USAID s Effective Rule of Law Program

USAID s Effective Rule of Law Program REQUEST FOR APPLICATIONS INCREASING CITIZENS AWARENESS AND PARTICIPATION IN THE JUSTICE SYSTEM RFA NUMBER #01-2012 ISSUANCE DATE: JULY 4, 2012 DEADLINE FOR RECEIPT OF QUESTIONS: JULY 11, 2012 (5:00PM, LOCAL PRISTINA TIME) CLOSING DATE FOR SUBMISSION OF APPLICATIONS: JULY 31, 2012 CLOSING TIME FOR SUBMISSION OF APPLICATIONS: 5:00PM, LOCAL PRISTINA TIME PRISTINA, KOSOVO

PROGRAM DESCRIPTION PROGRAM SUMMARY USAID through its Effective Rule of Law (EROL) Program is seeking applications from locally registered Kosovo civil society organizations (CSOs) in two Activity Areas. For the purposes of this RFA, the term CSOs includes Non-Governmental Organizations (NGOs), educational institutions, business and professional associations, and other community organizations. Interested Applicants must submit separate applications for each Activity Area, for which they believe their organizations are qualified. These Activity Areas include: Activity Area One (1) Solicitation, award and management of sub-grants to local CSOs to carry out court monitoring and anticorruption initiatives. Proposed activities under Activity Area One (1) are envisioned to be completed within twelve months of the award s start date. The maximum value of award under Activity Area (1) is $150,000. Activity Area Two (2) Conducting public awareness and outreach aimed at combating corruption and increasing transparency and fairness among justice institutions in Kosovo. Proposed activities under Activity Area Two (2) must be completed within twelve months of the award s start date. The maximum value of award under Activity Area (2) is $100,000. USAID intends to make one award under each Activity Area above based on criteria described below under selection criteria. Although USAID expects to make one award per activity area, USAID reserves the right to fund more than one application for each Activity Area. USAID also reserves the right not to fund any awards if it is in the best interest of the US Government to do so. Kosovar organizations submitting applications for grant funding should be registered entities under applicable Kosovo Laws, and should be able to demonstrate the ability to comply with OMB Circular A- 122 Cost Principles for Non-Profit Organizations, accessible at the following website: http://www.whitehouse.gov/omb/assets/omb/circulars/a122/a122_2004.pdf The prospective award will be administered in accordance with the Standard Provisions for Non-U.S. Nongovernmental Recipients. The set of mandatory standard provisions and required as applicable standard provisions for Non-U.S. nongovernmental recipients is accessible at the following website: http://www.usaid.gov/policy/ads/300/303mab.pdf. Applicants under consideration for an award that have never received funding from USAID will be subject to a pre-award audit to determine fiscal responsibility, ensure adequacy of financial controls and establish an indirect cost rate. Eligible Kosovar organizations interested in submitting an application are encouraged to read this RFA thoroughly to understand the type of project sought and the application submission requirements and the evaluation process. Issuance of this RFA 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 cannot be made until funds have been fully appropriated, allocated, and committed through internal USAID procedures. While it is anticipated that these procedures will be successfully completed, potential applicants are hereby notified of the 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. 2

