OFOP0001651-ROL-CriminalDefense_Georgia.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: Strengthening Rule of Law and Criminal Defense Services in Georgia

Funding Opportunity Number: INL24CA0068-ROL-CriminalDefense-05152024 Program: Tbilisi criminal defense capacity building Catalog of Federal Domestic Assistance (CFDA) Number: 19.703 - Criminal Justice Systems

Total Funding Available: $2,000,000.00 U.S. Dollars Funding Source: Post-Funds Application Ceiling: Up to $2,000,000.00 U.S. Dollars Application Floor: At least $1,500,000.00 U.S. Dollars Anticipated Number of Awards: 1 award Initial Project Implementation Length: 24 months Estimated Project Start Date: January 2025 NOFO Issuance Date: October 15, 2024 Deadline for Submission of Questions: November 15, 2024 by 11:59 PM EST via email

Deadline for Submission of Applications: December 13, 2024 by 11:59 PM EST via www.grants.gov

Assistance Type: Cooperative Agreement

Applicant Types and Eligibility Categories: Refer to Section C: Eligibility Information for more information.

INL Points of Contact: Marco Horta (hortama@state.gov) - GO Tamar Nasaridze (NasaridzeT@state.gov) – GOR http://www.grants.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: PERFORMANCE MONITORING PLAN

APPENDIX B: PROJECT RISK ANALYSIS

APPENDIX C: BUDGET AND BUDGET NARRATIVE

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A. PROJECT DESCRIPTION

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

Department of State announces an open competition for organizations to submit applications to carry out a project for both the Georgia Bar Association (GBA) and Legal Aid Services (LAS) to provide advocacy, training, and on-going professional development for defense attorneys. With acquired skills provided from the applicant, the GBA and LAS will provide direct training to defense attorneys to develop their skills and increase their knowledge to better serve their clients in criminal cases.

Protection of human rights and fundamental freedoms requires effective access to legal services by an independent and fully functioning legal profession that provides due process without fear of harassment or intimidation.

Priority Region/Countries: Georgia

Problem Statement: The Georgia Bar Association (GBA) provides criminal legal representation to defendants throughout Georgia, while the Legal Aid Services (LAS) offers assistance to indigent and vulnerable populations. Neither organization has the resources or capacity to internally train defense counsel, or to support timely, efficient, and quality representation to criminal defendants., a key tenet of a balanced and just legal system. Criminal defense counsels’ knowledge of substantive law including domestic violence, juvenile, rights, special crimes (including cybercrime), and ethics is limited. Georgia introduced jury trials over a decade ago, and defense counsel lack jury trial knowledge and practice skills commensurate with those of the prosecutors. Few defense attorneys are trained as trainers to support the development of continuing criminal legal education courses by LAS and GBA.

Project Vision: This project’s long-term vision is that the Georgia criminal justice system retains and maintains a sufficient cadre of knowledgeable and skilled defense counsel to meet defendants’ needs for timely, effective, and quality legal defense services and access to justice.

Project Goal(s) and Objectives:

Goal 1: LAS and GBA refine their ability to manage human and case management resources for their clients.

Objective: LAS and GBA increase capacity of the existing electronic case management systems (ECMS) and in case of need create a new system.

Activity: Assess the capacity of existing LAS and GBA ECMS and identify specific needs for increased capacity, including additional data fields.

Activity: Provide software and hardware to meet the needs identified in the needs assessment.

Objective: LAS and GBA increase analysis of ECMS data.

Activity: Assess the needs of LAS and GBA for ECMS analytical support.

Activity: Provide LAS and GAB software needed to meet their ECMS analytical needs.

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Activity: Train LAS and GBA staff in use of data analytical software.

Objective: LAS develops a framework to enable LAS to hire and effectively utilize criminal investigators to support and increase effective representation of criminal defendants.

Activity: Define the role of defense investigators based on assessed LAS needs, including the most requested types of support by clients.

Activity: Identify legal and legal statutory requirements for LAS to hire and utilize defense investigators.

Activity: Develop an implementation plan for LAS to hire and utilize defense investigators.

Activity: Support and assist LAS in hiring and utilizing defense investigators.

Objective: LAS improves framework to enable LAS to hire and effectively utilize roster lawyers to support and increase effective representation of criminal defendants. Roster lawyers are private lawyers serving on a temporary basis as public defenders.

Activity: Refine the selection criteria and reimbursement system of roster lawyers.

Activity: Develop quality control and specialization areas for roster lawyers.

Objective: LAS develops the human resource and technical capacity of the East and West Bureaus, which specialize in complex cases.

