PKG00263727-instructions.pdf

United States Department of State

Bureau of International Narcotics and Law Enforcement Affairs (INL)

Notice of Funding Opportunity (NOFO)

Announcement Type: Request for Federal Assistance Awards Applications

Public Opportunity Title:

Response to Gender Based Violence Technical Assistance for

Shelters

NOFO Opportunity Number: INL21CA0002-CostaRica-GBVCitizenSecurity

NOFO Issuance Date: October 8, 2020

Deadline for Questions: November 9, 2020

Deadline for Applications: December 8, 2020 by 11:59 PM EST

INL Points of Contact:

Katelyn Smith (SmithKB@state.gov) and

Mitssy Rovira (RoviraM@state.gov)

Estimated Funding Amount: $100,000

Award Ceiling: $100,000

Award Floor: $75,000

Cost Sharing Requirement: Not required

Catalog of Federal Domestic

Assistance (CFDA) Number:

19.704 – Counternarcotics

Program Type: INL Citizen Security Program

Grant Program: Central America Regional Security Initiative

Assistance Type: Cooperative Agreement

Applicant Type: Organizations only

Eligibility Categories:

Costa Rica-based non-profits or NGOs

Costa Rica-based private/state educational institutions

Refer to the Eligibility Information section below for additional information.

mailto:SmithKB@state.gov mailto:RoviraM@state.gov

EXECUTIVE SUMMARY

The Bureau of International Narcotics and Law Enforcement Affairs (INL) leads the Department of

State’s anticrime and counter-narcotics efforts. INL assistance programs help partner nations to build their capacities to extend the reach of justice under the rule of law, including respect for human rights and gender equality, and to deny safe haven to criminals who would otherwise operate with near impunity. The resources entrusted to us, enables INL to deliver technical assistance and capacity to:

enhance international drug control through interdiction and supply reduction; develop civilian law enforcement capacity, regional partnerships, and information sharing; and further the administration of justice and corrections under the rule of law with respect for human rights. This mission supports peace and security by stabilizing and strengthening security institutions and by combating narco-trafficking and other transnational crimes such as money laundering, criminal gangs, and wildlife trafficking. It promotes governing justly and democratically by strengthening justice sector institutions, good governance and respect for human rights.

INL combines forces with other USG and international agencies and takes a regional approach to widespread problems. INL also encourages more developed governments to take responsibility as equal partners in global efforts to support critical country and global programs that combat transnational crime, disrupt illicit trafficking, and build their capacities to extend their reach of justice under the rule of law. The Bureau’s priority programs support three inter-related objectives:

BUILDING CRIMINAL JUSTICE SYSTEMS: Institutionalize rule of law by supporting and assisting in capacity building of host nation justice, law enforcement, and corrections institutions, promote human rights and diversity, protect vulnerable groups, and collaborate with multilateral and international partners to establish global standards and accountability mechanisms;

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 in the U.S. and its allies to oppose and counter corruption; wildlife crimes; cybercrime;

intellectual property rights (IPR) fraud; transnational organized crime; environmental crime;

crimes that threaten civilian security; and activities using the proceeds of crime.

NOTICE OF FUNDING OPPORTUNITY

The United States Department of State, Bureau of International Narcotics and Law Enforcement

Affairs, is seeking applications for a Cooperative Agreement to implement an 18-24 month project titled “Gender Based Technical Assistance for Shelters.” Subject to the availability of funds, INL intends to issue an award in an amount of $100,000.

Any questions concerning this NOFO should be submitted via email to Katelyn Smith

(SmithKB@state.gov) and Mitssy Rovira (RoviraM@state.gov) by the deadline listed on page 1 of this document. Responses to questions will be made available to all potential applicants through an amendment to this NOFO and posted on grants.gov.

mailto:SmithKB@state.gov mailto:RoviraM@state.gov

Table of Contents

SECTION I – PROGRAM DESCRIPTION

SECTION II – FEDERAL AWARD INFORMATION

SECTION III – ELIGIBLITY INFORMATION

SECTION IV – APPLICATION CHECKLIST

SECTION V – APPLICATION AND SUBMISSION INSTRUCTIONS

SECTION VI – APPLICATION REVIEW INFORMATION

SECTION VII – FEDERAL AWARD ADMINISTRATION INFORMATION

TAB A: PROPOSAL GUIDELINES

TAB B: PROGRAM MONITORING AND EVALUATION PLAN AND

PROJECT RISK ANALYSIS

TAB C: BUDGET GUIDELINES

TAB D: GUIDELINES FOR STANDARD FORMS

GRANTS.GOV INFORMATION

Eligible organizations interested in submitting an application are encouraged to read this NOFO thoroughly to understand the type of project sought and the application submission requirements and evaluation process.

