UPDATED NOFO Training Manuals and Technical Assistance for Costa Ricas Prosecutor Office - Updated 4.25.pdf

United States Department of State Bureau of International Narcotics and Law Enforcement Affairs (INL)

Notice of Funding Opportunity (NOFO) – SAMS Overseas

Announcement Type: Request for Federal Assistance Awards Applications

Public Opportunity Title: Strengthening Judicial Effectiveness through Training

Manuals and Technical Assistance for Costa Rica’s Prosecutor Office

NOFO Opportunity Number: CostaRica-INL-19GR0001-02252019

Funding Amount: Not to exceed the total amount of $200,000 U.S. Dollars

NOFO Issuance Date: February 25, 2019

Deadline for Receipt of Questions: March 25, 2019 11:59 PM Eastern Standard Time

Closing Date and Time for Submission of Applications: April 25, 2019 May 3 ,2019 11:59 PM Eastern Standard Time via www.grants.gov

Program Type: Justice Sector Reform

Grant Program: Central America Regional Security Initiative

Assistance Type: Grant

Eligibility Category: Eligible organizations may include: (U.S. based non-profit/non-governmental organizations (NGOs) or educational institutions having a 501(c)(3) status with the IRS or overseas based non-profit/non-governmental organizations (NGOs) or private/state educational institutions.

Applicant Type: Organizations only.

Award Ceiling: $200,000

Award Floor: $100,000

Cost Sharing Requirement: Not required but recommended

EXECUTIVE SUMMARY

The mission of the State Department’s Bureau of International Narcotics and Law Enforcement Affairs (INL) is to minimize the impact of international crime and illegal drugs on the United States, its citizens, and partner nations by providing effective foreign assistance and fostering global cooperation. This mission, which centers on helping our partner nations establish a capable and accountable criminal justice sector, was expanded during the past decade to include stabilizing post-conflict societies through criminal justice sector development and reform. 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 and criminal gangs. It promotes just and democratic governments 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 combat transnational crime, include drug trafficking. The Bureau’s priority programs support three inter-related objectives:

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

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

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

NOTICE OF FUNDING OPPORTUNITY

The United States Department of State, Bureau of International Narcotics and Law Enforcement Affairs, is seeking applications from qualified Non-Governmental Organizations (NGOs), Educational Institutions and other non-profit qualified organizations for a cooperative agreement to implement a program entitled “Increasing Technical Capacity at Costa Rica’s Prosecutor Office.”

The authority for this Notice of Funding Opportunity (NOFO) is found in the Foreign Assistance Act of 1961, as amended.

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 education institutions) may be paid under the cooperative agreement. NOTE: overseas-based nonprofit organizations are legally required to comply with the 2 CFR 200.

Subject to the availability of funds and pending Department of State management approvals, INL intends to issue an award in an amount not to exceed $200,000 in total funding. The U.S. Dollar amount will be funded from INL allocated funds, for an initial project period of one year. INL may award up to four (4) additional years contingent on INL priorities, good performance of the recipient, Department of State management approvals, and funding availability. 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).

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 and documents in its application through www.grants.gov including the requirements found in any attachments to this funding opportunity. This NOFO consists of the following Sections:

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SECTION IV – APPLICATION AND SUBMISSION INSTRUCTIONS . Error! Bookmark not defined.

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TAB B: PROGRAM MONITORING AND EVALUATION PLAN and RISK

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SECTION V – APPLICATION REVIEW INFORMATION ....... Error! Bookmark not defined.

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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 www.grants.gov helpdesk at: 1-800-518-4726, International callers: 1-606-545-5035, or via email at support@grants.gov for technical assistance. You may also obtain online assistance at:

https://www.grants.gov/web/grants/applicants/applicant-faqs.html or https://www.grants.gov/help/html/help/GetStarted/Get_Started.htm.

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

Any questions concerning this NOFO should be submitted in writing to Melissa Miranda (MirandaM1@state.gov) and Andrew Oltyan (OltyanAW@state.gov). The deadline for submission of questions for this NOFO is March 25, 2019, 5:00 PM Post time. Responses to questions will be made available to all potential applicants as an attachment to this NOFO and posted on www.grants.gov .

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.

