NOFO Anticorruption Complaint Platform - 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:

ESTABLISHING A CIVIL SOCIETY ANTI-

IMPUNITY COMPLAINT PLATFORM

Funding Opportunity Number: INL22CA0042-WHPELSAL-CSComplaint-050422

Program: Central America Regional Security Initiative CARSI

Catalog of Federal Domestic Assistance

(CFDA) Number:

19.703 - Criminal Justice Systems

Total Funding Available: $6,000,000.00

Application Ceiling: Up to $6,000,000.00 U.S. Dollars

Application Floor: At least $2,000,000.00 U.S. Dollars

Anticipated Number of Awards: 1 award Initial Project Implementation Length: 36 months from date of award

Estimated Project Start: August 2022

NOFO Issuance Date: May 4, 2022

Deadline for Submission of Questions: June 3, 2022 by 11:59 PM EST via email

Deadline for Submission of Applications: July 5, 2022 by 11:59 PM EST via www.grants.gov

Assistance Type: Cooperative Agreement

Applicant Types and

Eligibility Categories:

Organizations only.

Refer to Section C: Eligibility Information for more information.

INL Points of Contact:

Cheryl Price, PriceCH@state.gov

Elena “Katia” Rubio, RubioEK@state.gov mailto:PriceCH@state.gov mailto:RubioEK@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.

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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: PROPOSAL GUIDELINES

APPENDIX B: PROJECT MONITORING PLAN AND PROJECT RISK ANALYSIS

APPENDIX C: BUDGET AND BUDGET NARRATIVE

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A. PROJECT DESCRIPTION

Overview: President Biden has laid out a strategy that directs the U.S. government to coordinate in the fight against corruption, including by working with international partners and strengthening the capacity of civil society. Unfortunately, corrupt power structures in Northern Central America increasingly limit the United States’ ability to work through host country justice systems to fight corruption, including in El Salvador where host country anticorruption efforts have been politicized to the point where one’s political party membership may protect them from or expose them to scrutiny, investigation, or prosecution.

U.S. capacity building cannot overcome this lack of political will. Institutions are being weakened or co-opted to maintain power and hide corrupt acts, and civil society organizations lack the capacity and support needed to hold governments accountable. Increasing restrictions on and threats against civic spaces make their work even more difficult.

The Department of State, Bureau of International Narcotics and Law Enforcement Affairs, has designed an Anti-Impunity Framework to address these challenges.

Priority Region/Countries: El Salvador

Problem Statement: 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 implement a project titled “Establishing a Civil Society Anti-Impunity

Complaint Platform,” subject to the availability of funds and pending Department of State management approvals. INL intends to issue an award in the amount of up to $6,000,000.00 USD for an initial project period of 36 months.

Project Vision: The Anti-Impunity Framework is an alternative concept to fight corruption and impunity.

The Civil Society Anti-Impunity Complaint Platform is part of a broader INL Anti-Impunity

Framework that will support civil society actors to:

● Develop a coordinated anticorruption communications strategy,

● Implement long-term civic education,

● Establish and coordinate judicial observatories,

● Strengthen legal defense and protection, and

● Serve as a repository to document corruption and impunity cases.

The platform will work with complainants to submit information through the appropriate host country mechanisms in El Salvador and monitor and track action, or lack thereof, on that information through each system.

The Complaint Platform will receive complaints through walk-in referrals, telephone referrals, web/app referrals, and media monitoring. Staff advisors with legal expertise in local and international contexts and laws(s), as well as relevant U.S. laws, will gather information, identify

5 | P a g e appropriate conduits for referral, and follow up with both the complainants and the judicial mechanisms to which complaints are referred. They will consider and implement ways to protect complainants from exposure and retaliation, respect international rights and local laws, and not restrict access to other legal and civil mechanisms for redress, in consultation with the complainants.

The efforts of the platform will be coordinated closely with INL’s other Anti-Impunity

Framework initiatives.

Project Goal(s) and Objectives:

Project Goal: Establish and promote an effective and safe platform for receiving, developing, and referring cases to civil society, independent institutions that play a key role in the fight against corruption, and host country institutions, and to provide citizen education and ultimately reduce corruption-related impunity in El Salvador. Discrete projective objectives below may be pursued concurrently or serially, as appropriate.

Competitive proposals will consider recommendations in Transparency International’s

“Complaint Mechanisms: Reference Guide for Good Practice,” found at this location:

(https://knowledgehub.transparency.org/assets/uploads/kproducts/ti_document_-

_guide_complaint_mechanisms_final.pdf).