To be eligible for an award, the applicant must submit all required information in its application through grants.gov, including the requirements found in any attachments to this grants.gov opportunity.

This funding opportunity is posted on www.grants.gov and may be amended. See Section IV for further details. Potential applicants should regularly check the website to ensure they have the latest information pertaining to this NOFO. Applicants will need to have available or download the most updated version of the Adobe program to their computers in order to view and save the

Adobe forms properly. If you have difficulty registering on www.grants.gov or accessing the

NOFO, please contact the grants.gov Helpdesk at 1-800-518-4726 or via email at support@grants.gov for technical assistance.

It is the responsibility of the recipient of this NOFO document to ensure that it has been received from Grants.gov in its entirety. INL bears no responsibility for data errors resulting from transmission or conversion processes associated with electronic submissions.

DISCLAIMERS

The authority for this Notice of Funding Opportunity (NOFO) is found in the Foreign Assistance

Act of 1961, as amended.

INL reserves the right to fund any or none of the applications submitted and will determine the resulting level of funding for the award. The U.S. government may (a) reject any or all applications,

(b) accept other than the lowest cost application, (c) accept more than one application, (d) accept alternate applications, and (e) waive informalities and minor irregularities in applications received.

Issuance of this NOFO does not constitute 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 an application. In addition, final award of any resultant grant agreement cannot be made until funds have been fully appropriated, allocated, and committed through internal INL procedures.

While it is anticipated that these procedures will be successfully completed, potential applicants are hereby notified of these requirements and conditions for award. Applications are submitted at the risk of the applicant. All preparation and submission costs are at the applicant's expense.

The U.S. government may make award based on initial applications received, without discussions or negotiations. Therefore, each initial application should contain the applicant's best terms from a cost and technical standpoint. The U.S. government reserves the right (but is not under obligation to do so), however, to enter into discussions with one or more applicants in order to obtain clarifications, additional detail, or to suggest refinements in the program description, budget, or other aspects of an application.

SECTION I – PROGRAM DESCRIPTION

BACKGROUND

INL is part of the Department of State’s multi-faceted response to transnational criminal activity.

Dedicated to strengthening criminal justice systems, countering the flow of illegal narcotics, and minimizing transnational crime, INL plays a key role in leading the development and synchronization of U.S. international drug and crime assistance. INL’s technical support is tailored to bolster capacities of partner countries through multilateral, regional, and country-specific programs. The

Central America Regional Security Initiative (CARSI) is a multi-year INL program that seeks to strengthen the security and justice sectors in Central America and support development of a regional capacity to respond to drug trafficking and transnational criminal organizations.

CARSI justice sector programs support training and capacity-building activities for forensics scientists, forensics medics, investigators, criminal scene experts, judges, prosecutors, social workers, psychologist, and forensic nurses to ensure improved quality of the judicial system response to gender based violence and sexual crimes.

Costa Rica has historically been recognized as a country that respects human rights, a statement that is based on a solid justice administration system. Over the years, due to its geographical location and regional and continental context, it has been affected by a growing wave of organized crime that has affected the entire security structure of the country, from preventive and administrative police forces to the police judicial with its different levels. There are repeated references that mention the increase in organized crime activities in the country, motivated by international drug trafficking that migrates from the South of the continent to the North, particularly the United States. On the other hand, the trafficking of arms, money, US currency, money laundering is also sufficiently documented, with a historically inverse flow, that is, from the North of the continent to the South.

As a result, INL seeks to contribute to the improvement of comprehensive care and multidisciplinary approach to victims of gender based violence (GBV), with an emphasis on victims of rape, and to high-risk victims of domestic violence through technical assistance for shelters that currently provide protection and educational opportunities for victims. To support this initiative the U.S. Department of State has allocated $100,000 USD in FY2019 INCLE funds to strengthen Costa Rica’s GBV response framework.

PROJECT PURPOSE/DESCRIPTION

This project seeks to provide technical assistance to at least three existing shelters in Limón and

Alajuela, Costa Rica, to strengthen and support response to victims of gender-based violence and domestic violence. This project will develop a comprehensive training methodology for shelters to provide therapy services in interpersonal violence prevention and self-management techniques for adolescent and young adult victims of gender-based and domestic violence. The project will also support the shelters in developing the necessary connections with the Ministry of Public Education of Costa Rica to support victims in completing their basic education (i.e. elementary and/or high school).

The recipient must work closely with Patronato Nacional de la Infancia (Children’s Welfare), Ministry of Public Education, and at the management team of at least three existing shelters for gender-based violence and domestic violence victims to conduct needs assessments, plan trainings, coordinate site visits, and provide technical assistance.

PROJECT GOALS

Develop a technical assistance program for at least three shelters in Limon and Alajuela, Costa

Rica, including therapy services and basic educational opportunities, to support adolescent and young adult victims of gender-based and domestic violence.