SECTION I – PROGRAM DESCRIPTION

BACKGROUND

Costa Rica’s prosecutors face a challenging operational environment as a result of various internal and external factors, including personnel shortages in key units, limited access to training for prosecutors assigned to rural areas, and high, frequent turnover that minimizes the impact of long-term training. External factors such as an increasing rate of violent crime, deepened presence of organized criminal groups, and prevalence of complex offenses, such as money laundering and multiple homicides, and the increased reliance of wiretap, DNA, and specialty evidence, and complex procedures for inter-agency and international cooperation, make it difficult to obtain convictions in criminal cases and complicate the ability to bring perpetrators to justice.

As part of the Department of State’s multi-faceted response to transnational criminal activity, and in alignment with the National Security Strategy, INL Costa Rica’s Justice Sector Reform Program seeks to support the capacity of Costa Rican prosecutors to successfully pursue complex cases to dismantle transnational criminal organizations (TCOs). 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. Assistance requests from Costa Rica’s Prosecutor Office and observations of the challenges faced, have led INL to conclude that Costa Rican prosecutors would benefit from access to additional training resources, such as reference manuals and up-to-date courses, as well as strategies to respond to the unique criminal patterns observed in different areas of the country.

To date, INL Costa Rica has issued several awards with prosecutorial training components and funded the development of a specialized, two-volume reference manual to guide money laundering and narcotics trafficking prosecutions. To further advance progress made during these projects and improve prosecutorial access to up-to-date reference materials, for adequate response to evolving criminal patterns and national trends, the U.S. Department of State has allocated $200,000K USD in Justice Sector Reform funds to execute a one-year project in benefit of Costa Rica’s Prosecutor Office.

PROJECT PURPOSE/DESCRIPTION

This project seeks to improve reference and training resources available to Costa Rican prosecutors and develop and/or adapt prosecution strategies to reflect evolving criminal patterns, with the goal of better equipping prosecutors to successfully prosecute complex criminal cases.

The project is comprised of the following objectives and corresponding activities:

PROJECT GOALS

This project seeks to increase the ability of Costa Rica’s Prosecutor Office to successfully respond to criminal cases and evolving criminal trends through improved reference and training materials, and development of regional prosecution policies tailored to local circumstances, thereby diminishing the power of transnational criminal organization (TCO) leaders and their networks.

PROJECT OBJECTIVES

Objective 1: To increase prosecutor access to up-to-date reference documents and standardize procedures within the prosecutor office when handling complex criminal cases.

Activity 1: The selected organization should develop thematic manuals, per the guidelines set by the Training and Supervision Unit of Costa Rica’s Prosecutor Office, to improve prosecutorial techniques and management of criminal cases. The manuals developed must include a manual on tools for Criminology, Management, and Preservation of Evidence. To develop these manuals, the award recipient must select and hire experts to develop the content and related materials, including an anthology that includes relevant legislation and jurisprudence, case studies, and teaching material necessary for the Prosecutor Training and Supervision Unit to use the manuals as a reference during future trainings. The development of the manuals must also include the graphic design, philological review, printing, and distribution of up to 1,000 physical copies and as many digital copies are necessary. Throughout the process, the award recipient must work closely with officials from the Training and Supervision Unit of Costa Rica’s Prosecutor Office and adhere to the guidelines established for these documents.

Activity 2: The selected organization should conduct any necessary feedback and validation workshops during the development of the manuals and should provide all materials necessary for these workshops.

Activity 3: Once the manuals are created, the selected organization should conduct any needed training related to the topics addressed by the manuals, to facilitate implementation of best practices in prosecutorial techniques.

Objective 2: Develop regionally- and locally- appropriate prosecution policies for regional Prosecutor Offices.

Activity 1: The selected organization should assist the Prosecutor General’s Office in developing tailored prosecution policies for regional prosecutor’s offices. The selected organization should provide an expert in criminology/sociology and a methodologist to assist in the design and construction of these policies, and facilitate the necessary construction and validation workshops.

Activity 2: The selected organization should organize workshops for the development of the localized prosecution policies. These workshops should be conducted by an expert in criminology/sociology, and should incorporate local crime trends and the views of local residents and civil society organizations. The workshops should take place in each of Costa Rica’s provinces, and the selected organization should be prepared to provide the venue and all materials necessary to conduct these workshops.

CROSS-CUTTING AND ADDITIONAL ACTIVITIES

Program Expansion

In the event of a successful project and subject to availability of future funding, INL will consider the option of expanding the project to other areas of countries in the region for up to one (1) additional year., 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 further activities or additional countries in future years. Applicants are strongly encouraged to demonstrate how their project might leverage funding through other organizations.