SUBMISSION OF APPLICATIONS All organizations must follow the Application Instructions (see Annex A) when submitting their applications in response to this RFA. Applicants are requested to submit their applications, electronically, via e-mail, as an e-mail attachment, or in hardcopies. Applicants must submit their applications electronically (in MS Word or Adobe PDF format), via e-mail at: usaiderolgrants@checchiconsulting.com Hard copies of the applications must be delivered by 5:00 p.m. on Friday, July 27, 2012 to the USAID EROL offices at Str. Enver Maloku, No. 82, Sunny Hill, Pristina, Kosovo. TECHNICAL PROPOSALS MUST BE IN ENGLISH TECHNICAL PROPOSALS MUST NOT EXCEED 10 PAGES (EXCLUDING ANNEXES) All applications must be clearly labeled as follows: USAID FORWARD RFA #01-2012 on the envelope indicating the name of the organization responding to this RFA and the organization s contact details. All applications must be delivered to the EROL Program in Pristina (at the address or e-adress provided above). If applicants choose to submit only hardcopies, two original, signed applications are required for each application submission. All applications received will be evaluated and reviewed for compliance with the RFA requirements (eligibility and selection criteria), the final selection will be determined by September 30, 2012, and implementation of grant project initiatives is expected to begin no later than October 22, 2012. Organizations are strongly advised to examine these instructions, as well as all RFA requirements and schedules pertaining to the submission of Applications. REQUEST FOR CLARIFICATIONS Organizations may request clarification of this RFA pertaining to issues that address eligibility criteria, delivery of proposals, currency of proposal, technical proposal considerations, cost proposal and budget requirements, proposal evaluation and award as well as grant administration issues. All requests for clarification must be submitted via email to usaiderolgrants@checchiconsulting.com. Questions and requests for clarification must be submitted by 5:00 pm, July 11, 2012. Answers to clarification requests will be published by July 18, 2012. In order to receive the answers to clarification, please ensure your contact information has been sent to: usaiderolgrants@checchiconsulting.com CURRENCY OF PROPOSAL The currency of all applications shall be US Dollars. Any application which does not conform to this condition will be considered invalid. BACKGROUND The Republic of Kosovo declared its independence on February 17, 2008, and began its transition from a United Nations-administered area to a self-governance state. U.S. Government support for Kosovo s transition to a fully functioning democracy, governed by the Rule of Law, has included support to the judiciary and other justice-sector institutions to implement legal reforms and establish strong institutional integrity and effectiveness, as well as support to civil society to promote the rule of law, advocate for improved governance, and promote transparency. 3

In March 2011, USAID initiated the Effective Rule of Law (EROL) Program in Kosovo. The aim of this four-year effort is to promote the independent and effective operation of the justice system in Kosovo. The Program is working to facilitate the strengthening of the courts, the Ministry of Justice, the Judicial Council and the Judicial Institute, as well as other justice sector institutions. Among other activities, EROL is providing technical assistance to enhance the Judicial Institute s capacity for training judges, prosecutors and court administrators; strengthen the Judicial Council s ability to fulfill its oversight and disciplinary functions; and help with the streamlining and modernization of the court system. In addition, EROL is working to increase public understanding of the justice system by working closely with local civil society organizations. Civil Society in Kosovo has played an active role in advocating for improved Rule of Law and monitoring reform initiatives, many organizations have launched and carried out successful public awareness campaigns, legislative and public policy analysis, monitoring of reform efforts, and issue-oriented advocacy related to the justice system and the courts. Thanks to their activities, tangible improvements have been made in the administration of justice, as well as the legal framework and implementation of policies related to human rights, gender equality, violence against women, discrimination, equal access to justice, and criminal justice reform. A range of public perception and court user surveys, as well as assessments of justice reform and the justice system have served to identify areas of public concern and to target needed reforms, and the resulting reports have underlined the need for continued reform and dialog between civil society and justice institutions to identify problems and craft realistic solutions. For example, the UNDP s Assessment Report on Access to Justice in Kosovo 1 highlights the importance of civil society organizations in improving access to justice is their role in monitoring the justice institutions. Further the report recommends that civil society organizations and the media must be provided with capacity development initiatives to ensure their function as watchdog s vis-à-vis access to justice and the performance of justice providers. The report concludes that there is a need for more engagement by the media and the civil society in supervising the justice system in Kosovo. In response to support from the international community and in some instances input from civil society, the Government of Kosovo has also taken several steps to improve adherence to the Rule of Law and to enhance the effectiveness, transparency, and professionalism of the courts and other justice sector institutions. In 2011, The Office of the President established the President s Anticorruption Council, the aim of which is to coordinate efforts of justice enforcement institutions in Kosovo to more effectively prevent and combat corruption as well as to identify and make synergies towards implementation on Kosovo national anti corruption strategy. This RFA aims to accomplish two primary purposes: 1) To expand the circle of community groups and members of the public who are exposed to the court system in general and to the challenges and opportunities for improved functioning of the courts and delivery of justice in the courts at the local level; and. 2) To increase public awareness about the justice system so that citizens can more effectively participate in debate and proactively support efforts by justice institutions and civil society to enhance transparency, combat corruption, and ensure equal access to justice through the fair, transparent, and effective administration of the justice in Kosovo. By educating citizens through an innovative public awareness initiative and providing sub-grants to groups around the country, USAID hopes to broaden the circle of people who both support strengthened rule of law through improved performance of the courts and understand how the court system works well enough to navigate the court system effectively and advocate for reform. 1 http://www.ks.undp.org/repository/docs/eng_undp_access_to_justicereport.pdf 4

