INL24GR0052-EAMOLDOVA-NAR-04172024.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: Enhancing National Assets Recovery in Moldova Funding Opportunity Number: INL24GR0052-EAMOLDOVA-NAR-05012024 Program: INL/EA - Moldova Catalog of Federal Domestic Assistance (CFDA) Number: 19.705 - Transnational Crime

Total Funding Available: 1,000,000.00 U.S. Dollars Funding Source: Post-Funds Application Ceiling: Up to 1,000,000.00 U.S. Dollars Application Floor: At least 700,000.00 U.S. Dollars Anticipated Number of Awards: 1 Initial Project Implementation Length: Up to 24 months Estimated Project Start Date: August 18, 2024 NOFO Issuance Date: April 17, 2024 Deadline for Submission of Questions: May 31, 2024 by 11:59 PM EST via email Deadline for Submission of Applications: June 30, 2024 by 11:59 PM EST via www.grants.gov Assistance Type: Grant Applicant Types and Eligibility Categories:

Refer to Section C: Eligibility Information for more information.

INL Points of Contact: Marco Horta (hortama@state.gov) - GO Ruxanda Revencu (RevencuR@state.gov)- PO/GOR http://www.grants.gov/ mailto:RevencuR@state.gov)-

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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.

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

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

Overview: The Bureau of International Narcotics and Law Enforcement Affairs of the U.S.

Department of State announces an open competition for organizations to submit applications to carry out a project to strengthen Criminal Assets Recovery Agency’s (CARA) role and mandate in coordinating the national assets recovery system.

Preventing and fighting corruption, and improving the asset recovery system, are among the important priorities provided by the current Moldovan Government's Program and Action Plan, the Association Agreement, the Memorandum with the International Monetary Fund, the European Union's Multiannual Financial Assistance and the recently approved National Plan for EU accession.

On June 23, 2022, the European Council granted Moldova candidate status and subsequently decided to initiate accession negotiations with the country on December 14, 2024. These decisions were contingent upon the Moldovan government undertaking various actions. A significant focus was placed on fulfilling the commitment to combat corruption across all levels, enhancing efforts against organized crime, intensifying collaboration with regional, European, and international partners, and improving the coordination among law enforcement agencies. Particularly emphasized was the implementation of a legislative package addressing the recovery of criminal assets. These conditions carry immense importance, especially considering the new EU regulations aimed at reinforcing asset recovery and confiscation in EU member states.

Over the past two years, Moldova has made strides in refining this mechanism, with a pivotal role played by the Criminal Assets Recovery Agency (CARA), which is an autonomous specialized agency within the National Anticorruption Centre (NAC). It was created in March 2017 by the Law no. 48 on the CARA. Upon creation it had eight staff members; currently, there are 32 employees. The functional mandate of CARA is to carry out financial investigations and trace proceeds as part of ongoing criminal proceedings; to evaluate, manage and dispose of proceeds; to keep records of confiscated proceeds of crime; to negotiate the repatriation of proceeds of crime; to cooperate internationally and exchange information with foreign competent authorities; to represent the interests of the state and of legal entities under public law in civil proceedings to recover proceeds, including from abroad. However, Moldova has consummated only a limited number of confiscation cases, with a significant portion of criminal assets merely being seized or frozen rather than subjected to formal confiscation proceedings. As a result, less than 1% of this amount has reached the state budget.