TARGET POPULATION

Applicants should identify target audiences, specific demographics, and the region(s) in which the project 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 one-year initial project period, the selected applicant is expected to have generated at least two new reference manuals for the Prosecutor’s Office, implemented multiple workshops to assist prosecutors in developing regionally appropriate prosecution policies, and provided training and technical assistance related to regional prosecution policies and the best practices outlined in the reference manuals.

The project is also expected to have a significant impact on the second CARSI goal in Costa Rica, to disrupt the movement of criminals and contraband to, within, and between the nations of Central America, through more effective prosecutions and locally-tailored prosecution policies.

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 following table shows indicators that will be measured, as well as illustrative targets, upon which the recipient will be responsible for monitoring and reporting during and after the project. In addition, [Post] will regularly monitor the project’s performance to assess whether project activities are on track and targets are being achieved.

Outcome indicators for the project are provided below. The recipient is expected to identify targets for these indicators based on what it can reasonably achieve within the performance period of the project, and based on the expected overall project results described above.

Example Outcome Indicators Illustrative targets:

Number of prosecutors implementing locally-tailored prosecution policies 400 Number of convictions achieved by prosecutors trained with reference manuals in the first year post-creation

Number of prosecutors who report referring to manuals during prosecution of cases

Output indicators and illustrative targets for the project are provided below. The recipient should review these and either confirm the illustrative targets or propose alternative targets, as appropriate.

Example Output Indicators Illustrative targets:

Number of manuals created for the Prosecutor’s Office 1 Number of manual copies distributed 1,000

Number of workshops delivered for creation of prosecution policies 7

The recipient may propose additional outputs, indicators, and/or targets as appropriate. 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.

[END OF SECTION I]

SECTION II – FEDERAL AWARD INFORMATION

INL expects to award one (1) grant agreement(s) based on this NOFO, in an amount not to exceed the total ceiling amount noted on page 1. The anticipated total federal funding amount is not to exceed $200,000. The initial period of performance is one (1) year(s) with an anticipated start date of May 2019. INL may extend the award up to four (4) additional years contingent on INL priorities, good performance of the recipient, Department of State management approval, and funding availability.

The U.S. government will issue one (1) award to the responsible applicant(s) whose application(s), conforms to this NOFO, and are the most responsive to the objectives and criteria set forth in this NOFO. 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.

The U.S. government may make an award on the basis of 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), to enter into discussions with one or more applicant(s) in order to obtain clarifications, additional detail, or to suggest refinements in the program description, budget, or other aspects of an application.

Applicants please be advised that the following will be required if your organization is selected for this announcement.

State Department Leahy Amendment Vetting Requirements:

Funds provided under this award are subject to Section 620M of the Foreign Assistance Act of 1961, as amended, a provision titled “Limitation on Assistance to Security Forces” (the “Leahy Amendment”). Subsection (a) of that provision states: “(a) In General.—No assistance shall be furnished under this Act [the Foreign Assistance Act] or the Arms Export Control Act to any unit of the security forces of a foreign country if the Secretary of State has credible information that such unit has committed a gross violations of human rights.” Accordingly, none of the funds under this award may be used to provide training or other assistance to any unit or member of the security forces of a foreign country if the Department of State has credible information that such unit or individual has committed a gross violation of human rights.

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

Information needed: Full name, date of birth, country of birth, country of citizenship, gender, rank, title, and organizational affiliation. Please also include the activity and date that the activity will take place—if the person will participate throughout an extended program, please note the timeframe. Participant information should be submitted in the format attached.

Information required for “security forces” personnel: The above information is needed for each member of a foreign police or military unit (security forces, broadly defined) who will participate in any activity under this award. This includes both civilian and military employees of security forces participating in any activities funded under this award, including training, workshops or meetings, conferences, or other activities.

The Recipient must collaborate with the relevant U.S. Embassy on a case-by-case basis to determine if the Leahy requirement applies to specific activities or proposed participants.

Individuals who are not members of the security forces but who participate in activities under the award (e.g., politicians, academics, etc.) generally do not need to be vetted.

Submission Deadline: Each candidate must be cleared under Leahy vetting in advance of participation in activities funded under this award. The vetting process typically takes approximately one month, but may take longer if there are a large number of candidates or if issues arise. Thus, all information on proposed candidates must be received by the Embassy at least sixty (60) days in advance of the training event or other activity.