USAID FORWARD GOALS AND OBJECTIVES Awards made through this Request for Applications are intended to be funded as part of USAID FORWARD, a USAID initiative aimed at changing the way that USAID does business with new partnerships, an emphasis on innovation and increased focus on results. USAID FORWARD is a comprehensive package of reforms in seven key areas, 2 including Implementation and Procurement Reform, which is aimed at contracting and providing grants to more and varied local partners and creating true partnerships with these contractors and grantees. USAID is streamlining its processes, increasing the use of small businesses, building metrics into its implementation agreements to achieve capacity building objectives and using host country systems where it makes sense. This program is designed to contribute specifically to USAID Forward s objective of strengthening partner country capacity to improve aid effectiveness and sustainability by increasing use of reliable partner country systems and institutions to provide support to partner countries. Specifically, the program will contribute to USAID FORWARD s Objective 2 by strengthening local civil society and private sector capacity to improve aid effectiveness and sustainability, by working closely with implementing partners on capacity building and local grant and contract allocations. RELATIONSHIP TO USAID STRATEGIC PROGRAMS This Request for Applications is designed to support initiatives that will contribute to USAID s Governing Justice and Democratically Program Objective and specifically to Program Area 2.1 Rule of Law and Human Rights, Program Element 2.1.2 Judicial Independence, and Program Element 2.1.3 Justice System. The initiatives envisioned under this activity will also directly contribute to USAID/Kosovo Intermediate Result 3.3 Improved Delivery of Justice through Rule of Law, Sub-intermediate Result 3.1 Increased Knowledge of Rule of Law, Sub-intermediate Result 3.2 Increased Independence and Accountability of the Judicial System, and Sub-intermediate Result 3.3 More Effective Operation of Justice System, as defined in the USAID Kosovo Strategy 2010-2014, accessible at the following website: http://pdf.usaid.gov/pdf_docs/pdacq298.pdf Recipients of awards made through this RFA will receive technical assistance and training support from the USAID/Kosovo Effective Rule of Law Program on program and financial management of grants and sub-grants, tools related to the Activity Areas, identified in this RFA, and establishment of metrics and monitoring of project progress and results in the aforementioned strategic objectives and expected results. IR2: Improved delivery of justice through rule of law IR3: Mechanisms for citizens to represent their interests and hold government accountable Sub-IR 2.1 Sub-IR 2.2 Increased capacity of justice sector professionals Increased independence and accountability of judicial system Sub-IR 3.1 Increased professionalism of citizen groups and journalists to monitor and influence government Sub-IR 2.3 More effective operation of the justice system 2 For a summary of all USAID FORWARD reform areas, please see: http://forward.usaid.gov/about/overview. 5

PROGRAM NARRATIVE ACTIVITY AREA (1): SOLICITATION, AWARD AND MANAGEMENT OF SUB-GRANTS TO LOCAL CSOs TO CARRY OUT COURT MONITORING AND ANTICORRUPTION INITIATIVES Background: The average member of the public in Kosovo has little formal knowledge about the courts and is therefore unable to hold the court system accountable for effective administration of justice or to recognize deficiencies or improvements in the delivery of justice. Court monitoring can be used by a variety of organizations for a broad range of purposes from, inter alia, protection of victims or defendants rights during court proceedings, advocacy on behalf of groups affected by the justice system, court community outreach, public awareness of the court system, research on the courts and justice system to identification of operational or procedural weaknesses, policy analysis, performance management, and even behavioral change among those being monitored. In Kosovo and around the world, court monitoring exposes citizens to court operations, laws and procedures, strengths and weaknesses in the delivery of justice, and the true nature of justice delivery. Under Activity Area (1), USAID intends but is not limited to provide funding to one Primary Recipient organization that will as act as an intermediary umbrella grants manager, managing small multiple subgrant recipients. These sub-grants are intended to support of community-based court monitoring that enhances opportunities for individuals to visit, learn about, engage with courts, and provide valuable and credible feedback to court and judicial leadership. By increasing court monitoring through small subgrants to community-based CSOs, educational institutions, and community groups, USAID-funded initiatives will expand the number of individuals, who are exposed to the courts, demonstrate the positive role that average citizens can play in improving the courts, and enhance court-community relations. Objectives: The objectives of the grant and sub-grant initiatives to be carried under Activity Area (1) are to expand the community of organizations and individuals carrying out court monitoring initiatives in Kosovo, as well as the nature, uses, and tools used to monitor initiatives in the courts with the overall goal of exposing more people to the court system and creating avenues for citizens to promote justice-sector reforms and improved court performance. This purpose will be accomplished by the recipient through sub-grants to local CSOs to carry out court monitoring projects, including but not limited to court monitoring aimed at enhancing court-community relations. Anticipated Results: By the completion of initiatives funded through a USAID award under this Activity Area, the grantee will have provided sub-grant support for up to 15 organizations, of which no fewer than 80% will be located outside of Pristina, for court monitoring initiatives and these sub-grantees will Improve their capacity to monitor the courts, Increase the overall number of community members engaged in court monitoring initiatives, Use the information gathered through court monitoring to recommend improvements or advocate change; and Increase knowledge in their local communities about their local courts. Illustrative Initiatives: USAID envisions that the successful applicant will design, implement and manage, a small grant program aimed at generating innovative court monitoring initiatives at the local level. Illustrative sub-grant eligibility criteria: Schools, advocacy groups, business associations and other community organizations Innovative activity o o Expansion of existing court monitoring initiatives to other courts Monitoring of a new kind of proceeding, case, or area of court operations 6

