amount requested for the project described in the proposal under “Federal”; (18b) enter any cost-share under “Applicant”. Otherwise, use zeros.

19. Enter “c”

20. Select the appropriate box. If you answer “yes” to this question you will be required to provide an explanation.

21. Enter the name, title, and all contact information of the individual authorized to sign for the application on behalf of the applicant organization.

Please fill in the highlighted fields of the SF 424A with information from your proposed budget.

Please fill in the highlighted fields of the SF-424B: Page 2 - Complete applicant organization and title of authorized official sections. The Authorized Official is generally the grant signatory at the organization or business.

FORMATTING REQUIREMENTS

For all application documents, please ensure:

1. Maximum number of pages is 206 per target theme (does not include attachments)

2. All pages are numbered, including budgets and attachments

3. All documents are formatted to 8-½ x 11 inch paper

4. All documents (except for scanned attachments, which must be in .pdf format) are Microsoft Word or Microsoft Excel compatible, as applicable. Text documents must be single-spaced,12 point, Times New Roman font, and a minimum of 1-inch margins.

5. All documents must be submitted in English. (Please note: It is the Department of State’s policy that English is the official and controlling language for all documents.)

1. Proposal, consisting of:

a. Cover Page that sets forth proposal title, name of lead applicant, names of any other participating organizations, name and number of the Target Themes to which the proposal responds, and requested funding amount in U.S. dollars (see the award amount ceiling as stated in the RFAP).

b. Table of Contents (not to exceed one [1] page) that includes a page-numbered contents page, including any attachments.

c. Executive Summary (not to exceed one [1] page) that includes:

1. The target country

2. Name and contact information for the project’s main point of contact

3. A one-paragraph “statement of work” or synopsis of the program and its expected results

4. A concise breakdown of the project’s objectives and activities, and

5. The total amount of funding requested and program length.

d. Proposal Narrative, should be at least 10 3 pages but cannot exceed 15 6 pages in Microsoft Word; Please note the fifteen six page limit does not include the Table of Contents, Executive Summary, Attachments, Detailed Budget, Budget Narrative or NICRA. Applicants may submit multiple documents in one Microsoft Word file, or as separate, individually-submitted files. Applications submitted via email must include all documents – the entire application package – in one email.

The Proposal Narrative should address the specific criteria outlined in the solicitation, which may include:

i. An explanation of why the program meets the INL mandate: Proposals should clarify how the program is necessary for Panama the region and addresses the INL goal of Building Criminal Justice Systems. In case similar activities are already taking place, an explanation should be provided as to how new activities will not duplicate existing ones.

ii. Demonstrated Program Planning. The program plan should clearly describe the proposed objectives and activities, demonstrating clear linkages between activities and objectives. If applicable, proposals should identify local partners, target areas for activities, target participant groups or selection criteria for participants, among other pertinent details. Where appropriate, applicants may include back-up plans if the program or components of the program are not able to be implemented as initially conceived.

iii. Multiplier Effect and Sustainability. The proposal should demonstrate how the program will include elements of sustainability and achieve lasting impact.

iv. Institution’s Record and Capacity. The organization should briefly describe any experience it has in the target country/ies Panama and/or similar experience in the region or globally, as well as specific and relevant program successes which demonstrate the organization’s institutional capacity, including technical, organizational and financial capacity. Given the page limitations, it is recommended applicants avoid including general organizational history unless it is specifically relevant to the proposed program..

e. Summary and Detailed Line Item Budgets (in a separate Microsoft Excel or compatible format file), headed by proposal title and the legal name of lead applicant organization Budget line items should reflect specific program activities or needs, and the categories set forth below are OMB approved cost categories for grants and cooperative agreements. Please include the applicant organization’s name, title and duration of the project, and the following:

The Summary Budget should contain an overview by category of expenditures:

A. Personnel

B. Fringe Benefits

C. Travel

D. Equipment

E. Supplies

F. Contractual

H. Other Direct Costs

I. Total Direct Charges (sum A-H)

J. Indirect Charges

K. Total USG Funds (sum I-J)

L. Cost Share, if applicable

The Detailed Line-Item Budget should include:

a. Personnel – Identify staffing requirements by each position/ title and short and concise description of duties. List the annual salary for each position, percentage of time and number of months devoted to the project (e.g., Administrative Director: $30,000/year x 25% x 8.5 months; calculation: $30,000/12 = $2,500 x 25% x 8.5 months = $5,312.). Provide a detailed description of the responsibilities of each staff member whose salary is charged to the award.

