INL24GR0058-ROL-CiminalJustice-05152024_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:

Empowering Defense Attorneys, Strengthening Investigative Journalism and Support to the New Constitution Implementation in Uzbekistan

Funding Opportunity Number: INL24GR0058-ROL-CriminalJustice-05152024 Program: Rule of Law / Improving Criminal Justice Catalog of Federal Domestic Assistance (CFDA) Number: 19.703 - Criminal Justice Systems

Total Funding Available: $1,500,000 U.S. Dollars Funding Source: Post-Funds Application Ceiling: Up to $1,500,000 U.S. Dollars Application Floor: At least $500,000 U.S. Dollars Anticipated Number of Awards: 1-3 awards Initial Project Implementation Length: 18-24 months Estimated Project Start Date November 1, 2024 NOFO Issuance Date: May 15, 2024 Deadline for Submission of Questions: June 17, 2024 by 11:59 PM EST via email

Deadline for Submission of Applications: July 17, 2023 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 Azizbek Yusupov (YusupovAM@state.gov)- GOR http://www.grants.gov/ mailto:YusupovAM@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 several projects supporting rule of law and justice sector reforms intended to enhance the timely delivery of justice for citizens of Uzbekistan.

Priority Region/Countries: Uzbekistan

Problem Statements:

1. Despite significant legislative reforms aimed at regulating legal advocacy in 2018 in Uzbekistan, defense attorneys often face significant challenges in representing clients due to a lack of an effective adversarial system. The legal framework is predominantly based on an inquisitorial model, where judges and prosecutors play a central role in investigating cases and determining outcomes, while defense attorneys have limited opportunities to challenge evidence or advocate for their clients' rights. This results in an imbalance of power within the legal system, with defense attorneys struggling to effectively represent their clients and ensure fair trials. Furthermore, the legal profession in Uzbekistan suffers from a lack of training opportunities, and independent support networks for defense attorneys. Many practitioners operate in isolation, without access to essential legal resources or opportunities for professional development. As a result, individuals facing legal proceedings often receive inadequate and ineffective representation. Empowering defense attorneys with training, resources, and support is essential to address these systemic challenges and promote a more equitable and just legal system in Uzbekistan.

2. In Uzbekistan, the practice of investigative journalism encounters significant barriers stemming from strict government censorship, media regulations, limited press liberties, and a weak editorial review process. Since gaining independence in 1991, state-controlled media outlets have dominated the media landscape, subjecting independent journalists to harassment, intimidation, and censorship, particularly when covering sensitive topics such as government corruption and human rights violations. Despite these challenges, courageous investigative reporters have managed to uncover stories related to corruption and environmental degradation, often operating discreetly to avoid government scrutiny. Nevertheless, the absence of effective legal safeguards for journalists and a prevailing atmosphere of apprehension have hindered the expansion of investigative journalism. While there is optimism regarding a more transparent media environment under President Shavkat Mirziyoyev's reforms, considerable hurdles remain to enhancing press freedom and fostering journalistic autonomy.

3. The implementation of the new Constitution of Uzbekistan, which came into force on May 1, 2023, represents a significant milestone in the nation's legal and governance framework. This comprehensive overhaul, constituting a 65% renewal of the previous document, introduces substantial changes across key areas of governance. Noteworthy alterations include the reaffirmation of Uzbekistan as a legal, social, and secular state, the direct applicability of the constitution, and the recognition of human rights with restrictions permissible only for the maintenance of social morality and public order. Moreover, the recognition of teachers as a special category, the allowance for private property ownership of land, and the criminalization of

4 | P a g e obstruction to media activity underscore pivotal shifts in societal and governmental norms.

Further changes extend to the structure of public administration, with the presidential term extended to seven years and modifications to local government administration, such as the removal of governors from council chairmanships. Crucially, the constitution now explicitly prohibits the death penalty, safeguards against convictions based solely on confessions, and prohibits the use of unlawfully obtained evidence in judicial proceedings. Despite these progressive reforms, challenges persist in the effective implementation and enforcement of these constitutional provisions, necessitating coordinated efforts across legal, administrative, and societal domains to ensure their full realization.

Project Vision: INL is implementing projects focusing on the rule of law and improving justice. The following are brief descriptions of current projects:

The INL Empowering Defense Attorneys Initiative is an 18-month, $500,000 project with a main goal of strengthening the professional capacities, independence, and role of defense attorneys in Uzbekistan. The project will support efforts to strengthen the independence and equal professional treatment of defense attorneys and to incentivize the courts to operate in a more transparent and adversarial manner. The project will primarily provide assistance to the Chamber of Advocates of Uzbekistan (CoA) to strengthen defense attorneys’ performance and exercise a competitive process between prosecution and defense to determine the facts. The project will provide assistance to the CoA and defense attorneys in ensuring access to robust legal representation during the investigative processes. The project will support legal reforms aimed to enhance transparency and accountability within the judicial system, ensuring that defense attorneys have access to all relevant information and resources to mount a comprehensive defense for their clients, whereas the judge serves more as an arbiter between claims of the prosecution and defense.