PROJECT OBJECTIVES

Objective 1: Increase the capacity of local governments of Costa Rica to provide protection to adolescent victims of gender-based violence and domestic violence in vulnerable communities.

Activity #1: Identify at least three existing shelters for adolescent victims of gender-based violence and domestic violence in vulnerable communities of Limon and Alajuela, Costa Rica

Activity #2: Conduct a needs assessment of identified shelters and prioritize the most pressing needs with shelter management

Objective 2: Improve the capacity of the selected shelters to conduct meaningful trainings that will allow victims to avoid violent situations.

Activity #1: Develop trainings that integrate train-the-trainer methodology (allowing scalability and replicability), to prepare facilitators in the selected shelters

Components of this activity will include:

Conference room rental

Subject matter experts (according to needs assessment)

Translation services for participants

Meals for participants

Activity #2: Incorporate INL’s “Hacete Escuchar” (Be Heard) 10-session workshop as part of the train-the-trainer toolbox for gender-based violence prevention trainings of each shelter.

INL Costa Rica developed a GBV training program aimed to target youth between 12 and 18 years old that consists of 10 sessions on topics such as self-esteem, emotional intelligence, independence, violence against women and how to approach it, human rights, tolerance, healthy masculinities, and others. This training should be included within the toolbox of GBV prevention trainings.

Objective 3: Promote exchange of best practices for gender-based violence and domestic violence victim service providers and local authorities.

Activity #1: Identify appropriate local authorities in each community to convene separate regular round table discussions about domestic violence and gender based violence incidents.

Activity #2: Train shelter management and staff on coordinating response with local authorities to address any domestic violence and/or gender based violence incidents.

TARGET POPULATION

Applicants should identify target audiences, specific demographics, and the region(s) in which the activities will be implemented. It is particularly important to specify the approximate number of beneficiaries to be directly and indirectly impacted by project activities.

DESIRED RESULTS AND ILLUSTRATIVE INDICATORS

By the end of the project, the selected applicant is expected to have assessed and improved the training methodologies of at least three gender-based violence and domestic violence victims shelters in

Limon and Alajuela, Costa Rica.

The selected implementer must measure the impact of courses delivered during the period of performance, according to percent gained in knowledge and involvement (or lack thereof) of trained officials in gender-based violence and domestic violence services for victims.

The recipient will develop a project-level Performance Monitoring plan (PMP) with annual and end-of- project targets and results anticipated for key performance indicators. The recipient will be responsible for monitoring and reporting on the agreed-upon indicators during and at the end of the project. In addition, INL will regularly monitor the project’s performance to assess whether project activities are on track and targets are being achieved.

The recipient will be required to collect baseline data for all the PMP indicators during the first year of the project. In addition, certain terms included in the outcomes and indicators will need to be defined at the very beginning of the project so that it is possible to measure the change during and at the end of the project. Examples of such are “capacity”, “spread effect”, etc. Baseline information will be critical for both monitoring and evaluation of project progress and results.

Indicators

Example indicators are provided below, but applicants should propose additional indicators as appropriate. Applicants should identify targets for these indicators based on what can reasonably be achieved within the performance period of the project, and based on the expected overall project results described above.

Example Output Indicators Illustrative targets:

Number of GBV victims shelters assessed and trained 3

Number of local government officials trained 150

Number of adolescents trained 600

Example Outcome Indicators Illustrative targets:

Decrease in rate of school dropout among shelter participants 10%

Increase in rate of adolescents graduating from high school among shelter participants

10%

Decrease in domestic violence calls to 911 in the community 15%

[END OF SECTION I]

SECTION II – FEDERAL AWARD INFORMATION

INL expects to award one (1) cooperative agreement based on this NOFO. The anticipated total federal funding amount is $100,000. The period of performance should be between 18 to 24 months, with an anticipated start date in January 2021. INL may extend the award up to two (2) additional years contingent on INL priorities, good performance of the recipient, and additional funding availability.

Pursuant to 2 CFR 200.400g, it is U.S. Department of State policy not to award profit under assistance instruments. All reasonable, allocable, and allowable expenses, however, both direct and indirect, which are related to the agreement program and are in accordance with applicable cost standards (2 CFR 200 for US and overseas-based non-profit organizations and universities), may be paid under the cooperative agreement.

Overseas-based organizations are legally required to comply with the 2 CFR 200.

[END OF SECTION II]

SECTION III – ELIGIBLITY INFORMATION

Eligibility for this NOFO is limited to the following applicant types:

Costa Rica-based non-profits or NGOs

Costa Rica-based private/state educational institutions

AND

Applicants must have demonstrated experience implementing similar capacity building programs, preferably in Costa Rica. INL reserves the right to request additional background information on organizations that do not have previous experience administering similar programs and/or federal grant awards.