Objective 1: Develop a complaint reporting mechanism that is free and accessible to citizens, allows for anonymity, and includes a walk-in office for in-person complaints, as well as online and telephone reporting mechanisms.

https://knowledgehub.transparency.org/assets/uploads/kproducts/ti_document_-_guide_complaint_mechanisms_final.pdf https://knowledgehub.transparency.org/assets/uploads/kproducts/ti_document_-_guide_complaint_mechanisms_final.pdf

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Competitive proposals will demonstrate a knowledge of local legal context and identify appropriate entity types for compliance with local and national laws. Proposals may approach legal and physical setup in phases.

Objective 2: Hire a team of technical, administrative, and legal sector experts to develop complaint information, refer to appropriate Civil Society Organization (CSO) and justice channels, and follow up with complainant and referral recipients.

Competitive proposals demonstrate an understanding of the qualifications particularly in the legal sector and emphasize the balanced recruitment of those individuals with established competencies in host government mechanisms, the justice sector, or civil society. They will also demonstrate implementer sensitivity to and consideration for gender representation.

Objective 3: Develop and establish workflows including monitoring and reporting on efforts.

The platform will establish workflows that support and enhance the accountability, transparency, and efficiency of the justice sector. To accomplish this, the platform will have clear procedures for referral, case management, and follow-up. The platform will also provide reports on case monitoring and progress.

Successful proposals will include a proposal for monitoring and evaluation of the platform’s progress, including quantitative indicators.

While the complaint platform will seek to develop and evaluate complainant information, including coordinating related complaints for referral to appropriate national or international entities, the complaint platform will not perform an investigative role. For those cases requiring investigative effort, the platform will identify and coordinate with competent entities who carry out investigations.

Processes should be developed in concurrence with INL; INL will provide final review and approval for all processes.

Objective 4: Identify (on an ongoing basis) civil society organizations that can credibly and without political bias investigate corrupt acts and potentially act as plaintiff; refer appropriate cases.

Development of a network of CSOs is an ongoing activity. Successful proposals will include a proposal to adjust workflows and referral procedures based on the ongoing development of civil society. The platform will also provide adequate separation between civil society and law enforcement coordination to maintain the integrity of all involved organizations and entities.

Objective 5: Develop and execute a marketing and communications plan to promote the platform to public and targeted civil society organizations. Marketing plans should promote the platform and educate the public on fighting corruption and impunity.

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Project activities and deliverables:

Activity 1.1: Identify or set up a legally organized entity or entities to oversee and staff the platform.

Deliverable 1.1: Entity or entities to oversee and staff the platform is/are selected and properly credentialed.

Activity 1.2: Identify, contract, and equip a physical location including phone and internet service for staff offices and receiving telephone and walk-in referrals from complainants. The applicant should provide as much information as possible on how the online, walk-in and telephone referrals will be received and processed. The reporting channels must be recognizable, reachable, and understandable to people with different literacy levels.

Deliverable 1.2: Physical location for the platform set up and equipped, including launch of telephone and walk-in referrals procedures.

Activity 1.3: Develop and launch an online mechanism(s) for reporting complaint information, including anonymously if desired by the complainant. The applicant should provide as much information as possible on how the online mechanism will be implemented.

Deliverable 1.3: The online mechanism for reporting complaint information is launched including an anonymous submission option.

Activity 1.4: Implement measures to protect sensitive data from unauthorized access, alteration, or deletion. Establish and implement a security monitoring plan and appropriate incident handling protocols. Ensure anonymous and secure communication between the complainant and the platform.

Deliverable 1.4: Data security and protection manual is created.

Activity 2.1: Contract or employ appropriate administrative, technical, and legal/advisory personnel to provide initial staffing of the platform.

Deliverable 2.1: Project organizational chart defined, and full staffing established and maintained.

Activity 2.2: Identify and establish relationships with host country legal entities, civil society organizations, and other partners and stakeholders for developing and referring complaints.

Deliverable 2.2: Successful referral of multiple complaints to host country legal entities, civil society organizations, partners, and stakeholders.

Activity 3.1: Establish processes for complaint intake, review, and referral.

Deliverable 3.1: Standard operating procedures for complaint management are created.

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Activity 3.2: Establish and implement best practices for case referral, including identifying cases that meet thresholds for referral to host country justice mechanisms and/or referral to civil society for further development or to act as co-plaintiff, and to other international instances.

Activity 3.3: Establish processes for case follow-up with referral recipients and complainants.

Activity 3.4: Establish a case tracking system including monitoring and reporting elements.

Activity 3.5: Establish a media monitoring program, both to maintain awareness of cases with media attention and to identify new potential cases for referral.

Activity 3.6: Develop and track metrics to determine progress of case referrals and increased media coverage of case processing.

Deliverable 3.2-6: Develop a case referral, follow-up, tracking procedure manual and media monitoring program. Successful referral and tracking of multiple complaints through the system.