Project Goal(s) and Objectives:

1. Training and Capacity Building: The grant will support training programs, workshops, and seminars aimed at enhancing the skills and capacity of defense attorneys in the adversarial legal system. Training topics will include trial advocacy, evidence presentation, cross-examination techniques, legal research, and case preparation, empowering legal professionals to effectively represent their clients in court.

2. Access to Legal Resources: Many defense attorneys lack access to essential legal resources, such as case law databases, legal libraries, and research materials. This grant will provide funding to establish and maintain resource centers, online databases, and libraries where legal professionals can access relevant legal precedents, statutes, and research materials to support their cases effectively.

3. Mentorship and Support Networks: Mentorship and peer support are invaluable for professional development and knowledge sharing among legal practitioners. This project includes provisions for mentorship programs, peer-to-peer networks, and mentor matching services, connecting experienced defense attorneys with aspiring advocates to provide guidance, advice, and support in navigating the adversarial legal system.

4. Advocacy and Public Awareness: Promoting public awareness and advocacy for the importance of the adversarial system is essential for its preservation and improvement. This grant will support advocacy campaigns, public forums, and educational initiatives aimed at raising awareness about

5 | P a g e the principles of adversarial justice, the role of defense attorneys, and the importance of due process in legal proceedings.

Expected Outcomes:

o Enhanced advocacy and defense skills among legal professionals, leading to improved outcomes for clients in legal proceedings.

o Increased access to legal resources and support services for defense attorneys, ensuring a more level playing field in adversarial litigation.

o Establishment of sustainable mentorship programs and support networks to facilitate ongoing professional development and knowledge sharing within the legal community.

o Raised public awareness and support for the adversarial system, leading to greater respect for due process and fairness in the administration of justice.

Project activities and deliverables:

o Conduct stakeholder consultations with key government officials, legal professionals, civil society organizations, and international partners to identify priority areas for advocacy and reform.

o Develop and disseminate informational materials, including policy briefs, fact sheets, and reports, to raise awareness about the challenges facing the legal profession in Uzbekistan and advocate for policy changes, as required.

o Organize training sessions, workshops, and seminars for lawyers and law students to enhance their skills, knowledge, and understanding of professional ethics and standards.

o Establish partnerships with local and international universities, bar associations, and legal clinics to expand access to legal education and training opportunities for aspiring lawyers.

o Monitor and evaluate the impact of advocacy efforts and reforms on the independence and effectiveness of the legal profession in Uzbekistan.

Participants and Audiences: Primary beneficiaries for this project will be members of the Chamber of Advocates of Uzbekistan, Center for Professional Development of Lawyers under the Ministry of Justice, judges and prosecutors, lawyers, students, and faculty of Tashkent State University of Law.

The INL Investigative Journalism to Combat Corruption is a 18-month $500,000 project aimed at supporting and strengthening the role of investigative journalism in promoting transparency, accountability, and uncovering systemic corruption as well as addressing existing gaps in journalism education. The project will help to reinforce investigative journalism efforts, foster journalistic integrity, and empower journalists to pursue in-depth reporting through capacity building, exchanges of experience, and training. This will help uncover corruption, combat misinformation, and foster a more informed and engaged citizenry.

Project Goal(s) and Objectives:

1. Enhance Investigative Reporting Skills: This project aims to provide training workshops, resources, and mentorship programs to journalists, equipping them with advanced investigative techniques, data analysis skills, and digital security measures to conduct thorough and ethical investigations.

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2. Support Investigative Projects: The grant will fund investigative reporting projects that research issues of public interest, such as government corruption, especially in State Owned Enterprises, public procurement, construction, health and education sectors, corporate malfeasance, social injustices, and environmental hazards.

3. Promote Collaboration: Partnership among journalists, news organizations, bloggers, civil society groups, think tanks, and academic institutions is essential for effective investigative reporting. This grant will facilitate partnerships and collaborative efforts to amplify the reach and impact of investigative journalism initiatives.

4. Foster Ethical Standards: Upholding ethical standards and integrity is fundamental to the credibility of investigative journalism. This project will incorporate training on journalistic ethics, fact-checking methodologies, and legal considerations to ensure that investigative reporting adheres to the highest standards of accuracy, fairness, and accountability.