Applicants must have the ability to produce course materials, deliver training, and conduct evaluations in Spanish and English. Relevant members of the applicant’s staff should be proficient in English in order to fulfill reporting requirements.

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

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.

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

To be eligible for a grant 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 practices. Non‐discrimination includes equal treatment without regard to race, religion, ethnicity, gender, and political affiliation.

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.

INL encourages applications from potential new partners.

[END OF SECTION III]

SECTION IV – APPLICATION CHECKLIST

Complete applications must include every document listed below in order to be deemed technically eligible for consideration by the merit review panel. Applications that are missing any of the required documentation will not be eligible for review.

1. Completed and signed SF-424, SF-424A, as well as SF-424B if applicable

Submitted via www.grants.gov

Please see Tab D for instructions for completion of Standard Forms 424, 424A, and

424B.

The SF-424B is required only for those applicants who have not registered in SAM.gov or recertified their registration in SAM.gov since February 2, 2019.

2. Proposal Narrative

The Proposal Narrative (approx. 12-18 pages) should:

i. Fully explain the project’s goals, objectives, and activities. Objectives should be ambitious, yet measureable, results-focused, and achievable in a reasonable time frame. Applicant should explain the project’s significance or contribution to the

INL mandate specified in the NOFO.

ii. Activities should be clearly developed and detailed, and the narrative should articulate how the proposed activities contribute to objectives and overall project goal.

iii. Outline the applicant’s organizational capacity to implement the proposed project,

iv. Outline in detail the project approach, sustainability, potential impact, and complementarity to ongoing efforts.

v. Identify target areas for activities, identify target participant groups or selection criteria for participants, address how the project will engage relevant stakeholders, and identify local partners as appropriate, among other pertinent details. If partners are included, the narrative should clearly describe the division of labor between the direct applicant and partners.

vi. Expand upon the risk analysis to provide greater context, operational or programmatic security concerns, and a contingency plan for overcoming potential difficulties in executing the original work plan.

The Proposal Narrative must also include the following components:

i. Cover page that includes the following information:

Applicant organization name

Project title

Target country/countries

Contact information for applicant organization’s main point of contact

Project length (estimated months or dates)

Total requested funding amount in U.S. Dollars

ii. Table of Contents

Should list all sections and attachments with page numbers

iii. Executive Summary

Not to exceed two (2) pages

Summary should include a brief statement of work or synopsis of the project, including a concise breakdown of the project’s goals, objectives, and results

Summary should include a brief statement on the project’s innovativeness, sustainability, and impact.

3. Summary and Detailed Line-Item Budget

In Microsoft Excel, includes the following three [3] columns: the amount requested from

INL, cost sharing contributions (if any), and total budget (see below for more information on budget format).

Applicants must submit a budget summary using the OMB-approved budget categories

(see SF-424-A as a sample). Costs must be in U.S. dollars.

A template is included under the Related Documents section of this announcement on www.grants.gov.

4. Budget Narrative

In Microsoft Word, includes an explanation and justification for each line item in the detailed budget spreadsheet, as well as the source and a description of all cost-share offered.

For ease of review, INL recommends applicants order the budget narrative as presented in the detailed budget.

Personnel costs should include a clarification of the roles and responsibilities of key staff and percentage of time devoted to the project.

Applicants that have other USG-funded projects must confirm that the total time devoted by personnel assigned to more than one project does not exceed 100%.

The budget narrative should communicate to INL any information that might not be readily apparent in the budget rather than simply repeating with words what is stated numerically in the budget.

http://www.grants.gov/

5. Monitoring and Evaluation Plan

See TAB B below for more information on this section

6. Activity Map This document connects goals and objectives to activities, outputs, and outcomes.

7. Timeline of the overall proposal

Components should include activities, evaluation efforts, and program closeout

8. Program Risk Analysis

Analyzes potential programmatic, environmental, and political risks to the program.

Additional information is included in TAB B of this NOFO

A sample template is provided as an attachment under the announcement via

9. Roles and responsibilities of key program personnel

Including short bios that highlight relevant professional experience that relates to the organization’s capacity. Given the limited space, CVs are not recommended for submission.

10. A list of previous and/or current U.S. federal assistance awards received

Including the awarding agency, point of contact, name of the project, start and end dates, and amount of the award.

If a list of previous and/or current U.S. federal assistance awards received cannot be provided, an explanation must be submitted with the proposal submission.

11. INL Pre-Award Organizational Risk Survey

This template analyzes the organization’s financial capacity and infrastructure.

12. A copy the applicant organization’s most recent audit, if applicable

To determine whether an audit is required for your organization, please refer to 2 CFR

200.500 – Subpart F.