The Recipient agrees that it will not include any security forces candidate in training or other activities funded under this award until the State Department advises that the candidate has cleared Leahy vetting and is approved for participation.

[END OF SECTION II]

SECTION III – ELIGIBLITY INFORMATION

(1) Eligibility for this NOFO is limited to:

Applicants that qualify to receive U.S. grants (such as U.S. not-for-profit/non-governmental organizations (NGOs) or U.S. based educational institutions subject to section 501(c)(3) of the U.S. tax code; foreign not-for-profits/non-governmental organizations (NGOs) or foreign based educational institutions, with the ability to develop and successfully implement a project in Costa Rica and meet INL’s reporting requirements. Organizations must also be able to demonstrate current (or pending) country registration in Costa Rica.

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. 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.

PLEASE 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.

(2) INL encourages applications from potential new partners.

[END OF SECTION III]

SECTION IV – APPLICATION AND SUBMISSION INSTRUCTIONS

INL urges prospective applicants to immediately confirm their organization has a current Unique Entity Identifier (Dun and Bradstreet (DUNS) number) as well as a current Central Contractor Registration via www.sam.gov. Additionally, please ensure that registration in the following systems is in a current/active status prior to your organization’s application submission.

Organizations physically located OUTSIDE of the U.S. and territories and wishing to conduct business (contracts/grants) with the U.S. Government, must FIRST request a NCAGE Code, followed by a DUNS Number and then complete registration process in SAM.gov.

U.S. based Organizations, wishing to conduct business (contracts/grants) with the U.S.

Government to include Foreign Government, please proceed directly to SAM.gov. A U.S. CAGE Code will be assigned at the end of the SAM.gov Registration process.

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.

NCAGE Codes are required for all foreign entities prior to starting a SAM registration. PLEASE NOTE: The organization’s name, address, and email information must match what you used to request your Unique Entity Identifier (DUNS Number) Please ensure that alphabets, numerical characters, symbols, etc. and spacing is the same in both systems during the registration process.

Otherwise, you will receive error messages when applying for the NCAGE code. Organizations can submit a request for an NCAGE Code using the NCAGE Request Tool at https://eportal.nspa.nato.int/AC135Public/Docs/US%20Instructions%20for%20NSPA%20NCAG E.pdf. 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.

NCAGE registrations for overseas organizations can take up to 10 days (or more) to finalize once a request has been received. Please plan accordingly.

Unique Entity Identifier (DUNS Number)

All applicant organizations (foreign and domestic) must obtain a DUNS number. US-based organizations may request a DUNS number by calling 1-866-705-5711 or email:

SAMHelp@dnb.com; the DUNS number is usually provided immediately.

Foreign organizations that do not have a Unique Entity Identifier (DUNS number) will need to go to the Dun & Bradstreet website at http://fedgov.dnb.com/webform/CCRSearch.do?val=1 to start the process for obtaining a DUNS number. If further assistance is required, please email:

SAMHelp@dnb.com. NOTE: The organization’s name, address, and email information used to request the NCAGE Code must match what is used to request your Unique Entity Identifier (DUNS Number). Please ensure that alphabets, numerical characters, symbols, etc. and spacing is the same in both systems during the registration process.

SAM.gov Registration

SAM.gov registration is required of all INL applicants prior to registering with www.grants.gov. If your organization was previously registered in the Central Contractor Registry (CCR), you must still create a new Individual User Account in SAM.gov prior to receiving a future federal grant.

Applicant organizations can obtain assistance for SAM.gov registration by using the following link:

https://www.fsd.gov or by calling 1-866-606-8220 (U.S. calls)/or 1-324-206-7828 (international calls). PLEASE NOTE: The organization’s name, address, and email information used to request your organization’s Unique Entity Identifier (DUNS number) and the NCAGE Code must match what is used to request the SAM.gov validation Please ensure that alphabets, numerical characters, symbols, and spacing is the same in both systems during the registration process. Otherwise, you will receive error messages when registering in SAM.gov.

US-based organizations that already have a TIN (taxpayer identification number), your SAM registration will take 3-5 business days to process. US-based organizations applying for an EIN (employer identification number), please allow up to 2 weeks.

Foreign organizations must have a DUNS number and an NCAGE code prior to completing the SAM.gov registration process. Please follow the above listed instructions to obtain each.

Please note: If your organization is registered with SAM.gov and your status is NOT listed as ACTIVE, you will need to update your registration prior to submitting an application through www.grants.gov. SAM.gov requires ALL organizations (foreign and domestic) to register on an ANNUAL basis.