o Monitoring used as a tool to accomplish a different purpose than previously (e.g.: protection of victims of domestic violence through monitoring of proceedings for compliance with procedural and substantive legal norms) Illustrative sub-grant selection criteria: # of individuals involved in monitoring initiatives # of volunteer monitors # of individuals exposed to monitoring results Strategic importance of judiciary function(s) and/or goals and objectives of monitoring to USAID and grantee program objectives, and the project s expected impact on these goals and objectives Strategic importance of geographic region and target audiences that will participate in court monitoring initiatives The selected organization will receive ongoing coaching and support by USAID/EROL to develop or refine sub-granting program design and implementation and to develop and deliver training and technical assistance to grantees on court monitoring techniques and project implementation; project and financial management; substantive and procedural laws governing court monitoring; and ethics and professionalism for court monitoring organizations and monitor. Applicants should provide an assessment of its own and expected sub-grantees training and technical assistance needs and recommend a realistic timeline for provision of training and technical assistance by USAID/EROL during the grant period. Taking into account USAID s goal to increase the number of organizations and individuals, as well as expand the number of courts, in which citizen and/or community-based court monitoring is taking place, Applicants should estimate and provide rationale for the average size and number of sub-grants to be made with USAID funding. In no case should the maximum value of an individual sub-grant exceed $10,000. Based on previous similar experience USAID envisions a range from $3,000 up to $10,000 per sub-grant. ACTIVITY AREA (2): CONDUCTING PUBLIC AWARENESS AND OUTREACH AIMED AT COMBATING CORRUPTION AND INCREASING TRANSPARENCY AND FAIRNESS AMONG JUSTICE INSTITUTIONS IN KOSOVO Background: Public perception of corrupt or inefficient courts not only undermines public confidence in government but also diminishes access to justice among citizens, who fear that attempts to protect their rights will result in more harm rather than a just solution. Unfortunately, public perception is influenced by a number of factors, including fictional accounts of the justice system on television, and media reports whether or not they accurately depict the real situation. Public perception of the courts nearly always lags actual improvements because typically only a small portion of the public uses the courts. And, negative perceptions will persist among the broader population of citizens, who lack direct experience with the courts, unless they have a reliable source of information. While there is extensive coverage of the justice system on news and talk shows, and several popular foreign television programs about the justice system are aired at primetime, the public in Kosovo lacks basic understanding of the relative roles of judges, prosecutors, advocates, court staff, and others within the court system. This makes it extremely difficult to effectively convey useful or understandable information about reforms to citizens and makes it nearly impossible to engage the average citizen in supporting or even discussing reforms. It also makes it nearly impossible for the courts to communicate effectively with the public about high-profile or controversial cases. The U.S. Government - through USAID and the U.S. Department of State - has funded a range of NGO initiatives aimed at educating the public about corruption and inefficiency, demanding justice, and advocating for increased public oversight of the court system. The general public appears to have reached a consensus that corruption and inefficiency in the justice system must be rooted out, and through the past Justice Support Program (JSP) and EROL, USAID has began to improve both 7