Activity: Refine the selection criteria of the lawyers working on the complex cases and establish hiring procedures.

Activity: Provide technical support including procurement of necessary means, such as, electronic devices and transportation to ensure smooth operation of both bureaus.

Goal 2: LAS and GBA will advocate for the right of defense to lawyers to practice their profession without being subject to harassment and to be able to adequately defend their clients without undue or improper interference.

Objective: LAS and GBA have standard operating procedures (SOPs) in place to best report and combat harassment and intimidation.

Activity: LAS and GBA draft SOPs for defense attorneys to report harassment and intimidation from those in the criminal defense system and those outside the criminal justice system.

Activity: LAS and GBA draft SOPs to address and report intimidation of defense attorneys.

Objective: LAS and GBA can better address attorneys’ complaints of harassment.

Activity: LAS and GBA implement SOPs, conduct SOP training, and measure reports of harassment and intimidation.

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Objective: LAS and GBA implement SOPs and see declines in defense attorney intimidation and harassment.

Activity: LAS and GBA conduct a public awareness campaign to inform the Georgian public of harassment and intimidation issues.

Goal 3: LAS and GBA defense attorneys provide criminal defense representation that complies with Georgia laws and statutes and internationally recognized standards (including American, UN, and EU standards, such a right to be informed of the charges against the defendant, right to an appointed lawyer if a defendant is indigent, the right to not testify against oneself, etc.).

Objective: LAS and GBA improve a Continuing Legal Education (CLE) program structure that enables and supports the development of criminal defense attorneys in the target areas of jury trial skills, domestic violence, juvenile justice, complex crimes including cybercrime, and ethics.

Activity: Identify U.S. Bar Associations and Legal Defender (Legal Defense) CLE programs in the U.S. that have been established CLE programs for criminal defense attorneys.

Activity: Conduct U.S. study visits for LAS and GBA staff to Bar Associations and Legal Defender (Legal Defense) offices that have effectively implemented CLE programming that includes two or more of the identified focus areas (jury trial skills, domestic violence, juvenile justice, complex crimes including cybercrime, and ethics).

Objective: LAS and GBA develop and implement continuing legal education courses for criminal defense counsel that include jury trial skills, domestic violence, juvenile justice, complex crimes including cybercrime, and ethics.

Activity: Develop and support a team of U.S. experts to work with the INL SJA, LAS, and GBA to develop a Defense Counsel Jury Trial Certification program for defense attorneys that meets international standards for attorney specialization certification.

Activity: Develop and support a team of U.S. and international experts to work with the INL SJA, LAS, and GBA to develop courses in domestic violence, juvenile justice, complex crimes including cybercrime, and ethic that meet European standards.

Activity: LAS and GBA offer and complete presentation of CLE courses on a bi-annual basis to criminal defense attorneys in the focus areas of jury trial skills, domestic violence, juvenile justice, complex crimes including cybercrime, and ethics.

Activity: Develop written resource materials to support all training and other capacity-building activities.

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Objective: LAS and GBA defense attorneys are qualified as instructors in jury trial skills and those that completed ToT trainings conduct LAS and/or GBA CLE training in jury trial skills.

Activity: Conduct training of trainers of LAS and GBA criminal defense attorneys in jury trial skills.

Activity: Conduct trainings with ToT-trained LAS and GBA criminal defense attorneys as co-trainers in jury trial skills.

Activity: Support ToT-trained LAS and GBA criminal defense attorneys as they lead defense attorney jury trial trainings.

Objective: LAS and GBA criminal defense attorneys increase their knowledge of the domestic violence, juvenile justice, complex crimes including cybercrime, and ethics, with focus including the Criminal Procedure Code, Criminal Code, Juvenile Justice Law, and Domestic Violence Law.

Activity: Conduct trainings, workshops, seminars, and roundtables in domestic violence, juvenile justice, complex crimes including cybercrime, and ethics, with focus including the Criminal Procedure Code, Criminal Code, Juvenile Justice Law, and Domestic Violence Law.

Objective: LAS and GBA criminal defense attorneys increase their knowledge in the focus areas of jury trial skills.

Activity: Organize support to defense counsel participation in INL sponsored multi-disciplinary trainings, U.S. exchange visits, and conferences.

Objective: LAS and GBA criminal defense attorneys increase their jury trial presentation skills.

Activity: Provide and train on technology that enhances defense counsel representation of clients in the court, to include but not limited to, renovation of moot/mock training courtroom at the LAS and GBA to support digital presentations, procuring presentation software and licensing, and training LAS and GBA criminal defense attorneys on digital presentations and the supporting software.

