NOFO - Border Management Study - Final Version 102721.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: Border Management Study – U.S.-Mexico Border

Funding Opportunity Number: INL22GR0001-WHPMEX-BORDMGMT-10202021

Program: INL/Mexico Border Security Program

Catalog of Federal Domestic Assistance

(CFDA) Number:

19.704- Counternarcotics

Total Funding Available: $250,000

Application Ceiling:

$250,000

Application Floor: $100,000

Anticipated Number of Awards: 1-3

Initial Project Implementation Length: 12 months

Estimated Project Start: December 15, 2021

NOFO Issuance Date: October 28, 2021

Deadline for Submission of Questions: November 10, 2021, by 11:59 PM EST via email

Deadline for Submission of Applications:

November 26, 2021, by 11:59 PM EST via www.grants.gov

Assistance Type:

Grant

Applicant Type:

Organizations only – See Section C (Program Office will fill this in)

Eligibility Categories:

Refer to Section C: Eligibility Information for more information.

INL Points of Contact:

List both GO and PO/GOR names and contact information

Caitlin Kennel (kennelck@state.gov) Mexico City INL Grants Unit

(mexicocityinlgu@state.gov) mailto:Caitlin mailto:kennelck@state.gov

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EXECUTIVE SUMMARY

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

U.S. Government clearly identified transnational crime as a threat to public safety and national security, and committed through the National Security Strategy to pursue transnational threats to their source. The

Administration’s strategic approach recognizes that international security depends on the cooperation of strong, sovereign nations that respect the rights of their citizens while advancing safety and security. 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 and diplomatic engagement.

Drug trafficking and associated violence—including violence that drives irregular migration to the United

States—are not the only threats to our homeland against which we must remain vigilant. Financial crime, cybercrime, and intellectual property theft cost the U.S. economy – including U.S. businesses and individual citizens – billions of dollars each year. Human smugglers and transnational criminal organizations (TCOs) that traffic in people, weapons, wildlife, and other contraband imperil the safety of the American people. We also see TCOs operating with hostile foreign powers. Our strategic competitors and rogue states skillfully operate below the threshold of military conflict, challenging U.S. interests and leadership through new methods of influence and coercion.

INL strengthens the criminal justice sector capacities of our partners and allies to manage transnational threats more effectively before they reach U.S. borders or impact U.S. interests. Our work promotes U.S.

leadership by advancing a rules- and norms-based international order grounded in the rule of law. We lead U.S. government efforts to develop new, and implement existing, international standards on drug supply and drug demand reduction and against corruption and organized crime. We draw from the widest range of U.S. expertise in our implementation of criminal justice capacity-building programs, and through our promotion of international cooperation, common standards, and interoperability, our work contributes to effective investigations of crimes. We work closely with U.S. law enforcement agencies to develop and deliver both foundational skills and advanced skills ranging from basic police training to complex cybercrime and money laundering investigative techniques. This work enhances critical relationships between U.S. law enforcement entities and their foreign counterparts. We deliver security through justice.

INL’s foreign assistance programs and diplomatic engagement are critical tools in advancing U.S. policy objectives. One of our greatest strengths is our flexibility to confront emerging challenges, but we can be most effective if we are strategic in how and where we engage to build partner nation capacity.

Accordingly, this strategy sets up a framework for understanding how INL prioritizes foreign assistance and diplomatic engagement, which identifies three strategic goals to guide INL’s efforts:

1. Disrupt or deter significant illicit drug trafficking and other transnational criminal activity that threatens U.S. national security, public safety, or drives irregular migration to the United

States.

2. Reduce instability in strategically vital regions and strengthen the resilience of partners facing malign influence.

3. Drive global action through international engagement that promotes interoperable criminal justice systems and common standards to combat shared criminal threats.

The Bureau’s priority programs support three inter-related objectives:

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• BUILDING CRIMINAL JUSTICE SYSTEMS: Institutionalize rule of law by developing and expanding criminal justice systems to strengthen partner country law enforcement and judicial effectiveness, foster cooperation in legal affairs, and advance respect for human rights;

• COUNTER-NARCOTICS: Disrupt the overseas production and trafficking of illicit drugs through targeted counter-narcotics and institution-building assistance and coordination with foreign nations and international organizations, and;

• TRANSNATIONAL CRIME: Minimize the impact of transnational crime and criminal networks on the United States and its allies through enhanced international cooperation and foreign assistance.

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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

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:

assess the economic impact of improved border management screening, technology, and standardization on the U.S.-Mexico border.