5. Ensure Sustainability: Sustainable funding models are crucial for the longevity of investigative journalism endeavors. This proposal includes plans to establish a sustainable funding mechanism, such as endowments, subscription-based models, or partnerships with sponsor organizations, to support ongoing investigative reporting efforts beyond the grant period.

Expected Outcomes:

o Increased capacity and expertise among journalists in conducting investigative reporting, especially on complex corruption cases.

o Production of high-impact investigative stories that catalyze public discourse and drive positive social change.

o Strengthened networks and collaborations within the investigative journalism community.

o Establishment of sustainable funding mechanisms to support long-term investigative reporting initiatives.

o Enhanced public trust in journalism through adherence to ethical standards and transparency in reporting practices.

Project activities and deliverables:

o Organize training workshops on investigative techniques, data analysis, and digital security measures.

o Provide access to online resources, databases, and investigative journalism toolkits.

o Facilitate mentorship programs where local and foreign experienced journalists mentor aspiring investigative reporters.

o Conduct practical exercises and case studies to reinforce learning.

o Solicit proposals from journalists and media organizations for investigative reporting projects.

o Establish a selection committee to evaluate project proposals based on impact, relevance, and feasibility.

o Conduct networking events, seminars, and conferences to bring together journalists, news organizations, civil society groups, and academia.

o Facilitate partnerships between journalists and organizations working on related issues.

7 | P a g e o Create online platforms or forums for collaboration, knowledge sharing, and resource exchange.

o Conduct research on sustainable funding models for investigative journalism initiatives.

o Explore partnerships with philanthropic organizations, media foundations, or corporate sponsors interested in supporting investigative reporting.

o Offer training sessions on journalistic ethics, including principles of accuracy, fairness, and accountability.

o Provide resources on fact-checking methodologies and legal considerations relevant to investigative reporting.

Participants and Audiences: Journalists: Both investigative journalists and aspiring reporters interested in developing their skills; Media organizations: editors and staff from independent media outlets or newsrooms committed to investigative reporting; Civil society groups: activists and bloggers, citizen journalists, advocates, and NGOs working on issues relevant to investigative journalism, such as human rights, corruption, climate risk and environmental matters, and transparency; Academic institutions: professors, researchers, and students studying journalism, media studies, or related fields; Legal experts: lawyers and legal scholars specializing in media law, freedom of expression, and human rights law; Technologists: professionals with expertise in digital security, data analysis, and information technology relevant to investigative journalism.

Engaging a diverse range of participants and audiences ensures that the project has broad support, fosters collaboration, and maximizes its impact in promoting transparency, accountability, and social justice through investigative journalism in Uzbekistan.

The INL Supporting New Constitution Implementation is a 18-month, $500,000 project aiming to facilitate the effective implementation and integration of the reformed constitutional framework into Uzbekistan's legal, administrative, and societal structures. This initiative aims to provide comprehensive support and resources to ensure that the principles, rights, and provisions outlined in the new constitution are upheld and enforced across all levels of governance. Key objectives may include legal reforms to align existing laws with constitutional mandates, capacity-building initiatives to enhance administrative institutions' ability to enforce constitutional provisions, and public awareness campaigns to educate citizens about their rights and responsibilities under the new constitution. Additionally, the project may focus on fostering dialogue and collaboration between government entities, civil society organizations, and international stakeholders to promote transparency, accountability, and the rule of law in Uzbekistan's democratic transition.

Project Goal(s) and Objectives:

1. Facilitate Legal Reforms: Support drafting and advocating for legislative changes that align existing laws with the principles and provisions of the new constitution of Uzbekistan, ensuring legal coherence and consistency in the country's legal framework.

2. Strengthen Institutional Capacity: Provide training, technical assistance, and resources to governmental institutions responsible for enforcing constitutional provisions, enhancing their ability to administer justice, protect human rights, and uphold the rule of law effectively.

3. Promote Public Awareness and Participation: Develop and implement outreach campaigns, educational programs, and civic engagement initiatives to raise awareness among citizens about their rights and responsibilities under the new constitution, fostering active participation in democratic processes and promoting a culture of constitutionalism and accountability.