transparency and ethics in the courts and prosecutorial systems. However, the public continues to struggle to understand the role that individuals play in contributing to corruption or the logic of ethics when it comes to interaction with government employees. Moreover, there is a growing perception in Kosovo that no transaction or procedure can be accomplished without the use of personal ties or undue influence. Demands for improved justice will go unheard until citizens are able to identify real deficiencies in transparency and effectiveness and to recognize when those improvements are actually achieved. Specifically, the public and key influencers in society must understand first how the justice system works, including the roles and responsibilities of institutions and actors; and secondly understand how the behavior of individuals within the system or between members of the public and court staff, judges, prosecutors or advocates can undermine fairness, transparency, and efficiency. The public needs help to understand the complex nature of the roles of each justice-sector actor and the sometimes counterintuitive logic of ethics and conduct as it relates both to justice system personnel and parties or others in contact with the justice system. In other words, in order to combat corruption in the justice system the public must understand and be able to identify not only the standards governing justice officials, but also applicable standards for their own and their representatives behavior and the role that their own behavior plays in increasing or decreasing opportunities for corruption. Under Activity Area (2), USAID intends but is not limited to provide funding to one Primary Recipient organization to pilot an innovative Nationwide Public Awareness Initiative aimed at educating the public about the distinct roles and responsibilities of justice-sector actors, including judges, prosecutors, advocates, and court staff. An educated public that understands the roles and responsibilities of court system professionals (judges, prosecutors, advocates, and court staff) will be better able to navigate the legal system, understand and respond to news reports and reform initiatives, and identify not only abuse and ineffective performance but also positive changes in the justice system. A constructive public awareness campaign will reduce apathy and increase the public s engagement with the courts and court reforms. Objectives: The objectives of the initiatives to be carried under Activity Area (2) are to enhance citizens understanding of the court system and the roles played by individual professionals in the court system in order to increase constructive public engagement in the justice system and rule of law reforms. Anticipated Results: By the end of the project period, the recipient organization will have: Measurably increased public awareness and understanding of the roles and responsibilities of judges, prosecutors, advocates and court staff among target audiences. Increased public understanding of roles and responsibilities that allows citizens to formulate opinions about current court-related events and proposed court-related reforms. Improved public understanding of the roles and responsibilities of justice-sector actors and their obligation to act in accordance with basic ethical standards that will serve as a foundation for future activities aimed at changing attitudes and behaviors. Increased public understanding of ethical interaction with justice-sector professionals that will serve as a foundation for future activities aimed at changing attitudes and behaviors. Illustrative Initiatives: USAID seeks innovative public awareness initiatives, customized to meet the unique needs and cultural norms of Kosovo society. Initiatives should seek to educate and empower citizens to understand and respond to rule of law and justice-sector reforms as well as day-to-day events in the justice system. Applicants should propose initiatives aimed at maximizing the reach (number and location) of information and achieving a common denominator of understanding among the public of how the court system works and what roles individuals in the court system play. Applicants should not feel confined by illustrative examples provided below and USAID strongly encourages all applicants to propose fresh, new and innovative initiatives when responding to this RFA. Television programs and broadcast media campaigns Youth campaigns New media and social networking 8