If an audit is not provided, an explanation should be included in the application.

13. NICRA, if applicable

If the applicant organization has a negotiated indirect cost rate agreement (NICRA) and will include NICRA charges in the budget, your latest NICRA must be included as a

PDF file. This document will not be reviewed by the panelists, but rather used by program and grant staff if the submission is recommended for funding, and therefore does not count against the submission page limitations, as described above.

If a proposal includes subgrants to organizations charging indirect costs, please submit the applicable NICRA(s).

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

See “Indirect Cost Rate” below for more information on indirect cost rates

If the applicant organization does not have a negotiated indirect cost rate agreement

(NICRA) please specify if the organization elects to charge the de Minimis rate of 10% of the Modified Total Direct Costs (MTDC). MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward in excess of

$25,000.” The de Minimis rate must be included in the detailed budget and an explanation must be provided in the budget narrative.

14. Other Attachments (optional)

Not to exceed five (5) pages total, which may include: further timeline information, letters of support, memoranda of understanding (MOU)/agreement, etc.

i. For applicants with a large number of letters/MOUs, it may be useful to provide a list of the organizations or government agencies that support the program rather than the actual documentation.

Including additional attachments is optional.

Note: INL retains the right to request additional documentation for those items not included on this form.

[END OF SECTION IV]

SECTION V – APPLICATION AND SUBMISSION INSTRUCTIONS

UNIQUE ENTITY IDENTIFIER (DUNS NUMBER)

All organizations (foreign and domestic) must obtain a DUNS number.

US-based organizations may request a DUNS number by calling 1-866-705-5711; the DUNS number is usually provided immediately. Foreign organizations must go to the Dun & Bradstreet website at http://fedgov.dnb.com/webform/pages/CCRSearch.jsp to obtain the number. This can take between 1-2 business days.

Note: Applicants should ensure that all proposed sub-grantees have a valid DUNS number.

CAGE/NCAGE REGISTRATION

For US-based organizations, a CAGE code will automatically be assigned to your entity once you submit your entity’s registration in SAM.gov and the TIN validation has been returned.

For foreign-based organizations, an NCAGE code is required for all foreign entities prior to starting a SAM.gov registration. It is important to note that the organization’s name, address, and email information used to request the NCAGE Code must match exactly what was listed in the Unique

Entity Identifier (DUNS Number) request. Otherwise, applicants will receive error messages when applying for the NCAGE code. You can submit your request for an NCAGE Code using the http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html http://fedgov.dnb.com/webform

NCAGE Request Tool at https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx. Detailed instructions are posted at that site. For additional information, please call 1-269-961-4623 or send an email message to NCAGE@dlis.dla.mil.

SAM.GOV REGISTRATION

SAM.gov registration is required of all INL applicants (both US-based and foreign-based) prior to registering with grants.gov. If your organization is registered with SAM.gov but the registration is not listed as active, the registration must be updated prior to submitting an application through grants.gov. SAM.gov requires ALL organizations (foreign and domestic) to register on an

ANNUAL basis. If your organization was previously registered in the Central Contractor Registry

(CCR), you must still create a new Individual User Account in SAM prior to receiving a future federal grant.

Applicant organizations can obtain assistance for SAM.gov registration at https://www.fsd.gov or by calling 1-866-606-8220 (U.S. calls)/or 1-324-206-7828 (international calls). It is important to note that the organization’s name, address, and email information used to request the Unique Entity

Identifier (DUNS number) and NCAGE Code must match exactly what is used to request the

SAM.gov validation. Otherwise, you will receive error messages when registering in SAM.gov.

For US-based organizations that already have a TIN (taxpayer identification number), your SAM registration will take 3-5 business days to process. For US-based organizations also applying for an

EIN (employer identification number) and foreign-based organizations, the process may take two weeks.

GRANTS.GOV REGISTRATION

In order to apply for a grant, your organization must complete the Grants.gov registration process.

Registration can take between three-five business days or as long as two weeks if all steps are not completed in a timely manner. Please log into http://www.grants.gov/web/grants/applicants/organization-registration.html to obtain complete instructions on the registration process.

Foreign Registrants: Anyone residing and doing business outside of the United States is still required to complete the five steps of the Grants.gov registration process, in addition to fulfilling supplementary requirements for doing business with the United States government. Please ensure that you have obtained a DUNS number, an NCAGE code, and an “ACTIVE” status in SAM.gov prior to registering in Grants.gov.