Currently, CARA guides its strategic work based on the National Program for Asset Recovery for 2022-2027 (adopted on December 15, 2022) aiming at enhancing the system through legislative changes and creating the recovery mechanism, including asset repatriation mechanism. The Plan of Measures to limit the excessive influence of private interests on economic, political and public life (deoligarchization), being one of the core documents for the EU accession, provides urgent measures to be undertaken by May 2024 to ensure the assets recovery mechanism is improved (via legislative amendments and enhanced coordination). The recently adopted National Integrity and Anti-Corruption Program for 2024-2028 and its Action Plan (adopted on December 28, 2023) target reducing corruption and increasing integrity in the public and private sectors, aligning with commitments for EU accession and impulse the authorities to create the National Coordination Task Force for Asset Recovery on December 29, 2023. This is the first Task Force in the Republic of Moldova created for asset recovery to make the prevention and fight against corruption more efficient, including through the cooperation and direct involvement of seven responsible https://ec.europa.eu/commission/presscorner/detail/en/ip_23_6533 https://www.legis.md/cautare/getResults?doc_id=105677&lang=ro https://www.legis.md/cautare/getResults?doc_id=105677&lang=ro https://www.legis.md/cautare/getResults?doc_id=135063&lang=ro https://presedinte.md/app/webroot/uploaded/plan_CNIE_ro_08.06.2023.pdf https://presedinte.md/app/webroot/uploaded/plan_CNIE_ro_08.06.2023.pdf https://presedinte.md/app/webroot/uploaded/plan_CNIE_ro_08.06.2023.pdf https://www.cna.md/libview.php?l=en&idc=5&id=5286&t=/Mass-Media/Events/The-National-Integrity-and-Anti-Corruption-Program-for-the-years-2024-2028-adopted-by-the-Parliament https://www.cna.md/libview.php?l=en&idc=5&id=5292&t=/Mass-Media/Events/Seven-state-institutions-signed-a-joint-order-regarding-the-creation-of-the-National-Coordination-Task-Force-for-the-criminal-asset-recovery-in-order-to-make-the-prevention-and-fight-against-corruption-and-organized-crime-more-efficient

4 | P a g e authorities. At the same time, an administrative Mechanism for Recovering Money from the Bank Fraud was adopted in May 2021 to accelerate the recovery from the Bank Fraud case (the last hearings in this case resulted in the removal from office by Parliament of the Governor of the National Bank of Moldova).

Currently, CARA has an electronic registry to keep records of criminal assets derived from cases where the Agency is involved (the National Common Registry of Preserved Proceeds), but data are incomplete and a new SIA is now developed with international partners’ support. In addition, CARA has access to more than 20 national registers and databases. With banking/financial institutions, there is an electronic exchange of data. Internationally, CARA has access to over 30 databases and contact points on platforms such as CARIN, SIENA, EUROPOL and INTERPOL.

In 2022, a legal amendment was adopted allowing CARA to exceptionally dispose of assets the value of which decreases by more than 10% per year. In 2023, CARA advanced further by issuing freezing orders for 35 assets, comprising 4 apartments, 18 agricultural lands, a residence, a construction land, 2 vehicles, and 9 bank accounts holding various currencies: 418,000 MDL, over 16,000 USD, and approximately 3,700 EUR. Simultaneously, the CARA-secured seizures, exceeding 26 million MDL, were validated by the investigating judge's conclusion. Presently, the Agency is scrutinizing 88 delegations across 58 criminal cases, involving 124 subjects with diverse procedural statuses. The work is conducted in cooperation with various other judicial, law enforcement and administrative national authorities – cooperation that is often only modest and not necessarily well coordinated despite the existing Working Group managed by CARA aiming at ensuring this cooperation and responsible for monitoring the implementation of the National Plan implementation.

Why it is important to act now? The needs, areas for potential enhancement, and priorities of CARA are primarily outlined in the National Program for Asset Recovery. Nevertheless, with the start of negotiations with the EU and advancements in the field, attention will be directed towards this ongoing process. Therefore, it becomes crucial to assist CARA in immediate tasks specified in the National Plan for EU accession. This includes reviewing and updating existing inter-agency arrangements among anti-corruption and law enforcement agencies, as well as amending the legal framework to enhance the efficiency of tracing and seizing criminal assets (including civil and criminal confiscation - mechanisms discussed currently on the Ministry of Justice’s Platform for legislative development on assets confiscation and recovery), while reinforcing the role of confiscation. Assistance in reviewing and updating existing inter-agency arrangements among anti-corruption and law enforcement agencies, set out in the Accession Plan is also required. Further strengthening of CARA's institutional capacity by offering training and expertise in various areas (such as evaluation and administration of commercial enterprises, cryptocurrency, real estate markets, and the management of precious metals and stones etc.) and facilitating dialogue and the exchange of experiences with other jurisdictions are also considered relevant and necessary.

Priority Region/Countries: Moldova

Problem Statement: The Moldovan Criminal Assets Recovery Agency (CARA) currently faces significant challenges in effectively detecting, confiscating, and managing assets acquired through criminal activities. The existing process lacks the necessary efficiency, coordination, and international collaboration required to meet EU and international best practices. To address these issues, a comprehensive project is needed to strengthen CARA's capacities and enhance its ability to recover criminally obtained money or property both domestically and abroad.