Transnational criminal organizations exploit the U.S.-Mexico border as the main entry point for illegal drugs into the United States and bulk cash and weapons into Mexico. The high volume of traffic at these points of entry demands a new, technology-centric approach to enhance U.S. national security and derive additional positive impacts in Mexico and beyond. INL recognizes the need to better utilize advancements in technology, improve information sharing, and create standardized practices and procedures to reduce wait times, improve security, decrease opportunities for corruption, and increase trade and revenue at ports of entry.

This project will also provide insights in improving trade facilitation and minimizing the impact of transnational criminal networks in the border region and beyond. Improved border management will create an environment in which the licit economy can thrive, while providing a counter to transnational criminal organizations and addressing a key drive of irregular migration to the United

States. Evidence of the quantitative impacts of enhanced border screening is critical to establishing buy-in from various stakeholders on the importance of these changes.

Applicants should demonstrate their ability to convene appropriate stakeholders within the Mexican and U.S. governments, private sector, and civil society to achieve this project, including an ability to provide written products and conduct public outreach in both Spanish and English. Applicants should demonstrate experience with the border economy and demonstrate knowledge of contacts on both sides of the border. Applicants should articulate an ability to use publicly available information to complete the project and be willing to utilize information INL provides from other projects for this effort. INL may designate specific ports of entry for the grantee to examine.

1. Priority Region/Countries

United States

Mexico

2. Project Goal(s)

To enhance shared security between the United States and Mexico by identifying economic benefits of strengthened detection capabilities at U.S.-Mexico border crossings and to facilitate legitimate trade and travel across the U.S.-Mexico border.

This project will also provide a concise understanding of the economic impact of recommendations made by the Sandia National Laboratories to improve U.S.-Mexico border operations and to demonstrate the benefit of these interventions to the U.S. and Mexico.

3. Project Objectives

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Objective 1: Produce an Economic Impact Study of U.S.-Mexico Border

This objective aims to inform members of the public and policy makers on both sides of the border of the costs and benefits of enhanced screening at the U.S. border to combat transnational criminal organizations while enhancing legitimate trade and travel. The study must be based on industry best practices for cost-benefit analysis.

• Activity 1: Produce a public-facing economic impact study that will demonstrate the quantitative (to the extent feasible) and qualitative direct and indirect costs and benefits

(to include the net benefits) of improvements to, and standardization of, screening procedures at the U.S.-Mexico border. This study should include an analysis of estimated impacts on local and national economies and industries in the United States and Mexico, including highlighted quantitative benefits of reduced wait times at the U.S.-Mexico border. This study should be completed within the first six months of award. The study should at a minimum analyze the following items:

o Economic impacts of reduction in wait times according to each mode of transportation;

o Traveler volumes according to each mode of transportation at each agency-designated port of entry;

o Number, type, and scope of U.S. and Mexican jobs and industries dependent on cross-border trade and travel;

o Estimated gains to U.S. and Mexican economies, including potential number of jobs positively impacted or created.

• Activity 2: Produce a complementary public-facing impact analysis demonstrating the expected impacts of improvements at the U.S.-Mexico border to all of the United States and Mexico, disaggregated by states and stakeholder (e.g., U.S. government, trade members, travelers, etc.).

• Activity 3: Produce data visualizations to demonstrate the impact to specific constituencies within the United States and Mexico.

• Activity 4: Organize a public release of the impact study with the goal of disseminating the results to the general public. A public release should be done in Mexico as well.

4. Participants and Audiences

• The general public within the United States and Mexico

• Business and trade focused organizations within the United States and Mexico

• U.S. and Mexican government stakeholders and policy makers, including members of

Congress, Secretary of Economy, customs authorities, migration authorities, among others

• INL

• Other audiences as determined by the grantee

5. Project Expansion

If the project is successful, INL will consider the option of expanding 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.

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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 (e.g., grant or cooperative agreement) 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: 12 months

Number of awards anticipated: 1-3 awards (dependent on amounts)

Award amounts: awards may range from a minimum of $100,000 to a maximum of $250,000

Total available funding: $250,000

Type of Funding: INCLE Mexico funds

Anticipated program start date: December 15, 2021

C. ELIGILIBITY INFORMATION

1. Eligible Applicant Types

Below is the standard list of eligible applicant types. If necessary, drafters can remove bullet points from the list below, but should not add any new 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);

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• Foreign-based educational institutions

2. Cost Sharing or Matching

Cost share is the portion of project costs not borne by the U.S. government. Cost share is recommended but not required for this project.

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

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 or DUNS number from Dun & Bradstreet), 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.

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 http://www.grants.gov/ http://www.grants.gov/

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2. Required Application Documents

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

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

Standard Application Forms

SF-424 (Application for Federal Assistance – Organizations)

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

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

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

Certain documents in the list below are suggested to include a page limit, based on historical preferences by INL program offices. If you would like to add a page limit requirement to any additional documents, please follow the format included in this template to ensure uniformity.