TECHNICAL FORMAT REQUIREMENTS

For all application documents, please ensure:

http://www.fsd.gov/

All pages are numbered, including budgets and attachments, All documents are formatted to 8 ½ x 11 paper, and

All Microsoft Word documents are single-spaced, 12 point Times New Roman font, with a minimum of 1-inch margins

All documents must be submitted in English

ADDITIONAL INFORMATION

OFFICE OF MANAGEMENT AND BUDGET (OMB) CIRCULARS

Organizations should be familiar with 2 CFR 200 on cost accounting principles. For a copy of the

OMB circular cited, please contact Government Publications or download from http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl. Overseas-based nonprofit organizations are legally required to comply with 2 CFR 200.

AUDITS

The recipient’s proposal should include the cost of an audit that:

Complies with the requirements of 2 CFR 200 Subpart F “Audit Requirements;”

Complies with the requirements of American Institute of Certified Public Accountants

(AICPA) Statement of Position (SOP) No. 92-9, "Audits of Not-for-Profit Organizations

Receiving Federal Awards;"

Complies with AICPA Codification of Statements on Auditing Standards AU Section 551, "Reporting on Information Accompanying the Basic Financial Statements in Auditor-

Submitted Documents," where applicable. When the U.S. Department of State is the largest direct source of Federal financial assistance (i.e., the cognizant Federal Agency) and indirect costs are charged to Federal grants, a supplemental schedule of indirect cost computation is required;

A non-Federal entity that expends $750,000 or more during the non-Federal entity's fiscal year in Federal awards must have a single or program-specific audit conducted for that year in accordance with the provisions of 2 CFR 200 subpart F. The audit costs shall be identified by 2 CFR 200.435.

INDIRECT COST-RATE

An organization with a negotiated indirect cost rate agreement (NICRA) negotiated with a cognizant federal government agency other than the U.S. Department of State must include a copy of the cost-rate agreement. Applicants should indicate in the proposal budget how the rate is applied and if any of the rate will be cost-shared. Per 2 CFR 200.414. any non-Federal entity that has never received a negotiated indirect cost rate, except for those non-Federal entities described in Appendix

VII to Part 200—States and Local Government and Indian Tribe Indirect Cost Proposals, paragraph

D.1.b, may elect to charge a de minimis rate of 10% of modified total direct costs (MTDC) which may be used indefinitely. As described in 2 CFR 200.403, factors affecting allowability of costs, costs must be consistently charged as either indirect or direct costs, but may not be double charged or inconsistently charged as both. If chosen, this methodology once elected must be used consistently for all Federal awards until such time as a non-Federal entity chooses to negotiate for a rate, which the non-Federal entity may apply to do at any time.

[END OF SECTION V]

SECTION VI – APPLICATION REVIEW INFORMATION

The technical applications and proposal submissions will be evaluated in accordance with the

Technical Evaluation Criteria set forth below. Technical evaluation of applications will be based on the extent and appropriateness of proposed approaches and feasibility of achieving the strategic objectives, in accordance with the following criteria.

If award is not made on the initial applications, INL may request clarification and supplemental materials from applicants whose applications have a reasonable chance of being selected for award.

The entry into discussion is to be viewed as part of the evaluation process and shall not be deemed by INL or the applicants as indicative of a decision or commitment upon the part of INL to make an award to the applicants with whom discussions are being held.

I. TECHNICAL EVALUATION CRITERIA

A technical evaluation committee, using the criteria shown in this Section, will evaluate the technical 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.

Quality of Program Idea (Total Possible Points - 25):

Responsive to the solicitation (5)

Appropriate in the country/regional context (5)

Exhibits originality, substance, and precision (5)

Prioritizes innovation but is feasible (5)

In countries where similar activities are already taking place, provides an explanation as to how new activities will not duplicate or merely add to existing activities (5)

Program Planning/Ability to Achieve Objectives (Total Possible Points – 25):

Includes a clear articulation of how the proposed program activities contribute to the overall program objectives (3)

Each activity is clearly developed and detailed (3)

Provides a comprehensive quarterly work plan for project activities that demonstrates substantive undertakings within the logistical capacity of the organization (3)

Objectives are clear, specific, attainable, measurable results-focused and placed in a reasonable time frame (3)

Addresses how the program will engage or obtain support from relevant stakeholders and identifies local partners where appropriate (3)

Describes the division of labor among the direct applicant, any partners and any potential

Sub-grantees (2)

Proposal clearly articulates understanding of the security situation/operating environment and plans for ensuring safety of participants (2)

Includes contingency plans for potential difficulties in executing the original work plan (6)

Cost Effectiveness/Cost Sharing (Total Possible Points - 15):

The overhead and administration of the proposal, including salaries and honoraria, are explained and justified for the work involved (5)

All budget items are necessary, appropriate and linked to program objectives (5)

Personnel costs are reasonable for the work involved (5)

Program Monitoring and Evaluation (Total Possible Points - 15):

The Monitoring and Evaluation (M&E) Plan includes:

Narrative explaining how monitoring and evaluation will be carried out and who will be responsible for monitoring and evaluation activities (5)

Table listing by program objectives the output- and outcome-based performance indicators with baselines and (yearly and cumulative) targets; data collection tools; data sources;

types of data disaggregation, if applicable; and frequency of monitoring and evaluation (7)

Includes an external midterm and/or final evaluation or justification for why one is not included (3)

Multiplier Effect/Sustainability of Impact Rating (Total Possible Points - 10):

Clearly delineates how elements of the program will have a multiplier effect (5)

Clearly delineates how impact will be sustainable beyond the life of the grant (5)

Institution’s Record and Capacity Rating (Total Possible Points - 10):

The proposal demonstrates an institutional record of successful programs in the proposed country and the content area (4)

Personnel and institutional resources are adequate and appropriate to achieve the project's objectives (2)

Roles, responsibilities, and brief bios/resumes are included for primary staff, and demonstrate relevant professional experience (2)

Applicant is a current/past Department of State grantee where performance (2) was/is on target showed/shows responsible fiscal management

OR

The proposal is from a NEW APPLICANT and proposal demonstrates capacity for responsible fiscal management illustrates success in similar sized projects (2)

COST EVALUATION

Cost will be evaluated for realism, reasonableness, allowability, allocability, and cost effectiveness.

The pre-award evaluation of cost effectiveness will include an examination of the application’s budget detail to ensure it is a realistic financial expression of the proposed project and does not contain estimated costs which may be unallocable, unreasonable, or unallowable. Applications that have more efficient operational systems that reduce operation costs will be favorably considered.

Applications that maximize direct activity costs including cost sharing and that minimize administrative costs are encouraged. Other considerations are the completeness of the application, adequacy of budget detail and consistency with elements of the technical application. In addition, the organization must demonstrate adequate financial management capability, to be measured by a responsibility determination.

[END OF SECTION VI]

SECTION VII – FEDERAL AWARD ADMINISTRATION INFORMATION

Federal Award Notices: The successful applicant(s) will be notified via email that its proposal has been selected to move forward in the review process; this email IS NOT an authorization to begin performance. The Grants Officer is the Government Official delegated the authority by the U.S.

Department of State Procurement Executive to write, award, and administer grants and cooperative agreements. The assistance award agreement is the authorizing document and it will be provided to the Recipient through email transmission. The recipient may only incur obligations against the award beginning on the start date outlined in the DS-1909 award document that has been signed by the INL Grants Officer. Organizations whose applications will not be funded will also be notified via email by INL. Please refer to the anticipated time to award information in Section E.

Substantial Involvement: INL shall be substantially involved during the implementation of the award agreement 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 specific approvals will be included in the award documents

Terms and Conditions: Recipients will be held to the applicable terms and conditions found at https://www.statebuy.state.gov/fa/Pages/TermsandConditions.aspx.

It is the Recipient’s responsibility to ensure they are in compliance with all applicable terms, conditions, and OMB guidance and requirements. Those organizations found to be in non-compliance may be found ineligible for funding or designated high risk.

2 CFR 200 Uniform Administrative Requirements, Costs Principles, and Audit Requirements for Federal Awards: All applicants must adhere to the regulations found in 2 CFR 200 Uniform

Administrative Requirements, Costs Principles, and Audit Requirements for Federal Awards.

https://www.statebuy.state.gov/fa/Pages/TermsandConditions.aspx http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl

Branding Requirements: As a condition of receipt of a grant award, all materials produced pursuant to the award, including training materials, materials for recipients or materials to communicate or promote with foreign audiences a program, event, project, or some other activity under an agreement, including but not limited to invitations to events, press materials, and backdrops, podium signs, etc.

must be marked appropriately with the standard, rectangular U.S. flag in a size and prominence equal to (or greater than) any other logo or identity. Note: Exceptions to the branding requirement are allowable under certain conditions. If an applicant is notified that their award has been chosen for funding, the Grants Officer will determine, in consultation with the applicant, if an exception is applicable.

Reporting Requirements:

1. Recipients are required to submit quarterly program progress and financial reports throughout the project period. Progress (SF-PPR and narrative) and financial reports (SF 424 and a detailed financial expenditure report) are due 30 days after the reporting period. Final certified programmatic and financial reports are due 90 days after the close of the project period.

First Quarter (October 1 – December 31): Report due by January 30

Second Quarter (January 1 – March 31): Report due by April 30

Third Quarter (April 1 – June 30): Report due by July 30

Fourth Quarter (July 1 – September 30): Report due by October 30

All reports are to be submitted electronically via email to the Grants Officer and Grants Officer

Representative noted in the award agreement.

2. Awardees that are deemed to be high risk may be required to submit more extensive and frequent reports until their high risk designation has been removed by the Grants Officer.