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Project Vision:

The project envisions a reinvigorated Moldovan Criminal Assets Recovery Agency that stands at the forefront of international best practices, demonstrating efficiency, coordination, and collaboration in the detection, confiscation, and management of assets acquired through criminal activities. By investing in comprehensive capacity-building measures, both domestically and abroad, the project aspires to position CARA as a leading force in combating organized crime and corruption, fostering a safer and more just society.

The successful realization of this intervention will result in a transformed CARA, serving as a beacon of justice and integrity. Moldova will witness a reduction in the prevalence of criminal assets, fostering public trust and confidence in the nation's commitment to combating organized crime and corruption. The project's ultimate impact will extend beyond borders, contributing to the broader international effort to create a more secure and resilient global financial system.

Project Goal and Objectives:

The primary goal of this project is to empower CARA in its mission to recover assets obtained through criminal means by addressing the aforementioned challenges. The project aims to enhance CARA's capabilities in detection, confiscation, and management of criminally obtained assets, both within Moldova and across international borders. Furthermore, it seeks to foster improved collaboration with national authorities and international peer bodies to create a more effective and integrated system for national asset recovery. The successful implementation of this project will not only strengthen Moldova's fight against financial crime but also align CARA's practices with EU and international standards. The project will also help to advance the U.S. foreign policy objectives and INL strategic goals, in particular: Combat corruption and illicit financing to strengthen democratic institutions, advance rule of law, and reduce transnational crime and its enablers.

Objective 1. Improving the legislative framework and policies in the area of assets recovery. Current legislation and policies governing assets forfeiture in Moldova lack the necessary clarity, scope, and effectiveness required for a comprehensive and streamlined assets recovery system. Existing regulatory framework may exhibit gaps, inconsistences, and limitations, hindering the optimal functioning of agencies involved in assets forfeiture. Inadequate provisions may impede the ability to track, seize, and manage assets related to illicit activities, thereby compromising Government’s ability to combat corruption, organized crime and other forms of financial wrongdoing. A thorough review and improvement of the legislative and policy landscape are essential to empower agencies involved in asset recovery, enhance coordination, and fortify the legal framework (including internal SoPs) necessary for successful assets forfeiture efforts in alignment with European standards.

Actions to be taken:

- Conduct a comprehensive review of existing regulatory frameworks and policies related to national asset recovery

- Identify gaps, inconsistencies, and areas requiring improvement in the legislative and policy landscape

- Provide assistance in drafting and implementing reforms to empower CARA with clear authority, expand scope, and enhance tools for effective coordination

- Develop and refine internal Standard Operating Procedures (SOPs) aligned with

European standards

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- Ensure that the improved legislative framework supports CARA in tracking, seizing, and managing assets associated with illicit activities effectively.

Objective 2. Enhancing collaboration and partnerships. The lack of robust partnerships, both domestically and internationally, limits the capacity to track, freeze, and repatriate assets linked to criminal activities. Inadequate sharing of information and resources across agencies and borders exacerbates the challenges faced by asset recovery initiatives. Addressing these deficiencies is crucial for establishing a cohesive and well-coordinated national and international network, thereby enhancing Moldovan law enforcement capacities to combat financial crimes, corruption, and other illicit activities through more effective collaboration and partnerships.

Actions to be taken:

- Provide assistance to strengthen collaboration between law enforcement agencies, financial institutions, and other relevant stakeholders involved in assets recovery.

- Create and establish tools that will ensure the seamless exchange of information between CARA and other agencies for effective investigation.

- Help to enhance partnerships with international organizations and foreign counterparts to facilitate cross-border cooperation in assets recovery efforts.

Objective 3. Capacity building. The current state of CARA reveals deficiencies in both human resources and technological infrastructure. There exists a critical gap in the skills and expertise of personal involved in assets recovery, from investigation to legal proceedings and assets management. Moreover, the absence of advances IT solutions hampers efficient data analysis, information sharing, and case management, limiting the overall effectiveness of assets recovery efforts. Insufficient training programs and lack of investment in cutting-edge IT tools hinder the ability to adapt to evolving challenges and exploit emerging opportunities in the field of assets forfeiture. Addressing these capacity-related issues is imperative for building a skilled and technology-savvy workforce, thereby fortifying Government’s ability to successfully track, seize, and manage assets associated with illicit activities.