b. Fringe Benefits – State benefit costs separately from salary costs and explain how benefits are computed for each category of employee, specifying type and rate. Fringe benefit application must be consistent with organization’s written policy.

d. Equipment – Provide justification for any equipment purchase/rental defined as tangible personal property having a useful life of more than one year and a unit cost of $5,000 or more.

f. Program Supplies – List items separately using unit costs, where possible. Supplies must be directly associated with program needs.

g. Construction – N/A

h. Other Direct Costs – these will vary depending on the nature of the project, such as monitoring and evaluation, venue rental, purchase of vehicle, etc. should be listed in the Other Direct Cost category. The inclusion of each anticipated cost must be addressed and justified in the budget narrative.

j. Indirect Charges – See applicable OMB Circulars. Will not be permitted without a NICRA. Foreign organizations are advised to directly account for what would otherwise be indirect costs under Other Direct Costs

l. Cost-Share – If applicable, an explanation of cost-share contributions should be included, whether cash or in-kind. Assign a monetary value in U.S. dollars to each in-kind contribution. If the proposed project is a component of a larger program, identify other funding sources for the proposal and indicate the specific funding amount to be provided by those sources. In addition, it is recommended that the budget narrative address the overall cost-effectiveness of the proposal, including leveraging of institutional or other resources.

j. Budget Narrative ( in Microsoft Word) that includes an explanation/justification for each line item in the detailed budget spreadsheet, as well as the source and description of all cost-share offered, if applicable. For ease of review, it is recommended that applicants order the budget narrative as presented in the detailed budget. Personnel costs should include a clarification on the roles and responsibilities of key staff. In addition, it is recommended that budget narratives address the overall cost-effectiveness of the proposal, including any cost-share offered, if applicable (see below for more information on cost-sharing and cost-effectiveness). Costs must be in U.S. dollars.

g. ATTACHMENTS (not to exceed 10 pages total), preferably in Microsoft Word, that include the following, in order:

· Monitoring and Evaluation Plan (see info below for more information on this section).

· Short bios of key personnel that highlight relevant professional experience. Given the limited space, CVs are not recommended for submission.

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

· Additional optional attachments. Attachments may include further timeline information, letters of support, memorandums of understanding/agreement, etc. For applicants with a large number of letters/MOUs, it may be useful to provide a list of the organizations/government agencies that support the program rather than the actual documentation.

Note: To ensure all applications receive a balanced evaluation, the INL Review Committee will review the first page of the requested section up to the page limit and no further. INL encourages organizations to use the given space effectively.

2. NICRA - An organization with a Negotiated Indirect Cost Rate Agreement (NICRA) from a cognizant U.S. federal government agency other than the U.S. Department of State should include a copy of the cost-rate agreement. Applicants should indicate in the proposal budget how the rate is applied and if any of the rates will be cost-shared. Organizations claiming indirect costs should have an established NICRA. If sub-recipients are claiming indirect costs, they should have an established NICRA that is also submitted with the proposal package. These documents will not count against the submission page limitations.

MONITORING AND EVALUATION

Monitoring and evaluation (M&E) is essential to program transparency and accountability. Program monitoring is required for all U.S. programs in accordance with the Government Performance and Results Acts (GPRA) of 1993 and 2010 and the "Evaluation Guidelines for Foreign Assistance Planning;" Planning and Performance Management Unit Office of the Director of U.S. Foreign Assistance, Final Version: March 25, 2009.

Proposals must have a clearly articulated performance measurement system showing how the project’s impact and effectiveness will be monitored throughout the project lifecycle. Successful monitoring and evaluation depends on the following: (a) Setting objectives that are clear, specific, attainable, measurable, results-focused, (b) defining a Results Framework linking program activities to attainment of stated program objectives, (c) developing clear baselines, targets, and performance indicators that measure realistic progress towards the objectives, indicating how progress will be measured, and (d) establishing a time frame and milestones.