3. The Awardee must provide to INL an inventory of all the U.S. government provided equipment purchased with grant funds using the SF428 form on an annual basis.

[END OF SECTION VII]

TAB A: PROPOSAL GUIDELINES

Proposals should include the following components:

Introduction and Problem Statement

Planned Activities

Indicators

Problem Statement and Rationale: Describe the problem and how the project will achieve or contribute to achieving a sustainable solution and a measurable outcome. The applicant should explain the extent of existing assistance within the particular geographic area, and how the proposed intervention may complement (or differ from) other similar interventions. The implementer should also explain, as necessary, the particular experience and qualifications they bring to the project.

The rationale should also reflect understanding of the priorities and policies of the bureau/post or program with which this agreement is associated.

Planned Activities and Indicators: Describe the planned activities, and relevant stakeholders for implementation. The implementer should highlight key stakeholders and their expected role in the project, along with any contingencies. The implementer should list assumptions that are dependent on the ultimate success of the project. This could include elements like geographic location, coordination efforts with other international organizations, or political will from host governments, private sector, and NGOs. As appropriate, limited contingency possibilities should be included in the proposal, in case the initial planning assumptions are not met. Example of a planned activity and contingency:

Planned Activity Contingency

Energy efficiency workshops in collaboration with the government of

Mexico and other representatives from the Latin America region, focused on raising awareness of energy efficiency standards.

If government of Mexico doesn’t engage at the expected level, project team will look to other regional stakeholders, such as the OAS, to assist in convening key stakeholders.

In the proposal, there should be a clearly defined link between each of these elements:

Problem Statement Planned Activities/Inputs Process Indicators Output Indicators

Outcome Indicators Impact

Process Indicators measure the activity that has been completed. Please delineate the specific activities to be conducted, such as workshops, roundtables, trainings, forums, exchanges, policy dialogues, etc. All indicators must include targets. Example of a process indicator:

Process

Indicator 50 women trained in energy efficiency standards

Output Indicators, otherwise known as deliverables associated with the agreement, should be included. Unlike process indicators, outputs are what is produced, and are often tangible. At this level, it is the measurement of ability, knowledge, skills, or access. All indicators must include targets. Example of an output indicator involving the same participants:

Output

80 percent of participants demonstrate at least 75 percent improvement in understanding of updated policies

Outcome Indicators measure the change in system or behavior or practice. Expected outcomes are the results that come from a series of activities that are necessary to achieve impact. All indicators must include targets. Example of an outcome indicator:

Outcome

30 percent of efficiency standards being implemented in a participant’s country as a result of participant’s participation.

All indicators must include measurable, numerical targets, which should serve as the foundation for monitoring and evaluation efforts. Ultimately, proposed activities and achievement of indicator targets will lead to impact.

TAB B: PROGRAM MONITORING AND EVALUATION PLAN

AND PROJECT RISK ANALYSIS

INL will work with recipient organizations to implement the appropriate monitoring and evaluation plan that meets both the needs of the bureau and the implementing partner. Incorporating a well-designed monitoring and evaluation component into a project is one of the most efficient methods of documenting the progress and potential success of a program. Successful monitoring and evaluation depend on the following:

Setting objectives that are specific, measurable, attainable, results-focused, and placed in a reasonable time frame (SMART);

Linking project activities to stated objectives;

Developing key performance indicators that measure realistic progress towards the objectives.

INL expects implementing organizations will track participants or partners as appropriate and be able to respond to key evaluation questions, including satisfaction with the program/training, information learned as a result of the program/training, changes in attitude and behavior as a result of the program, and effects of the program on institutions in which participants work or partner with.

Applicants should include the monitoring and evaluation process in their timeline.

Recipients will be required to provide reports with an analysis and summary of their findings, both quantitative and qualitative, in their regular quarterly progress reports to INL.

Performance indicators should be clearly defined, and are in many cases quantifiable. Qualitative indicators are encouraged if they provide a reliable means to measure a particular phenomenon or attribute. A good guide for determining the quality of performance indicators is the acronym

SMART – i.e., are the indicators: specific, measureable, attainable, realistic, and timely.

Indicators can focus on (i) inputs / process (measures activities or the necessary components for an activity to occur—e.g. training curriculum developed), (ii) outputs (products and services delivered from project activities, and often stated as an amount—e.g. 100 civil society organization members trained in organizational fundraising, 60 radio programs produced), and (iii) outcomes (the specific results of a project, which are often measured as a degree of change—after receiving training on effective engagement in the political process, 40% of female participants ran for a seat in parliament).

The monitoring and evaluation plan must include, at a minimum, the following elements:

Indicators, as described in Tab A, as well as details on how each indicator will be measured, frequency of the measurements, units of measure, etc.