Goal 4: GBA and LAS will promote raising awareness about the benefits of the jury trial system in the broader population through various promotional activities.

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Activity: Organize moot court competitions on jury trials among universities.

Activity: Organize public lectures and raising awareness campaigns on jury trials for target population including school children, students, rural population, etc.

Activity: Ensure Public Service Announcements (PSAs) to deliver impactful messages broadcast on TV, radio, or online platforms to educate the public.

Goal 5: Defense Counsel observe standards of ethics and civility in the courtroom to promote professionalism and the authenticity of an open and honest judicial process.

Activity: Support the development of criminal defense attorney standards for proper and ethical behavior in the courtroom by creating clear rules and regulations that include disciplinary processes, procedures, and remedies that meet international best practices and are effective in holding defense counsel accountable for violations of said standards.

Project activities and deliverables: This project includes varied activities that include research, U.S. study visits, conferences, workshops, roundtables, technical support, procurement of hardware and software, and courtroom renovations. The grantee will be responsible for funding all activities and procurements. All activities and procurements will be coordinated in advance with the post Senior Justice Advisor. The project will also coordinate with other U.S. government funded rule of law and governance related activities, particularly with the USAID-supported Rule of Law program.

Participants and Audiences: The target audience is criminal defense attorneys throughout the country and LAS and GBA as organization/institutions that support and train criminal defense attorneys. Selection of specific attorneys for training as trainers, or participation in capacity building and training events, shall be based on equitable inclusion principles, and all participants and target audience members shall be identified in a collaborative approach with LAS, or GBA and the post Senior Judicial Advisor.

Project Expansion: If the project is successful, INL will consider the option of an award modification to expand the project to other areas or countries in the region, subject to availability of future funding. Applicants may include in their proposal a brief section outlining how additional funds could potentially be used to expand work into additional activities or countries in future years. Applicants are strongly encouraged to demonstrate how their project might leverage funding through other organizations.

B. FEDERAL AWARD INFORMATION

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

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1. Project Implementation Period The initial project implementation length is 24 months.

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

This is a cooperative agreement and INL will 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: 24 months

Anticipated program start date: January, 2024

Number of awards anticipated: one award (dependent on amounts)

Award amounts: awards may range from a minimum of $1,500,000 to a maximum of $2,000,000

Total available funding: $2,000,000

Type of Funding: FY24/25 and FY25/26 INCLE 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 or section 26 US 115 of the U.S. tax code;

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

• Foreign-based educational institutions

Applicants must also meet the following requirements to be eligible to apply to this NOFO:

• Applicants must demonstrate experience implementing similar defense attorney capacity building programs, preferably in post-Soviet countries. The Embassy reserves the right to request additional background information on organizations

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• Applicants must have the ability to establish a full-time in-country presence with at least one U.S. licensed attorney who possesses a minimum of fifteen years legal experience that includes at least five years criminal defense. Preferred qualifications include civil law criminal system and programming experience.

• Applicants must have the ability to produce course materials, deliver training, and conduct evaluations in Georgian and English.

• Applicants must provide interpretation services as needed. The applicant’s staff should be proficient in English to fulfill reporting requirements.

• Applicants must have existing, or the capacity to develop, active partnerships with stakeholders to successfully carry out the proposed program.

• Applicants must be able to coordinate closely with INL and INL’s U.S. training experts in developing and implementing training activities.

• Organizations may form a consortium and submit a combined proposal. However, one organization should be designated as the lead applicant.

• Applicants must be able to respond to the NOFO and be able to mobilize in a short period of time to commence this program on the anticipated start date.

• Note: Public International Organizations (PIOs) and For-Profit Organizations are excluded from applying to this grant announcement.

• To be eligible for a cooperative agreement award, in addition to other conditions of this NOFO, organizations must have a commitment to non-discrimination with respect to beneficiaries and adherence to equal opportunity employment. The Department of State is committed to an anti-discrimination policy in all its programs and activities. The Embassy 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.

• The Embassy encourages applications from potential new partners

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.

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3. Other Eligibility Requirements

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

Individuals are not required to have a unique entity identifier or be registered in SAM.gov. Refer to Section D for additional guidance.

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

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

• All applicants must provide a workplace free from harassment and bullying for all individuals, including but not limited to cooperative agreement/grant personnel and INL personnel.

• Applicants are reminded that U.S. Executive Orders and U.S. law prohibits transactions with, and the provision of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of the recipient to ensure compliance with these Executive Orders and laws. This provision must be included in any sub-awards issued under this grant award.

Note: Public International Organizations (PIOs) and For-Profit Organizations are excluded from applying to INL grant/cooperative agreement announcements.