Proposals must include a description of the methodology and data collection strategies for indicators and milestones. Where appropriate, applicants must be able to track participant training responses, such as changes in attitudes, information learned, and effects of the program on participant institutions. When feasible, impact evaluations are preferred.

Complete proposals shall include a detailed plan on how the project’s impact and effectiveness will be monitored and evaluated throughout the project.

Successful monitoring and evaluation depend on the following:

A performance indicator is an observable measurement related to the achievement of a stated objective. Two types of performance indicators are outputs and outcomes. Findings on outputs and outcomes should both be reported.

Outputs are products and services delivered from the program activities. Output data show the scope or size of project activities, such as the number of participants trained. Outcomes represent the specific, realistic results of a project and are usually measured as an extent of change. Outcomes may include progress toward expected program objectives or other results of the program.

Applicants should include a clear description of the methodology and data collection strategies/tools to be employed (e.g. pre- and post-surveys, interviews, focus groups). Organizations should be able to track participant training responses, including changes in attitudes, information learned, and effects of the program on participant institutions.

Recipients will be required to provide reports with an analysis and summary of their findings, both quantitative and qualitative, in their regular program reports to the Bureau.

PROPOSAL REVIEW CRITERIA

Review Process

Initially, INL staff will review all proposals to determine their compliance with the Technical and Submission requirements as noted in the RFA and the PSI. Compliant proposals will then be reviewed by the Proposal Review Committee, which will consist of personnel from INL and other DOS bureaus and USG agencies with equities in the project. Proposals may also be reviewed by the Office of the Legal Adviser or by other Department offices as deemed necessary. During the review process, INL may request additional programmatic, organizational and/or financial information. The Proposal Review Committee may make recommendations and impose conditions on any given proposal to enhance the proposed program.

Each proposal will be evaluated on how well it satisfied U.S. foreign policy objectives, the priority needs of INL, the availability of funding, and the following review criteria:

1) Quality of Program Idea (20 10 points) Proposals should be responsive to the solicitation and exhibit originality, substance, precision, and relevance to the Bureau's mission.

2) Program Planning/Ability to Achieve Objectives (20 40 points) A relevant work plan should demonstrate substantive undertakings and logistical capacity of the organization. The work plan should adhere to the program overview and guidelines described above. Objectives should be ambitious, yet measurable and achievable. For complete proposals, applicants should provide a monthly timeline of project activities.

3) Multiplier Effect/Sustainability (20 10 points) Proposed programs should address long-term institution building demonstrating capacity-building results.

4) Program Evaluation Plan (20 points) Programs should demonstrate the capacity for engaging in impact assessments and providing objectives with measurable outputs and outcomes.

54) Institution’s Record and Capacity (10 30 points) The Bureau will consider the past performance of prior recipients and the demonstrated potential of new applicants. Proposals should demonstrate an institutional record of successful programs, including responsible fiscal management and full compliance with all reporting requirements. Proposed personnel and institutional resources should be adequate and appropriate to achieve the project objectives. Roles and responsibilities of primary staff should be provided.

65) Cost Effectiveness (10 points) The overhead and administrative components of the proposal, including salaries and honoraria, should be kept as low as possible. All other items should be necessary and appropriate. Cost sharing is strongly encouraged but not required.

Before grants are awarded, the Bureau reserves the right to reduce, revise, or increase proposal budgets in accordance with the needs of the Bureau’s program and availability of funds.

REPORTING REQUIREMENTS

Reporting is critical to effective program management and oversight. Reports are required as a means of evaluating the recipient’s progress and utilization of resources. They are divided between a performance progress report and a financial status report.

Recipients will, at a minimum, be required to submit Quarterly Progress Reports (to include the SF-PPR, as the cover page) and Quarterly Financial Reports (SF-425). Progress Reports will compare actual to planned performance and indicates the progress made in accomplishing each assistance award tasks/goals noted in the grant agreement and will contain analysis and summary of findings, both quantitative and qualitative, for key indicators. Financial Reports provide a means of monitoring expenditures and comparing costs incurred with progress.