Actions to be taken:

- Develop training programs for CARA staff to enhance their skills in investigation, legal proceedings, and assets management.

- Improve CARA’s IT infrastructure to support data analysis, information sharing, and case management.

- Provide ongoing training to keep personnel abreast of evolving challenges and opportunities in the field of asset forfeiture

- Establish a knowledge-sharing platform to foster collaboration and expertise development within CARA

Objective 4. Increasing public awareness and advocacy. Insufficient public understanding of the importance and complexity of criminal assets forfeiture not only undermines the potential deterrent effect on criminal behavior but also poses a significant obstacle to law enforcement agencies and legal entities seeking to recover ill-gotten gains. This gap in awareness highlights the pressing need for a comprehensive public awareness and advocacy initiative, aimed at educating and engaging the Moldovan society in the fight against financial crimes and promoting the legitimacy and efficacy of asset forfeiture measures.

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Actions to be taken:

- Help to increase public awareness about the importance of national asset recovery in combating corruption and organize crime.

- Advocate for public support and understanding to build a favorable environment for

CARA’s initiatives.

- Organize informational events, seminars, and workshops to engage the public in the fight against financial crimes

- Establish partnerships with media outlets for widespread dissemination of information

- Measure and assess the impact of the awareness campaign on public perception and support

Objective 5. Increasing the efficiency of assets management and disposal procedures. Efficient management and disposal of recovered illegal assets are crucial to prevent offenders from reclaiming or benefitting from their ill-gotten gains. Without proper mechanisms, there is a risk that seized assets could find their way back into the hands of criminals, undermining the effect of asset forfeiture. The current system of handling the confiscated assets is not fully efficient, lacking a standardized framework, leading to delays, resources wastage, and potential loopholes that might compromise the entire prosecution.

Actions to be taken:

- Develop efficient mechanisms for the management and disposal of recovered assets, ensuring that they are put to productive use for the benefit of the public.

- Establish a standardized framework for handling confiscated assets to eliminate delays and resource wastage

- Implement procedures for transparent and accountable asset disposal for the benefit of the public

Objective 6. Increasing transparency, and improving monitoring and evaluation techniques. The absence of transparent practices not only undermines the principles of accountability and good governance but also creates opportunities for corruption and misconduct within the assets forfeiture process. Consequently, the inadequacy in transparency hampers the public’s ability to assess the impact of asset forfeiture on combating organized crime and corruption, necessitating urgent attention to establish a more open and accountable framework that ensures public confidence.

Actions to be taken:

- Help to increase transparency in CARA’s operations, including its decision-making processes and handling of recovered assets.

- Create mechanisms for external oversite to enhance accountability.

- Establish a robust monitoring and evaluation framework to assess CARA’s performance and impact regularly.

- Develop a system based on performance metrics to identify areas of improvement, and adjust activities, operations and even strategies accordingly.

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Project activities and deliverables:

The grantee will play a pivotal role in orchestrating workshops and seminars, creating a platform for knowledge exchange and skill development. These events will not only serve as educational tools but will also facilitate collaboration among stakeholders. Additionally, study visits will be organized to gain insights from successful implementations elsewhere. The involvement of national and international experts forms a critical component, as their assessments will provide a well-rounded evaluation of the system. Their recommendations will guide the project towards optimal functionality and efficiency.

Furthermore, the project envisions the procurement of essential equipment and the provisioning of relevant software and IT solutions. This dual approach ensures that the beneficiary receives not only the hardware necessary for the project's implementation but also the tailored software solutions required for seamless integration and operation. This strategic investment in technology aims to empower the beneficiary, fostering self-sustainability and long-term success. The combination of capacity-building through workshops, expert assessments, and the provision of cutting-edge technology underscores the holistic approach undertaken by the implementing organization to achieve the project's objectives.

Participants and Audiences:

Principal Beneficiary: Criminal Assets Recovery Agency (CARA) of the National Anti-Corruption Centre Indirect beneficiaries: Office for Prevention and Combating of Money Laundering, State Tax Service, General Police Inspectorate, Ministry of Justice, General Prosecutor’s Office, Anticorruption Prosecutor’s Office

Project Expansion:

If the project is successful, INL will consider the option of an award modification to expand 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.

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.