You may also remove page limit requirements from any of the documents below, though it is not recommended for the Proposal Narrative.

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 10 pages Applicants may use their own proposal template, but it must include all the sections below.

Refer to Appendix A for additional guidance on drafting a proposal narrative.

Cover Page: include organization name, project title, requested number of months, target country(ies), point(s) of contact, and requested funding amount.

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

Executive Summary: include a synopsis of the project, including a breakdown of the goals, objectives, and activities. Include a brief statement on why the project is likely to achieve the goal and how it will be sustainable.

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).

Activity Map: outline the goal, objectives, sub-objectives (if applicable), activities, and indicators. Refer to the table in Appendix A for additional guidance.

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). Applicants may also include a brief section outlining how

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Monitoring and Evaluation Plan This document outlines how activities will be monitored to ensure they are executed in a timely manner, and how the project will be evaluated to ensure the goals are met. 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

Monitoring and Evaluation Plan.

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.

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

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

Partner Information – Maximum 3 pages (Recommended page limit: 3)

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 included under the Related Documents section of this NOFO announcement on www.grants.gov. 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

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.

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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 for which an audit is required and/or plans for the organization to undergo an audit in the future.

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 (DUNS Number) Organizations must have a DUNS number from Dun & Bradstreet.

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

http://fedgov.dnb.com/webform

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NCAGE Code

Organizations physically located outside the United States and its territories must also register for an NCAGE code. This request can be completed simultaneously with a DUNS Number request.

• 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 DUNS

Number and, if applicable, NCAGE Code.

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.

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 DUNS Number, NCAGE Code (if applicable), and SAM.gov registration.

Help with grants.gov registrations and application submission:

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

• Call +1 800-518-4726

• Email support@grants.gov

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

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

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E. APPLICATION REVIEW INFORMATION

1. Technical Evaluation Criteria

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

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

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

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

Drafters are encouraged to edit the following evaluation criteria and/or point values to fit the specific needs of their project. The points noted for each criteria below are used as examples only.

Project Analysis & Design – Total Possible Points: 55

• Analysis enables proposal reviewers to determine:

o if objectives are necessary and sufficient to reach the goal;

o if activities are engaging the right people to achieve the project’s goal and objectives; and o if activity dosage is sufficient (i.e., will the activities engage enough people for enough time for it to be reasonable to expect to achieve the objectives?) (20)

• The goal aligns to INL policy and is clear and feasible (5)

• Objectives are clear, necessary, and address systemic barriers to reaching the goal, including one concept, and specifying a target population (10)

• Activities engage enough people for enough time to be likely to achieve the desired change and engage people with the power to support or block achieving the desired change (10)

• Objectives and activities include approaches to mitigate the risk of the project failing to meet its goal and/or causing inadvertent harm (10)

Program Monitoring and Risk – Total Possible Points: 20

• Proposes indicators that are useful for decision making, accurate in measuring the intended result, reliable, and timely (10)

• Monitoring plan demonstrates a focus on collecting useful monitoring data and understanding of how to link that to real project management decision making (5)

• 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

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• The applicant demonstrates an institutional record of successful programs in the proposed country/region and program area (4)

• 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)

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 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 $150,000, 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.

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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

• 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:

https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.25&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.25&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.170&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.170&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.175&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.182&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.182&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.183&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=a363a071d9b62ad7f4b21566c542cd7a&mc=true&tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl https://www.ecfr.gov/cgi-bin/text-idx?SID=a363a071d9b62ad7f4b21566c542cd7a&mc=true&tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&tpl=/ecfrbrowse/Title02/2chapterVI.tpl https://www.state.gov/about-us-office-of-the-procurement-executive/

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• 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

Leahy Vetting is required for projects in which units of a security force or its individual members

(e.g., military, police) will receive benefit under this project. If this does not apply, delete the paragraphs in red.

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.

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.

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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: PROPOSAL GUIDELINES

This document provides additional guidance on drafting proposal documents. Applicants should also refer to Section A of this NOFO for detailed guidance on INL’s design standards for this project.

INL will use these standards when assessing the degree to which proposals are likely to achieve significant results.

A. ANALYSIS OF THE PROJECT CONTEXT

Building off the information provided in the NOFO and demonstrating applicants’ expertise in both analysis and country context, this section should provide information to contextualize the activities the applicant proposes as the best way to reach the goal. This should include:

• Additional causes of, or additional details on, the problem that the project goal seeks to address. This is particularly important if the proposal recommends adding or altering any objectives. Objectives must be necessary and sufficient to reach the goal. This analysis should enable proposal reviewers to determine if that is the case.