D. APPLICATION AND SUBMISSION INFORMATION

Applicants should carefully follow all instructions in this section to ensure their application is formatted properly and includes all required documents. Proposals that do not meet the requirements of this announcement or fail to comply with the stated requirements will be deemed ineligible for review.

1. How to Apply and Submit Questions

This opportunity is posted on www.grants.gov, along with all required application forms and, where applicable, templates for application documents. Applications and all supporting documents must be submitted via www.grants.gov. INL reserves the right to reject any applications submitted through improper channels.

Applicants are encouraged to closely review the NOFO and email questions to the INL points of contact by the deadline listed on the first page(s) of this document. After the question deadline has passed, INL will respond to all questions publicly through a Questions & Answers document uploaded to the Related Documents tab of this opportunity.

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

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

Standard Application Forms

SF-424 (Application for Federal Assistance – Organizations)

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

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

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

Project Proposal The proposal should contain sufficient information that anyone not familiar with it would understand exactly what the applicant is proposing to do. The following documents may be submitted separately or combined into one document. If combined, please be sure to adhere to the page limits for each section.

Proposal Narrative – Maximum 5 pages

Applicants may use their own proposal template, but it must include all the sections below. Refer to Appendix A for additional guidance on drafting a proposal narrative.

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

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

Executive Summary: Provide a synopsis of the project.

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

Theory of Change & Implementation Plan: Describe the implementation plan (specific activities to implement suggested solutions); explain how or why they should result in accomplishment of the project goals and objectives (i.e., the theory of change). Projects should be designed such that activities, if implemented according to plan, should result in achievement of program objectives; and objectives, if achieved, should result in achievement of program goals. The Theory of Change should clearly demonstrate this causal logic. Finally, discuss likely challenges to implementation, including any risks of harm to project implementers or participants, along with mitigation strategies.

Gender, Equity, and Inclusion Analysis: Include in your proposal an analysis that addresses the ways in which women, gender diverse persons, and members of other marginalized and underrepresented groups (as specified in the “Participants and Audiences” section above) might affect and be affected

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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.

Note 2: Reporting of performance narratives and indicator data in INL’s DevResults database is required once project implementation is underway.

Project Risk Analysis

A template is included under the Related Documents section of this NOFO announcement on www.grants.gov. Refer to Appendix B for additional guidance on drafting a Project Risk Analysis.

Timeline Outline key milestones in the project, project start-up, and closeout, programmatic activities, and monitoring and evaluation activities (e.g., monitoring trips or semi-annual reviews). May be a written schedule and/or a GANTT chart.

Organization, Staff, and Partners The following documents may be submitted separately or combined into one document. If combined, please be sure to adhere to the page limits for each section.

Biographical Information of Applicant Organization – 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

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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 (if subrecipient) is being proposed) – Maximum 3 pages

Introduce and provide relevant information about key partner organizations and sub-recipients

Briefly describe the division of labor and/or distinct roles and responsibilities among the applicant organization and its partners

If proposing a sub-recipient, please briefly describe the applicant organization’s experience related to managing sub-recipients

Letters of Support – Optional

If desired, applicants may submit letters of support from project partners, host government entities, or other relevant stakeholders

Project Budget and Cost Documents

Summary and Detailed Budgets

A proposal budget must be submitted in spreadsheet format (e.g., Microsoft Excel). A template is located under the Related Documents section of this NOFO announcement on www.grants.gov for applicants as a reference. Refer to Appendix C for additional guidance on drafting a proposal budget.

One tab of the spreadsheet shall contain the Summary Budget, which lists the OMB-approved budget categories and total estimated cost per category

One tab of the spreadsheet shall contain the Detailed Budget, which breaks down the OMB-approved budget categories into individual line items and provides detailed cost estimates per line item

If applicable, federal costs and recipient cost share must be reported in separate columns

Budget Narrative

The Budget Narrative is a companion document to the summary and detailed budgets, and must be submitted in word document format. A template is included under the Related Documents section of this NOFO announcement on www.grants.gov. Refer to Appendix C for additional guidance on drafting a Budget Narrative.

The Budget Narrative should communicate to INL any budgetary information that is not readily apparent in the detailed budget. Rather than simply repeating with words what is stated numerically in the budget, the Budget Narrative should explain the logic behind the amount budgeted for each line item

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

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Indirect Costs

Negotiated Indirect Cost Rate Agreement (NICRA):

If the applicant has an approved Negotiated Indirect Cost Rate Agreement

(NICRA) and includes NICRA charges in the budget, a copy of the organization’s most-recent NICRA must be included in the application

If the applicant is proposing a sub-recipient that has an approved NICRA, and includes NICRA charges in the sub-award budget, a copy of the sub-recipient organization’s most-recent NICRA must be included in the application

10% de minimis Rate:

The applicant can elect to charge a de minimis rate of 10% of modified total direct costs (MTDC), which is allowable if the organization does not have a current agreement. (Please see Appendix C: Budget and budget narrative for more information regarding the 10% de minimis rate.)