Print media campaigns, newspaper Q&A and editorial columns MONITORING AND EVALUATION OF USAID-FUNDED PROJECT INITIATIVES Recipients are responsible for following their approved implementation and monitoring and evaluation plans throughout the life of their award. These plans should provide the basis for Recipient s reporting to USAID during the life of the award. USAID will utilize these plans (including the approved budget plan) to monitor, assess, and evaluate a Recipient s program and program operations. USAID understands the difficult operating environment in Kosovo, and if necessary, will work with a Recipient to revise plans if mid-program corrections and adjustments are required. However, it is Recipient s responsibility to inform USAID/Kosovo if implementation issues arise which may affect approved plans. Additionally, because of the pilot nature of initiatives funded through this RFA the Recipient(s) will be subject to a USAID program evaluation aimed at determining whether similar initiatives should be funded by USAID in the future, and whether such initiatives should be funded through direct awards with USAID. USAID through EROL will work with each Recipient to develop quantitative and qualitative indicators to support this ancillary evaluation activity. In addition to any evaluation conducted for the purpose of assessing the effectiveness of initiatives carried out with grant funds, USAID will conduct an independent evaluation of each Recipient s Initiatives for the purpose of informing further development of USAID FORWARD activities in Kosovo. SPECIAL PROVISIONS ACCOUNTABILITY The Recipient will be fully responsible for all funds disbursed under the award. Funds will be US Dollar denominated. All grant and sub-grant expenditures may be subject to USAID/Kosovo financial review. The Recipient will be responsible for all financial reporting, end-use verification, and sub-grant management. Sub-awards must be submitted to USAID for prior written approval. The Recipient will assist sub-awardees to develop adequate accounting procedures. LENGTH OF GRANTS Grant for initiatives under Activity Area (1) will be for a maximum of twelve (12) months from the award s start date. Grant for initiatives under Activity Area (2) will be for a maximum of twelve (12) months from the award s start date. Program performance, available funding, competing program priorities, and local context will determine whether a grant, at USAID s discretion, can be extended. PROJECT STAFF QUALIFICATIONS Applicants should identify and explain the rational for the level of effort (% of total working time or number of days) to be provided for each project-related position, including any labor that will be provided through overhead or indirect costs. If recommended minimum requirements are not met Applicants should explain how proposed staffing will effectively support accomplishment of project goals, objectives, activities, and expected results. USAID MANAGEMENT, TRAINING AND TECHNICAL ASSISTANCE USAID management will be provided directly by the USAID/Kosovo. USAID has contracted with Checchi & Company Consulting, Inc., the implementer of the USAID Effective Rule of Law Program, to carry out 9

the solicitation and technical review of grant proposals. USAID/EROL will provide post-award training and technical assistance to Recipients and sub-recipients. TIMING Applicants must be prepared to commence grant-funded activities within 15 days of award, and no later than October 22, 2012. ELIGIBILITY CRITERIA FOR PRIME GRANT APPLICANTS Activity Area (1) In order to ensure that Recipients possess adequate capacity to carry out the activities envisioned under this Request for Applications, the following eligibility criteria will be used to determine applicants eligibility to receive an award. Only complete proposals, submitted by eligible organizations, will be considered for award. The following eligibility criteria must be met by the date, upon which a proposal is submitted under the Request for Applications: Valid organizational registration as a legal entity in Kosovo with the Department of Registration and Liaison of NGOs within the Kosovo Ministry of Public Administration; Proven organizational experience soliciting, awarding, and overseeing the implementation and financial management of sub-grants totaling at least $100,000; Complete application, including all required content, annexes, and forms; Compliance with lobbying and terrorist financing acts; Good standing with fiscal and taxation authorities in Kosovo The application should be directly responsive to the terms, conditions, guidelines and provisions of this Request for Applications to be assured of consideration. Applications not conforming to this Request for Applications may be categorized as not meeting the minimum requirements of the RFA, thereby eliminating them from further consideration. Activity Area (2) In order to ensure that Recipients possess adequate capacity to carry out the activities envisioned under this Request for Applications, the following eligibility criteria will be used to determine applicants eligibility to receive an award. Only complete proposals, submitted by eligible organizations, will be considered for award. The following eligibility criteria must be met by the date, upon which a proposal is submitted under the Request for Applications: Valid organizational registration as a legal entity in Kosovo with the Department of Registration and Liaison of NGOs within the Kosovo Ministry of Public Administration; At least two years of experience implementing public awareness and/or outreach programs; Complete application, including all required content, annexes, and forms; Compliance with lobbying and terrorist financing acts; Good standing with fiscal and taxation authorities in Kosovo The application should be directly responsive to the terms, conditions, guidelines and provisions of this Request for Applications to be assured of consideration. Applications not conforming to this Request for Applications may be categorized as not meeting the minimum requirements of the RFA, thereby eliminating them from further consideration. 10