Recipients must report immediately when a program faces unplanned delays in implementation, fails to meet program targets or milestones, or costs increase. Any changes or revisions to the approved budget require prior approval from the INL Grants Officer.

Please note: It is the Department of State’s policy that English is the official language of all documents. If reports or any supporting documents are provided in both English and a foreign language, it must be stated in each version that the English language version is the controlling version.

OFFICE OF MANAGEMENT AND BUDGET (OMB) CIRCULARS

Organizations should be familiar with OMB Circulars 2 CFR 215 (A-110), 22 CFR 145 (Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit Organizations), 2 CFR 220 (A21) (Cost Principles for Educational Institutions) OR 2 CFR 230 (A-122) (Cost Principles for Nonprofit Organizations; Indirect Costs), and A-133/A-128 (Audits of Institutions of Higher Education and Other Nonprofit Organizations) on cost accounting principles. For a copy of the OMB circulars cited, please contact Government Publications or download from http://www.whitehouse.gov/omb/circulars_default.

IMPORTANT INFORMATION TO APPLICANTS

The Department of State will exercise normal federal stewardship responsibilities during the implementation of programs. Department of State involvement will include, but is not limited to: site visits, review and response to performance, technical or subject matter involvement, review of financial reports, and audit of programs to ensure that the objectives, terms, and conditions of a grant award are accomplished. INL reserves the right to exclude specific countries from programmatic or advisory activities.

INL will not consider proposals that reflect any type of support for any member, affiliate, or representative of a designated terrorist organization or narcotics trafficker, whether or not elected members of government.

ADDITIONAL INFORMATION

Once the Request for Proposals deadline has passed, U.S. Government officials - including those in the Bureau, the Department and at embassies/missions overseas - shall not discuss this competition with applicants until the entire proposal review process is completed.

Applicants will be notified by the INL Grants Office only with regard to the status of an application. Funding commitments can only be made by an INL Grants Officer. All other commitments from any representative other than an INL Grants Officer will be deemed unauthorized.

Recipients of federal assistance awards are advised that adherence to these policies and procedures are considered to be a material requirement of their award.

Recipients of federal assistance awards are reminded that only the Grants Officer has the authority to modify the Notice of Award, such as but not limited to budget revisions, extension of the period of performance, change of scope of work, etc. Recipients shall proceed with any security guidance provided by the RSO, but shall advise the Grants Officer and the GOR of the guidance received and any potential cost or schedule impact.

DISCLAIMER

The information contained in this RFAP is authoritative and may not be modified by any bureau representative. Explanatory information provided by INL that contradicts this RFAP will not be binding on INL. Issuance of this RFAP does not constitute an award commitment on the part of the Government, nor does it commit the Government to pay for costs incurred in the preparation and submission of proposals. INL reserves the right to reduce, revise, or increase proposal budgets in accordance with program needs.

Technical Requirements.

DUNS and SAM.gov Registration

Applicant organizations applying for federal assistance through INL are required to have a DUNS number in order to submit applications via www.grants.gov and/or via email. This requirement is a result of the OMB policy directive published in the Federal Register on June 27, 2003. Applicant organizations that do not have DUNS number, may obtain one at no cost by calling the toll-free DUNS request line at 1-866-705-5711 or visiting the D&B website at: https://iupdate.dnb.com/iUpdate/viewiUpdateHome.htm.

www.sam.gov registration is required of all INL awardees prior to receiving any federal assistance award. INL recommends that all applicants begin the SAM.gov registration process prior to or immediately after the submission of proposal in response to this RFP. If your organization was previously registered in CCR, you must still create a new Individual User Account in SAM prior to receiving a future federal grant. You should open an Individual Account as soon as possible and then migrate your legacy (CCR) account to SAM. For assistance, use the following link: https://www.fsd.gov or call 1-866-606-8220 (U.S. calls) or 1-334-206-7828 (international calls) NOTE: When you create a new SAM account, you must use the same e-mail address and DUNS number that you entered when you registered previously in the CCR. It is critical that you enter the correct DUNS number in your SAM.gov account. If the DUNS number does not match the number and mailing address on record on the Dun and Bradstreet website, you will not be able to complete your registration.