If the applicant elects to utilize the 10% de minimis rate, that rate is then applicable for the entire period of performance of that award. Should the applicant negotiate and obtain a NICRA, it may not be applied to an award already using the 10% de minimis rate.

Applicant Management Capabilities INL must assess each potential applicant for organizational risks related to the financial and programmatic management of a federal assistance project.

History of U.S. Government Federal Assistance Awards

This document outlines the applicant organization’s experience with implementing U.S.

government-funded federal assistance awards, including current and completed projects.

The list should include the awarding agency, point of contact, name of the project, start and end dates, and amount of the award.

If the applicant has never received a U.S. federal assistance award, please list other projects the organization has implemented, including the information requested in the bullet above.

Organizational Audit

If the applicant organization is required to undergo an audit (per regulations outlined in 2 CFR 200.500 – Subpart F), a complete copy of the organization’s most-recent audit must be submitted. (The financial statement is not a substitute for a single audit report. The Single audit report is an additional requirement for domestic and foreign organizations that spend $750,000 or more in federal funds in the fiscal year.)

If the applicant organization is not required to undergo an audit (per the regulation cited above), a brief explanation must be submitted with the application. This explanation shall include confirmation that the organization is under the threshold for which an audit is required and/or plans for the organization to undergo an audit in the future.

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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 Calibri font and 1-inch margins

4. Required Entity and Account Registrations for Applicants All prospective applicant organizations must register and/or maintain active registration in the systems outlined below in order to submit an application to this NOFO.

Organizations that are first-time applicants may need to register and/or create accounts in these systems. INL encourages prospective applicants to initiate these registrations as soon as possible. Applicants that have previously applied to other opportunities may already have registrations and/or accounts in the necessary systems, though applicants should ensure their registrations are active.

Registration in these systems is free of charge; Applicants will never be asked to pay a fee to register or submit an application in these systems.

Unique Entity Identifier Organizations must have a UEI which will be automatically assigned by SAM.gov.

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

Effective April 4, 2022, the DUNS Number will be replaced by the Unique Entity Number (UEI) as the primary means of entity identification for all federal awards U.S. government wide. A DUNS number is no longer required for federal assistance applications. For more information, please go to the following link: https://www.fsd.gov/gsafsd_sp http://fedgov.dnb.com/webform https://www.fsd.gov/gsafsd_sp

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NCAGE Code Organizations physically located outside the United States and its territories must also register for an NCAGE code. This request can be completed simultaneously with a UEI request. (Note:

CAGE codes for US-based entities will be automatically assigned in SAM.gov).

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

• NCAGE application instructions:

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

Help with NCAGE Code registration issues:

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

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

• Email NCAGE@dlis.dla.mil

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

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

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

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

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

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

Any applicant listed on the Excluded Parties List System (EPLS) in SAM.gov is not eligible to apply for an assistance award. Additionally, no entity listed on the EPLS can participate in any activities https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx https://eportal.nspa.nato.int/AC135Public/Docs/US%20Instructions%20for%20NSPA%20NCAGE.pdf https://eportal.nspa.nato.int/AC135Public/Docs/US%20Instructions%20for%20NSPA%20NCAGE.pdf mailto:NCAGE@dlis.dla.mil https://www.sam.gov/ https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=c81018e71b1601d0937fa64ce54bcb57 http://www.fsd.gov/

18 | P a g e under an award. All applicants are strongly encouraged to review the EPLS in SAM.gov to ensure that no ineligible entity is included in their proposal.

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

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

D.3.1 Exemptions

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

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

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

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

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

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

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

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

Help with grants.gov registrations and application submission:

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

• Call +1 800-518-4726

• Email support@grants.gov

It is the responsibility of each applicant to ensure that its application was submitted in www.grants.gov correctly. INL bears no responsibility for errors resulting from transmission or conversion processes associated with application submissions. If applicants are unable to https://www.fsd.gov/gsafsd_sp http://www.grants.gov/ https://www.grants.gov/web/grants/support.html mailto:support@grants.gov

19 | P a g e 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)

• Analysis and planning for sustainability is realistic (5)

20 | P a g e

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-recipients. (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

21 | P a g e 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 MyGrants. 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)

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