SELECTION CRITERIA OVERVIEW AND GENERAL CRITERIA The criteria presented below have been tailored to the requirements of this Request for Applications. Applicants should note that these criteria serve to (a) identify the significant matters which Applicants should address in their applications, and (b) set the standard against which all applications will be evaluated. To facilitate the review of applications, Applicants should address all selection criteria in the narrative sections of their applications preferably in the same order as listed below. While technical concerns are paramount, cost and USAID budget limitations will be considered as a factor for award. To the extent necessary (if award is made based on initial applications), negotiations will be conducted with all Applicants whose application, after discussion and negotiation, has a reasonable chance of being selected for award. Awards will be made to responsible Applicants whose applications offer the greatest value, cost, and other factors considered. The organizations selected for award must undergo a pre-award assessment and be determined to meet the fiscal responsibility, a determination required by USAID regulations prior to being awarded a grant. The Technical Proposal will be the most important item of consideration in the selection process. It should be specific, complete, and presented concisely. Applicants should review all information in this RFA in depth prior to preparing applications, especially the Technical Proposal, eligibility, and evaluation criteria. USAID will evaluate each Applicant s rationale for the proposed strategy and selection of the target audience, the extent to which the implementation plan is realistic, and the likelihood that the project will contribute to the goals and objectives outlined in this RFA. Applicants should take into account evaluation criteria, outlined below under Selection Criteria when completing applications. The Technical Proposal must set forth in detail the conceptual approach, methodology, and techniques for accomplishment of the stated program objectives. It also must define results and benchmarks for monitoring progress in achieving the results. SELECTION CRITERIA The following selection criteria will be used to evaluate all proposals. TECHNICAL EVALUATION CRITERIA FOR ACTIVITY (1) Strategic Fit (20 points) Contribution toward USAID Rule of Law activities designed to improve delivery of justice Description of sustainability strategy and potential for success Anticipated impact of proposed initiative Strategic geographic coverage of initiative Technical Approach (20 points) Clear definition of problem statement Clear definition of goals, objectives and results Innovative approach Description of a realistic implementation plan with specific deliverables A comprehensive and practical monitoring and evaluation strategy 11

Organizational Capacity to manage sub-grants to local organizations (20 points) Proposed personnel skills and experience to implement the proposed project Extent to which the applicant organization has demonstrated leadership ability within their sector of expertise and the capacity to provide support and services to other NGOs/citizens. Past Performance (20 points) Successful past performance record implementing similar initiatives Gender considerations (5 points) Focus on women participants or beneficiaries and its impact Non-majority considerations (5 points) Focus on non-majority participants or beneficiaries and its impact TECHNICAL EVALUATION CRITERIA FOR ACTIVITY (2) Strategic Fit (20 points) Contribution toward USAID Rule of Law activities designed to improve delivery of justice Description of sustainability strategy and potential for success Anticipated impact of proposed initiative Strategic geographic coverage of initiative Technical Approach (40 points) Clear definition of problem statement Clear definition of goals, objectives and results Innovative approach Description of a realistic implementation plan with specific deliverables A comprehensive and practical monitoring and evaluation strategy Organizational Capacity (10 points) Proposed personnel possess relevant skills and experience to implement the proposed project Extent to which the applicant organization has demonstrated leadership ability within their sector of expertise. Past Performance (10 points) Successful past performance record implementing similar initiatives Gender considerations (5 points) Focus on women participants or beneficiaries and its impact Non-majority considerations (5 points) Focus on non-majority participants or beneficiaries and its impact COST EVALUATION CRITERIA FOR BOTH ACTIVITY AREAS (10 POINTS) The cost proposal component of the application will be reviewed to determine whether the costs reflect the Applicant's understanding of the requirements, and whether the costs are consistent with the Technical Proposal. The cost analysis is intended to meet the three goals outlined below. (1) Verify the Applicant's understanding of the requirement. (2) Assess the degree to which the cost proposal realistically reflects the approaches in the Technical Proposal. (3) Assess the degree to which the costs included in the cost proposal accurately represent the work effort included in the Technical Proposal. 12

(4) Assess cost effectiveness, the degree to which the cost proposal is reasonable, allowable and allocable. 13

ANNEX A APPLICATION FORM TECHNICAL PROPOSALS MUST NOT EXCEED 10 PAGES (EXCLUDING ANNEXES AND COVER LETTER) COVER LETTER AND TECHNICAL PROPOSAL MUST BE SUBMITTED IN ENGLISH A. COVER LETTER All proposals shall contain a cover letter with the following information: 1. CONTACT INFORMATION Full legal name of organization (as per registration certificate) Full name of applicant (in English) Project title Project duration Project partners (if applicable) Address of the organization Office telephone number E-mail address Web page Contact person, title Contact persons e-mail address Contact persons telephone no. 2. ORGANIZATIONAL INFORMATION RELATED TO ELIGIBILITY Date of registration and registration number: Attached is a copy of your organization s formal registration as evidence of valid legal status: 3. CERTIFICATION Cover letters must contain the following certification 14