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Expected Outcomes:

o The commentary to the new constitution has been drafted, adopted, and disseminated which provides clear guidance and assistance in interpreting and clarifying the legal provisions, principles, and intentions underlying the constitutional text.

o Increased adherence to the principles and provisions of the new constitution leads to a more robust legal framework, fostering greater certainty, predictability, and fairness in the administration of justice and governance processes.

o Improved capacity of governmental institutions to enforce constitutional mandates results in more effective governance, increased transparency, accountability, and responsiveness to the needs and rights of citizens.

o Heightened public awareness and understanding of constitutional rights and responsibilities empower citizens to actively engage in democratic processes, advocate for their rights, and hold government accountable for upholding constitutional principles and protecting fundamental freedoms.

o Alignment of existing laws with constitutional provisions creates a conducive legal environment for economic development, investment, and social progress, fostering stability and prosperity in Uzbekistan.

o Successful implementation of the new constitution demonstrates Uzbekistan's commitment to democratic reforms, human rights, and the rule of law, enhancing its standing in the international community and fostering closer partnerships with other nations and international organizations.

Project activities and deliverables:

o Support appropriate host government organizations in drafting the commentary to the new constitution by providing expert guidance and assistance in interpreting and clarifying the legal provisions, principles, and intentions underlying the constitutional text. This process may entail collaboration with legal scholars, constitutional experts, and relevant stakeholders to ensure comprehensive coverage and accuracy in the commentary.

o Support in introduction and application of the commentary by disseminating the document to relevant stakeholders, including government officials, legal professionals, civil society organizations, and the general public. This may be accompanied by training sessions, workshops, and educational programs to familiarize stakeholders with the commentary and its significance in understanding and implementing the new constitution.

o Collaborate with civil society organizations to monitor electoral processes, ensure transparency, and address barriers to participation.

o Develop and implement comprehensive training programs for law enforcement officers and judicial officials on human rights principles, including topics such as non-discrimination, due process, and the prohibition of torture.

o Expand access to legal aid services by establishing legal aid clinics in underserved areas and providing training for legal assistants (paralegals) and community volunteers.

o Support the Anti-Corruption Agency to implement measures to protect whistleblowers.

o Introduce transparency measures in government decision-making processes, such as mandatory disclosure of government contracts and budgets, and the publication of officials' asset declarations.

o Strengthen mechanisms for citizen oversight and engagement, including the establishment of citizen advisory boards and the implementation of feedback mechanisms for public services.

9 | P a g e o Establish data collection mechanisms to gather information on key performance indicators, including surveys, focus group discussions, and administrative data collection systems.

o Conduct regular assessments and evaluations to review progress, identify challenges, and make adjustments as necessary to ensure the project's effectiveness.

o Disseminate findings from monitoring and evaluation activities to stakeholders through reports, presentations, and other communication channels to promote transparency and accountability.

By implementing these specific activities, the new constitution implementation project in Uzbekistan can make meaningful progress towards achieving its goals and objectives, ultimately contributing to the advancement of democracy, human rights, transparency, and accountability in the country.

Participants and Audiences: The Institute for Legislation and Legal Policy (ILLP) under the President of Uzbekistan, Ministry of Justice, Constitutional Court, Anti-Corruption Agency, Civil Society Organizations (CSOs), legal aid NGOs, election monitoring groups, advocacy groups, lawyers and legal scholars, judges and prosecutors, general public, citizens of Uzbekistan, beneficiaries of public awareness campaigns and educational programs on constitutional rights and responsibilities, community leaders.

Projects Expansion: If the project(s) is/are 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.

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 three (3) total years of project implementation.

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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.

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: 18-24 months Anticipated program start date: November 1, 2024 Number of awards anticipated: 1-3 awards (dependent on amounts) Award amounts: awards may range from a minimum of $500,000 to a maximum of $1,5 00,000 Total available funding: $1,500,000 Type of Funding: FY20/21 INCLE Funds under the Foreign Assistance Act

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 of the U.S. tax code;

• 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. 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).

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• 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.

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

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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 (Recommended page limit: 20) 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 “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

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• 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: Reporting of performance narratives and indicator data in INL’s DevResults database is required once project implementation is underway.

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 (Recommended page limit: 4) 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 Confirm whether the organization is a registered business entity within the target country or region

List of Key Personnel (Recommended page limit: 3) Names, titles, responsibilities, and relevant experience or qualifications of key personnel involved in the management of the project

Partner Information (Recommended page limit: 3) (if sub-grantee is 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

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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

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.

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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.

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.

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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

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%20NCAGE.p df

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.

http://fedgov.dnb.com/webform https://www.fsd.gov/gsafsd_sp 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/

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• 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.

NOTE: As of April 2021, any new or renewed SAM.gov registrations were given a Unique Entity Number (UEI). UEI does not expire, however you must renew your SAM.gov registration annually.

For more information regarding the transition from UEI (DUNS) to UEI (SAM), please click on the following link: https://www.fsd.gov/gsafsd_sp

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.

https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=c81018e71b1601d0937fa64ce54bcb57 http://www.fsd.gov/ https://www.fsd.gov/gsafsd_sp

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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.

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 http://www.