It is the responsibility of all applicants to ensure that proposals have been received via HYPERLINK "http://www.grantsolutions.gov/" www.grantsolutions.gov or www.grants.gov or email in their entirety. INL bears no responsibility for data errors resulting from transmission or conversion processes.

GrantSolutions.gov applications (FOR US applicants only) All applicants are encouraged to submit applications via HYPERLINK "http://www.grantsolutions.gov/" www.grantsolutions.gov, when applicable.

Applicants using HYPERLINK "http://www.grantsolutions.gov/" www.grantsolutions.gov for the first time should complete their “New Organization Registration” as soon as possible. This process must be completed before an application can be submitted. Registration with HYPERLINK "http://www.grantsolutions.gov/" www.grantsolutions.gov usually occurs directly after applicants submit their registration. To register with HYPERLINK "http://www.grantsolutions.gov" www.grantsolutions.gov, click “Login to GrantSolutions” and follow the “First Time Users” link to the “New Organization Registration Page.” There are different ways to register your organization, click on the link that fits best your organization’s structure.

www.grantsolutions.gov If an organization that has previously used GrantSolutions.gov is not able to access the system, please contact Customer Support for help in gaining access: HYPERLINK "mailto:help@grantsolutions.gov" help@grantsolutions.gov or call 1-866-577-0771.

Electronic applications submitted via HYPERLINK "http://www.grantsolutions.gov/" www.grantsolutions.gov must contain the SF-424 online forms (completed), the required documents specified in the application kit, and the RFP. No additional documents should be uploaded. The preferred document formats for the uploaded documents are .doc or .docx. Applicants should wait until the upload shows the status as “successful” before moving to the next part of the application kit.

Upon completion of a successful electronic application submission, the GrantSolutions system will provide the applicant with a confirmation page indicating the date and time (EST) of the electronic application submission as well as an official Application Number. This confirmation page will also provide a listing of all items that constitute the final application submission. Please save this page for your records.

For assistance with HYPERLINK "http://www.grantsolutions.gov/" www.grantsolutions.gov accounts and technical issues related to the system, please contact Customer Support at HYPERLINK "mailto:help@grantsolutions.gov" help@grantsolutions.gov or call 1-866-577-0771 (toll charges for international callers) or 1-202-401-5282 (US calls). Customer Support is available 8 AM – 6 PM EST, Monday – Friday, except federal holidays.

Grants.gov Applications (for US and Oversease applicants) Applicants who do not submit applications via HYPERLINK "http://www.grantsolutions.gov" www.grantsolutions.gov willare encouraged be advised to submit applications via www.grants.gov (see the RFP).

**PLEASE be advised that completing all the necessary registration steps for obtaining a username and password from www.grants.gov can take two full weeks. INL strongly urges applicants to begin this process on www.grants.gov well in advance of the submission deadline. No exceptions will be made for organizations that have not completed the necessary steps to post applications on www.grants.gov. Once registered, the amount of time for uploading can vary depending on the size of the application and the speed of your internet connection. In addition, validation of an electronic submission via www.grants.gov can take up to two business days. Therefore, we strongly recommend that you not wait until the application deadline to begin the submission process through www.grants.gov.

The www.grants.gov website includes extensive information on all phases/aspects of the www.grants.gov process, including section on frequently asked questions, located under the "For Applicants" section. INL strongly recommends that all potential applicants review thoroughly the www.grants.gov website.

Please refer to the www.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 www.grants.gov upon successful submission of an application. Again, validation of an electronic submission via www.grants.gov can take up to two business days. INL will not notify you upon receipt of electronic applications. Faxed, couriered, or emailed documents will not be accepted. Applicants must follow all formatting instructions in the applicable request for proposals (RFA) and these instructions.

Electronic applications submitted via www.grants.gov must contain the three parts listed as mandatory forms in the application package, including the proposal documents. Upon completion of a successful electronic application submission on Grants.gov, the applicant will receive an email confirmation that the application has been successfully submitted and is in the process of verification. The applicant will then receive another email confirming that the application has been verified. Both emails are provided by Grants.gov to verify that an application was received. Please save these emails for your records.

For assistance with Grants.gov, please call the Contact Center at 1-800-518-4726 or email support@grants.gov.

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