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 an NCAGE code, a DUNS number, and an “ACTIVE” status in SAM.gov prior to registering in Grants.gov.

TECHNICAL FORMAT REQUIREMENTS

For all application documents, please ensure:

A. All pages are numbered, including budgets and attachments, B. All documents are formatted to 8 ½ x 11 paper, and C. All Microsoft Word documents are single-spaced, 12 point Times New Roman font, with a minimum of 1-inch margins.

D. All documents must be submitted in English. (Please note: Per Department policy, English is the official and controlling language for all submitted application/award documents.)

Complete applications must include the following for proposal submissions:

1. Completed and signed SF-424, SF-424A, and SF424B, submitted via www.grants.gov, as well as, if applicable (Please see Tab D for instructions for completion of Standard Forms 424, 424A, and 424B.)

2. A copy of your organization’s most recent audit (as required per 2 CFR 200.500 – Subpart F). If an audit cannot be provided, an explanation must be submitted with the proposal submission.

3. Cover Page that sets forth proposal title, name of lead applicant, names of any other participating organizations, name and number of the Target Themes to which the proposal responds, and requested funding amount in U.S. dollars (see the award amount ceiling as stated in the NOFO)

4. Table of Contents (not to exceed one [1] page in Microsoft Word) that includes a page-numbered contents page, including any attachments.

5. Executive Summary (not to exceed two [2] pages in Microsoft Word) that includes:

a) the target country(ies),

b) name and contact information for the project’s main point of contact,

c) a statement of work or synopsis of the program, including a concise breakdown of the project’s objectives, activities, and expected results,

d) the total amount of funding requested and program length, and

e) a brief statement on how the project is innovative, sustainable, and will have a demonstrated impact.

6. Proposal Narrative (not to exceed ten [10] pages in Microsoft Word). Please note the page limit does not include the required documents listed in items #2 - 5 and items #7 – 16 (below).

7. Summary and Detailed Line-Item Budget (preferably in Microsoft Excel) that includes three [3] columns including the request to INL, any cost sharing contribution, and total budget (see below for more information on budget format). A summary budget should also be included using the OMB approved budget categories (see SF-424 as a sample). Costs must be in U.S.

dollars. (Sample template is provided as an attachment under the announcement via www.grants.gov.)

8. Budget Narrative (preferably in Microsoft Word) that 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. The budget narrative should communicate to INL any information that might not be readily apparent in the budget, not simply repeat with words what is stated numerically in the budget. (Sample template is provided as an attachment under the announcement via www.grants.gov.)

9. NICRA: If your 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 your proposal involves subgrants to organizations charging indirect costs, please submit the applicable NICRA also as a .pdf file (see “INDIRECT COST RATE” below for more information on indirect cost rates).

If your organization does NOT have a negotiated indirect cost rate agreement (NICRA) please specify if your organization elects to charge the de minimis rate of 10% of the modified total direct costs. The de minimis rate must be included in the detailed budget and an explanation must be provided in the budget narrative.

10. Monitoring and Evaluation Plan and/or Logic Model; (see TAB B below for more information on this section); Sample templates provided as attachments under the announcement via www.grants.gov.

11. Roles and responsibilities of key program personnel with short bios that highlight relevant professional experience. This relates to the organization’s capacity. Given the limited space, CVs are not recommended for submission.

12. Timeline of the overall proposal - Components should include activities, evaluation efforts, and program closeout

13. A list of previous and/or current federal assistance awards received; please include the awarding agency, point of contact, name of the project, start and end dates, and amount of the award.

14. Program Risk Analysis: Please provide the required risk analysis information as noted in TAB B of this NOFO. (Sample template is provided as an attachment under the announcement via www.grants.gov.)

15. INL Pre Award Annual Survey – template provided by INL that reviews the organization’s financial capacity and infrastructure. (Sample template is provided as an attachment under the announcement via www.grants.gov.)

16. Attachments (not to exceed five (5) pages total, preferably in Microsoft Word) that include the following in order:

a) Additional optional attachments. Attachments may include further timeline information, letters of support, memoranda of understanding (MOU)/agreement, etc. 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.