Activity 4.1: Identify civil society organizations and perform assessments of topical areas of expertise as well as opportunities for development.

Activity 4.2: Establish working relationships with CSOs and host country institutions.

Deliverable 4.1-2: List of civil society organization and agreements done with host country institutions. Assessments of CSO areas of expertise and opportunities for development.

Activity 4.3: Monitor and report on progress and provide updated assessments of civil society capacity by organization and country.

Deliverable 4.3: Provide a quarterly synthesis report of activities and progress with civil society organizations including descriptive statistics of case intake, referral, and other progress markers.

Activity 5.1: Develop and submit a marketing and communications plan with public and CSO sector outreach elements.

Activity 5.2: Execute approved plan to promote the platform and educate audience-specific citizens on corruption offenses and how to report to make information resonate.

Deliverable 5.1-2: Marketing and communications plan developed, report status of plan execution.

Activity 5.3: Provide a report on campaign performance, including response metrics. Identify areas of success and areas for improvement for future campaigns.

Deliverable 5.3: Campaign report presented to INL; feedback incorporated for future campaigns.

Activity 5.4: Identify and develop cases for publicity and execute public relations and communications efforts to promote platform successes.

Deliverable 5.4: Samples of publicity efforts with specific cases.

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Activity 5.5: Produce and publish public-friendly reports of the platform’s activities and results.

Develop innovative approaches as means for dissemination of reports and information.

Deliverable 5.5: Copies of published reports and analysis.

B. FEDERAL AWARD INFORMATION

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

1. Project Implementation Period

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

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

2. Assistance Type

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

For cooperative agreements, INL may be substantially involved in the following ways:

• Approval of the recipient’s annual work plans, including: planned activities for the following year, travel plans, planned expenditures, event planning, and changes to any activity to be carried out under the Cooperative Agreement;

• Approval of specified key personnel;

• Approval of sub-award recipients (if any), and concurrence on the substantive provisions of the sub-awards; and coordination with other cooperating agencies; and

• Approval of Monitoring and Evaluation Plan

• Other country- or project-specific approvals will be included in the award documents.

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: 36 months

Anticipated program start date: August 2022

Number of awards anticipated: 1 award

Award amounts: awards may range from a minimum of $2,000,000.00 to a maximum of

$6,000,000.00

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Total available funding: $6,000,000.00

Type of Funding: FY19 and FY20 Justice Sector Reform funds

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;

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

• Foreign-based educational institutions

• Note: Local organizations (in El Salvador) must partner with U.S.-based or Foreign-based organizations to be eligible.

2. Cost Sharing or Matching

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

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

3. Other Eligibility Requirements

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

Individuals are not required to have a unique entity identifier or be registered in SAM.gov.

Refer to Section D for additional guidance.

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

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

• 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.

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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

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 http://www.grants.gov/

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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

• 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.

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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

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

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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

NICRA – Optional

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

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

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

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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.

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. For more information, please go to the following link: https://www.fsd.gov/gsafsd_sp

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

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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.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.

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

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

17 | P a g e 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 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)

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• Analysis and planning for sustainability is realistic (5)

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 submits copies of organization-wide policies and procedures on Preventing

Sexual Exploitation and Abuse or explains how the applicant plans to develop such policies, which should also apply to sub-grantees. (2)

Cost Effectiveness – Total Possible Points: 15

• Activity-related costs are realistic, appropriate, and clearly linked to project objectives (5)

• Personnel costs (e.g., staff salaries, contractor rates, and honoraria) are reasonable given the amount of work and oversight needed to manage the project (5)

• Administrative costs (e.g., staff travel, supplies, office costs) are necessary, justified, and in good proportion to direct activity costs (5)

2. Review and Selection Process

INL first reviews all submitted applications for technical eligibility, based on the list of required documents in Section D: Application and Submission Information. All technically eligible applications are then passed to a review committee, which will evaluate the applications against the Technical Evaluation Criteria listed in the previous sub-section. The application(s) selected by the review committee are then presented to INL management and the Grants Officer for approval.

INL will notify successful applicant(s) via email and pass along any conditions, recommendations, or questions from the review committee. INL will notify unsuccessful

19 | P a g e applicants via email after an award has been issued to the successful applicant(s); therefore this notification process may take several months.

INL reserves the right to fund any number of applications or none of the applications submitted and will determine the resulting level of funding for each award(s).

3. Federal Awardee Performance & Integrity Information System (FAPIIS)

For all awards with a federal total exceeding $250,000, INL is required to review and consider any information about the applicant in FAPIIS.

Organizations are able to review and comment on any information about itself that a federal awarding agency previously entered and is currently in the designated integrity and performance system, accessible through SAM.gov. INL will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under federal awards when conducting pre-award due diligence.