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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

Grant

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: August 18th, 2024

Number of awards anticipated: one award

Award amounts: awards may range from a minimum of $700,000.00 to a maximum of $1,000,000.00

Total available funding: $1,000,000.00

Type of Funding: FY 22/23; Appropriation: 1911231022000J

C. ELIGILIBITY 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;

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

• Foreign-based educational institutions

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.

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

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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.

• 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 this grant announcement.

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 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.

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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 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, target country(ies), 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 issue to be addressed, including why it is important to address, what the main causes of the issue are, and who has power to effect change on the issue; suggested approaches and solutions (with evidence to support suggestions); and suggestions for revision to NOFO goals and objectives if needed.

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 program objectives; and objectives, if achieved, should result in achievement of program goals. 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.

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

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“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.

Future Funding Plan/Sustainability: Briefly discuss the plan for ensuring the sustainability of the project (i.e., that the project continues to have impact beyond the grant period) or note if sustainability is unlikely without continued support. Applicants may also include a brief section outlining how additional funds could potentially be used to expand work into additional activities or countries beyond the initial project period.

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.

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.

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). May be 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 any experience the organization has in the target country or region

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Confirm whether the organization is a registered business entity within the target country or region

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

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

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

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

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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-grantee that has an approved NICRA, and includes NICRA charges in the sub-award budget, a copy of the sub-grantee 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.)

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.

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.

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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, and All Word documents are, at minimum, single-spaced with 12 point Times New Roman 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 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 http://fedgov.dnb.com/webform https://www.fsd.gov/gsafsd_sp

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NCAGE Code Organizations physically located outside the United States and its territories must also register for an NCAGE code. This request can be completed simultaneously with a UEI request. (Note: CAGE codes for US-based entities will be automatically assigned in SAM.gov).

• NCAGE application: https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx

• NCAGE application instructions:

https://eportal.nspa.nato.int/AC135Public/Docs/US%20Instructions%20for%20NSPA%2 0NCAGE.pdf

Help with NCAGE Code registration issues:

• Call 1-888-227-2423 (callers within the U.S.)

• Call 1-269-961-7766 (callers outside the U.S.)

• Email NCAGE@dlis.dla.mil

System for Award Management (SAM.gov)

Prior to submitting an application in grants.gov, organizations must register in SAM.gov and/or ensure that their SAM.gov registration is active. Organizations are required to renew their SAM.gov registration annually.

• Initiate the registration or renewal process at https://www.SAM.gov. Select “Entity Registration” to begin the registration or renewal request.

• First-time applicants should initiate the SAM.gov registration after receiving their UEI and, if applicable, NCAGE Code (for foreign organizations). CAGE codes will be automatically assigned to US-based organizations.

Note: The process of obtaining or renewing a SAM.gov registration may take anywhere from 4-8 weeks. Please begin your registration as early as possible.

• Organizations based in the United States or that pay employees within the United States will need an Employer Identification Number (EIN) from the Internal Revenue Service (IRS), a Commercial and Government Entity (CAGE) code, and a UEI number prior to registering in SAM.gov.

• Organizations based outside of the United States and that do not pay employees within the United States do not need an EIN from the IRS, but do need a UEI number prior to registering in SAM.gov. Please note that as of December 2022, organizations based outside of the United States that do not intend to apply for U.S. Department of Defense (DoD) awards are no longer required to have a NATO CAGE (NCAGE) code to apply for non-DoD foreign assistance funding opportunities. If an applicant organization is mid-registration and wishes to remove an NCAGE code from their sam.gov registration, the applicant should submit a help desk ticket (“incident”) with the Federal Service Desk (FSD) online at www.fsd.gov to seek guidance on how to do so.

Any applicant listed on the Excluded Parties List System (EPLS) in SAM.gov is not eligible to apply for an assistance award. 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 no ineligible entity is included in their proposal.

https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx 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 https://www.sam.gov/ https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=c81018e71b1601d0937fa64ce54bcb57 http://www.fsd.gov/

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D.3.1 Exemptions An exemption from these requirements may be permitted on a case-by-case basis if:

● An applicant’s identity must be protected due to potential endangerment of their mission, their organization’s status, their employees, or individuals being served by the applicant.

● For an applicant, if the Federal awarding agency makes a determination that there are exigent circumstances that prohibit the applicant from receiving a unique entity identifier and completing SAM registration prior to receiving a Federal award. In these instances, Federal awarding agencies must require the recipient to obtain a unique entity identifier and complete SAM registration within 30 days of the Federal award date.