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

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:

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

2) 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;"

3) 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;

4) 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 (MTDC200.68 Modified Total Direct cost (MTDC) which may be used indefinitely. MTDC means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and sub-awards and sub-contracts up to the first $25,000 of each sub-award or sub-contract (regardless of the period of performance of the sub-awards and sub-contracts under the award). MTDC excludes equipment ($5,000 or greater), capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each sub-award and sub-contract in excess of $25,000. 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 IV]

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 the following elements as delineated:

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 Indicator 80 percent of participants demonstrate at least 75 percent cognizance of efficiency standards

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 Indicator 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

PROGRAM 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.

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

A results “Logic Model” planning document (see sample Logic Model template attached as a sample document) 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. Provide indicators at the output and outcome levels. Monitoring and evaluation plans should include a chart component that clearly delineates indicators and targets. All indicators must include measurable, numerical targets.

Establish, where possible, performance baseline data and expected performance targets for each indicator/outcome. In some cases, the baseline may be zero.

Describe monitoring and evaluation tools, such as rapid assessment surveys, site visits, key stakeholder interviews, etc., that will be used.

Plans should describe how the project’s impact and effectiveness will be monitored and evaluated throughout the project.

INL has included a sample Monitoring and Evaluation template as an attachment to the

NOFO.

PROGRAM RISK ANALYSIS

Risks are unavoidable – all programs inherently contain both internal and external risks. However, with proper identification and management, risks can be prepared for, minimized or mitigated. The purpose of a risk analysis is to identify the internal and external risks associated with the proposed program in the application, rate the likelihood of the risks, rate the potential impact of the risks on the program, and identify actions that could help mitigate the risks. A risk analysis should not be considered a one-time exercise or a static document. INL defers to organizations to conduct adequate risk analysis and remediation for all of its operations and advises that risk analysis and remediation occur throughout the life of a program and should result in revisions to risk analysis documents and processes as necessary. Applicants should include all assumptions and external factors identified in the logic model in the risk analysis. Applicants should rate the likelihood of a risk and potential impact of the risk as “High,” “Medium,” or “Low.” A sample template is provided as an attachment to this NOFO via www.grants.gov.

TAB C: BUDGET GUIDELINES

Complete budgets will provide a detailed line-item budget outlining specific cost requirements for proposed activities. A minimum of three columns should be used to delineate the bureau funding request, cost-share by applicant, and total project funding. Complete applications will include a budget narrative to clarify and justify individual line-items (i.e. calculations of how the costs were derived per month or year, their necessity, and overall contribution to the program’s cost-effectiveness).

The three-column proposal line item budget should include the following components, in the suggested format below:

INL Request Cost Share Total

A. PERSONNEL

a) Primarily Headquarters-Based Personnel -H.Q.-based project -dedicated staff salary (X months) X% of $X/yr

-H.Q.-based administrative staff salary (X months) X% of $X/yr

b) Primarily Field-Based Personnel -Field-based Country Director salary (x months or year) X% of $X/yr -Field-based Program Assistant salary (x months or year) X% of $X/yr

Subtotal Personnel

B. FRINGE BENEFITS

a) Primarily H.Q.-Based Fringe Benefits fringe=X% salary

-H.Q.-based project -dedicated staff fringe (X months) X% fringe -H.Q.-based administrative staff fringe(X months) X% fringe

b) Primarily Field-Based Fringe Benefits fringe=X% salary

-Field-based Country Director fringe (x months or year) X% fringe -Field-based Program Assistant fringe (x months or year) X% fringe

Subtotal Fringe Benefits

C. TRAVEL

a) Monitoring Travel

-Monitoring Trip: H.Q. to field (X) $X/RT flight

-Per diem (X days) $X/day

b) Field Travel

Activity 1: Workshop

-Staff Travel (# staff) $X/RT flight/# staff

-Staff Per Diem (X days) $X/day/# day/# staff

-Participant Travel (# participants) $X/trip/# pax

-Participant Per Diem (X days) $X/day/# day/# pax

Activity 2: Town Hall Meeting

-Staff Travel (# staff) $X/RT flight/# staff

-Staff Per Diem (X days) $X/day/# day/# staff

-Participant Travel (# participants) $X/trip/# pax

-Participant Per Diem (X days) $X/day/# day/# pax

Subtotal Travel

D. EQUIPMENT

a) Primarily H.Q.-Based Equipment (if applicable)

-H.Q.-equipment (if applicable) $X/unit

d) Primarily Field-Based Equipment

-Field-equipment $X/unit

Subtotal Equipment

E. SUPPLIES

a) Primarily H.