• Detailed power analysis: who can affect or block the desired changes outlined in the objectives and goals? Be as specific as possible. This analysis should enable proposal reviewers to determine if activities are engaging the right people to achieve the objectives and goal.

• Overview of who needs to change how much. The objectives in the NOFO identified the target populations for those respective changes. In this particular context, how much of the target population will the project’s activities need to reach to achieve the objectives? How close or far from the objective is the target population? This analysis should enable proposal reviews to determine if activity dosage is sufficient. In other words, will the activities engage enough people for enough time for it to be reasonable to expect to achieve the objectives?

B. PROJECT DESCRIPTION

This section captures what the project seeks to change (goal and objectives), how (activities), when

(timeline), and the underpinning logic of the overall approach. Please review the INL design standards guidance and ensure the project description aligns to those concepts. If, based on your analysis, you recommend a revised goal or objectives, use those in the below.

This section should include the following:

• A one-paragraph narrative overview of the project goal and key elements for reaching that goal

• A brief outline of the proposal’s theory of change and how the goal, objectives, and activities will create change and produce results

Timeline

The narrative should include a chart or other linear schedule to outline a realistic timeline of all key activities related to project implementation.

• Provide a time-based breakdown of key project phases, including start-up, implementation of activities, monitoring and evaluation efforts, and closeout

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• Include the dates, times, and locations of planned activities and events, where possible

If you selected Logic Model (and thereby deleted the requirement for an Activity Map) from Section

D: Required Application Documents, delete the red text and table below. The Logic Model template that is provided to applicants through grants.gov contains guidance and example language, so additional guidance is not necessary in this Appendix.

Activity Map

Refer to the table below for guidance and as an example of the preferred formatting to present the proposed goals, objectives, measures, and indicators. The guidance inserted in the template should be deleted as it is filled out with project content.

Vision: X (Optional)

Vision Indicator: X (Optional)

Vision Measure: X (Optional)

Goal: Goal Title

Either use the goal provided in the NOFO or suggest an alternate one here. A goal is the most significant change you expect the project to create. If you are proposing an updated goal, it must:

• Align to INL policy

• Be relevant (i.e., worth prioritizing in a given context)

• Be a change, not activities

• Be clear enough to establish a common understanding of what success looks like, including by defining potentially ambiguous terms

• Be achievable given the time, resources, and context

Goal Indicator: Indicator Title

Indicators:

• indicate the state that would demonstrate success of the goal, objective, sub-objective, or activity

• denote either measures or milestones

• begins with an adjective (e.g., improved, increased)

Example: “Increase in new anti-corruption laws adopted by the host government.”

Goal Measure: X

Measures are:

• the tangible way to quantify progress and demonstrate how we will record and evaluate that progress

• possibly similar to indicators, but not always

• always a numerical value or quantity and must begin with a unit of measure

(e.g., quantity, weight, time, knowledge/capacity)

Example: “Number of new anti-corruption laws adopted.”

Objective 1: Objective Title

Either use the first objective from the NOFO or propose an alternate.

Objectives are the changes that need to occur to achieve the goal. If you are proposing an updated objective, each objective must:

• be a clear change, not an activity;

• include a clear target population for each objective (i.e., the specific actors or group that will change)

• contain just one concept per objective.

Taken together, all the objectives must:

• be necessary and sufficient to add up to the change specified in the goal

• address systemic change needed to reach the goal

Indicator 1: Indicator Title

Measure 1: X

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Failure to build sustainability into a project’s design is a common way in which projects fail to meet their goals. To prevent that, consider objectives necessary for sustainability.

Sub-Objective 1.1

Due to the complex systems and contexts, some objectives may require another layer of smaller changes to add up to the change described in the objective. Sub-objectives are not required but should follow the same guidelines as objectives if used.

Indicator 1.1: Indicator Title

Measure 1.1: X

Activity

1.1.1

Activities are the actions the grantee undertakes to catalyze the changes described in the corresponding objective or sub-objective. There can be more than one activity per sub-objective. Activities must:

• be likely to bring about the change described in the corresponding (sub)objective, ideally based in evidence

• engage enough people for enough time to be likely to achieve the desired change

• engage people with the power to support or block achieving the desired change

• include approaches to mitigate the risk of the project failing to meet its goal and/or causing inadvertent harm

Indicator 1.1.1: Indicator Title

Measure 1.1.1: X

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APPENDIX B: PROJECT MONITORING PLAN AND PROJECT

RISK ANALYSIS

A. Monitoring Plan

Monitoring is the ongoing…