F. AWARD ADMINISTRATION INFORMATION

1. Federal Award Notices

The grant award or cooperative agreement will be written, signed, awarded, and administered by the Grants Officer. The DS-1909 award agreement is the authorizing document and will be provided to the recipient for review and signature via email or SAMS Domestic. The recipient may only start incurring program expenses beginning on the official project start date, unless pre-award costs are authorized in the award agreement.

If a proposal is selected for funding, the Department of State has no obligation to provide any additional future funding. Renewal of an award to increase funding or extend the period of performance is at the discretion of the Department of State.

Issuance of this NOFO neither constitutes an award commitment on the part of the U.S.

government, nor does it commit the U.S. government to pay for costs incurred in the preparation and submission of proposals. Further, the U.S. government reserves the right to reject any or all proposals received.

2. Administrative and National Policy Requirements

Before submitting an application, applicants should review all the terms and conditions and that will apply to this award to ensure that they will be able to comply. These include, but may not be limited to:

• 2 CFR 25 - UNIVERSAL IDENTIFIER AND SYSTEM FOR AWARD

MANAGEMENT

• 2 CFR 170 - REPORTING SUBAWARD AND EXECUTIVE COMPENSATION

INFORMATION

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• 2 CFR 175 - AWARD TERM FOR TRAFFICKING IN PERSONS

• 2 CFR 182 - GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE

WORKPLACE (FINANCIAL ASSISTANCE)

• 2 CFR 183 - NEVER CONTRACT WITH THE ENEMY

• 2 CFR 200 – UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES,

AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS

• 2 CFR 600 – DEPARTMENT OF STATE REQUIREMENTS

• U.S. DEPARTMENT OF STATE STANDARD TERMS AND CONDITIONS

INL will review and consider applications in accordance with the Office of Management and

Budget’s guidance located at 2 CFR part 200, all applicable Federal laws, and relevant Executive guidance. This may include, but is not limited to:

• Guidance for Grants and Agreements in Title 2 of the Code of Federal Regulations (2

CFR), as updated in the Federal Register’s 85 FR 49506 on August 13, 2020, particularly on:

o Selecting recipients most likely to be successful in delivering results based on the program objectives through an objective process of evaluating Federal award applications (2 CFR part 200.205) o Prohibiting the purchase of certain telecommunication and video surveillance services or equipment in alignment with section 889 of the National Defense

Authorization Act of 2019 (2 CFR part 200.216) o Promoting the freedom of speech and religious liberty in alignment with

Promoting Free Speech and Religious Liberty (E.O. 13798) and Improving Free

Inquiry, Transparency, and Accountability at Colleges and Universities (E.O.

13864) (2 CFR parts 200.300, 200.303, 200.339, and 200.341) o Providing a preference, to the extent permitted by law, to maximize use of goods, products, and materials produced in the United States (2 CFR part 200.322) o Terminating agreements in whole or in part to the greatest extent authorized by law, if an award no longer effectuates the program goals or agency priorities (2

CFR part 200.340)

3. Program-Specific Requirements

State Department Leahy Amendment Vetting Requirements

Funds provided under this award will be subject to Section 620M of the Foreign Assistance Act of 1961, as amended, a provision titled “Limitation on Assistance to Security Forces” (the “Leahy

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

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The recipient will be required to exercise due diligence to ensure compliance with the Leahy provision and State Department policy, and to cooperate with the State Department in implementation of the Leahy requirement for funds under this award. The Department implements the Leahy requirement by vetting units or individuals proposed for training or other assistance to check for credible information of a gross violation of human rights by such units or individuals. To facilitate State Department vetting, the Recipient must provide the required information for proposed participants at least sixty (60) calendar days prior to commencing award activities. This information should be submitted to the U.S. Embassy in the country where the award will be implemented in order to initiate Leahy vetting procedures.

4. Reporting Requirements

Recipient Reports

Recipients will be required to submit financial reports and program narrative reports. The award document will specify how often these reports must be submitted.

Applicants should be aware of the post-award reporting requirements reflected in 2 CFR 200

Appendix XII—Award Term and Condition for Recipient Integrity and Performance Matters.

Foreign Assistance Data Review

As required by Congress, the Department of State must make progress in its efforts to improve tracking and reporting of foreign assistance data through the Foreign Assistance Data Review

(FADR). The FADR requires tracking of foreign assistance activity data from budgeting, planning, and allocation through obligation and disbursement. Recipient(s) will be required to report and draw down federal funding based on the appropriate FADR Data Elements, indicated within their award documentation. In cases of more than one FADR Data Element, the successful applicant will be required to maintain separate accounting records.

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APPENDIX A: PERFORMANCE MONITORING PLAN

Monitoring is the ongoing collection and analysis of information to…