Organizations requesting exemption from UEI or SAM.gov requirements must email the point of contact listed in the NOFO at least two weeks prior to the deadline in the NOFO providing a justification of their request. Approval for a SAM.gov exemption must come from the warranted Grants Officer before the application can be deemed eligible for review.

Note: As of December 2022, organizations based outside of the United States that do not intend to apply for U.S. Department of Defense (DoD) awards are no longer required to have a NATO CAGE (NCAGE) code to apply for non-DoD foreign assistance funding opportunities.

Grants.gov To submit an application to this NOFO, applicants must register in grants.gov.

• Go to www.grants.gov and select “Register” from the banner at the top of the page.

• This should be the last step of the entity registration processes, completed after obtaining a UEI number, NCAGE/CAGE Code (if applicable), and SAM.gov registration.

Help with grants.gov registrations and application submission:

• Go to the grant.gov support page at https://www.grants.gov/web/grants/support.html

• Call +1 800-518-4726

• Email support@grants.gov

It is the responsibility of each applicant to ensure that its application was submitted in www.grants.gov correctly. INL bears no responsibility for errors resulting from transmission or conversion processes associated with application submissions. If applicants are unable to resolve technical issues in the system, they should email the INL points of contact listed on the first page(s) of this NOFO with an explanation of the issue and proof of attempts to resolve it (e.g., emails with grants.gov support). INL Grants Office will then determine whether the applicant is allowed to submit application materials via email.

https://www.grants.gov/web/grants/support.html mailto:support@grants.gov

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E. APPLICATION REVIEW INFORMATION

1. Technical Evaluation Criteria A technical evaluation committee, using the criteria shown in this Section, will evaluate the applications. The various functional elements of the technical criteria are assigned weighted scores, so that the applicants will know which areas require emphasis in the preparation of applications.

Where technical applications are considered essentially equal, cost may be the determining factor.

Applicants should note that these criteria serve as the standard against which all applications will be evaluated and serve to identify the significant matters which applicants should address in their applications.

The relative importance of each criterion is indicated by the number of points assigned. A total of 100 points is possible.

Project Analysis & Design – Total Possible Points: 50

• Analysis of the problem is insightful and accurate. Insightful analysis includes a thorough discussion of the main causes and scope of the issue the project seeks to address and discussion of who has power to effect change on the issue (10)

• Suggested approaches and solutions (i.e., the theory of change) are: (10) o Based on good evidence; and o Appropriate given the problem, its causes, and its scope

• Proposed implementation plan is: (12) o Aligned with suggested approaches and solutions o Feasible given timeline, resources, and context o Designed such that activities, if implemented according to plan, should result in achievement of program objectives; and objectives, if achieved, should result in achievement of program goals

• Proposal includes a gender, equity, and inclusion analysis addressing the ways in which women, gender diverse persons, and members of other marginalized and underrepresented groups, including those with intersecting aspects of identity, might affect and be affected by this project, (3)

• Description of likely challenges to implementation plan, including risks of harm to organization staff, project participants, and/or others, is thorough and mitigation strategies are appropriate (8)

• Applicant considers the gender, equity, and inclusion analysis as part of risk assessment by identifying possible risks to participants as a result of their participation in line with Do No Harm principles. (2)

• Analysis and planning for sustainability is realistic (5)

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Program Monitoring and Risk – Total Possible Points: 25

• Change Map includes indicators for each goal and objective; and proposed indicators are useful for decision making, accurate in measuring the intended result, reliable, and timely (10)

• Illustrative Indicator Reference Sheet includes selected standard indicators; provides three valid indicators for goals, objectives, or sub-objectives in the change map; and demonstrates a thorough plan for data collection (10)

• Risk assessment is thorough and realistic, addresses challenges in the operating environment, and proposes adequate strategies to mitigate risks to the project (5)

Institution’s Record and Capacity Rating – Total Possible Points: 10

• The applicant demonstrates an institutional record of successful programs in the proposed country/region and program area (2)

• Professional experience of staff and institutional resources are adequate and appropriate to achieve the project's objectives (2)

• The roles and responsibilities are clearly delineated among staff and partners (2)

• Applicant is a current/former INL grantee and they successfully manage/managed the project OR the applicant has not worked with INL previously and demonstrates experience in managing similar-sized projects (2)

• Applicant…