I hereby certify that the information contained herein and attached hereto is complete and accurate to the best of my knowledge Also include the following information: Head of Organization Signature (if submitted in hard copy) Date and place B. TECHNICAL PROPOSAL FORMAT 1. EXECUTIVE SUMMARY (1 PAGE) Briefly summarize as clearly and concisely as possible the key components of your proposal including: Statement of the problem/need to be addressed by your proposal; Description of the project s goals and objectives; Description of major activities to be implemented; Funding requirements; and Description of program sustainability. 2. STATEMENT OF NEED/SITUATION ANALYSIS (1 PAGE) Describe the problem or need that will be addressed through your project proposal. Include information about how you became aware of the problem, the extent of the problem/need; who are the people affected, a summary of any research, studies, etc., already conducted that provide evidence of the need; what, if anything, has been done by your organization or others to address the problem; why this is an important issue that needs resolution (what will happen if the problem/need is not addressed). 3. PROJECT DESCRIPTION/TECHNICAL APPROACH (6 PAGES) 3.1. Project Concept In this section, please address the following: a. Goal and Objectives: Please name one overall project goal and list the three main project level objectives to be achieved? Objectives should be clear, specific, measurable, and achievable within the project time frame. b. Expected Results: What are the concrete results/changes, both quantitative and qualitative that this project will have on the situation you are trying to change? Expected results should directly correspond to specific objectives, project activities and timeline. They should be concrete, practical and achievable. c. Assumptions and Risks: What other considerations, which are outside your control, must take place (or not take place) in order for the project to succeed? Identify any potential constraints that could impact project progress. d. Partnerships (if any): Explain the role of partner organizations in your project. Who are your partners and collaborators in the project and why have you selected them? Explain how they will 15

be involved in project design and implementation. Please include in the proposal attachment section any letters of support from partners or other groups with whom you will be forming strategic alliances. 3.2. Project Implementation Describe how the project will be implemented. What are the specific actions/activities that you will take to achieve expected results and program objectives? What are the deliverables? Give a description of the main phases of the project and the key activities that will be undertaken. Answer the questions: what will be done where it will be done, when it will be done, and who will be responsible? Provide enough detail to demonstrate that you have clearly thought out what are the best type of activities to achieve the results, the logical sequence of implementation, and a realistic timeframe. 3.3. Project Timeline Using the sample format shown below, provide a timetable of activities by month, showing for each activity who is the responsible person: Activity 1 2 3 4 5 6 7 8 9 Person Responsible Activity 1 Name 1 Activity 2 Name 2 Activity 3 Name 3 3.4. Monitoring and Evaluation Plan A monitoring and evaluation strategy (M&E Strategy) must be submitted with the full proposal. The M&E Strategy will be used to measure progress in the implementation of the project. The organization shall maintain open and effective communication with the EROL Program to ensure that data collection and analysis activities are consistent with the scope of work and that potential problems are addressed in a timely manner. Describe how you plan to monitor and evaluate your progress in attaining desired programs results and the effectiveness of project activities in meeting project objectives. State the key indicators that will be used to: (a) Determine whether the project is being implemented as planned, how will the data be collected? How often will monitoring and evaluation take place and who will be responsible for data collection, evaluation, and preparation of report (b) Assess and evaluate the effectiveness and impact of project activities? 3.5. Sustainability Plan Describe how the project activities, results, or benefits will be continued or sustained beyond the end of the grant funding. Describe the possibilities for replication of the project. 16

4. PROJECT PERSONNEL AND ORGANIZATIONAL CAPACITY (2 PAGES) Describe your staffing plan and project personnel, their role on this project, and relevant experience to manage/implement this project. Describe the extent to which your organization has demonstrated leadership in the area of expertise, and has a successful past performance record implementing similar initiatives. Applicants may choose to present the curriculum vitae (CVs) of key individuals and past performance matrices as annexes to the full proposal. Applicants shall also include a description of the nature of any outside advisors or consultants for project implementation, training or other assistance that will be necessary for the success of the proposed activities and why they are required. Important Note: The Technical Application must not exceed 10 pages in length and shall be written in English, and printed on standard A4 letter size paper. Applicant must use 12 Point Times New Roman Font size, single spaced, with 1-inch margins on both right and left. In hardcopies, the front and backsides of a single sheet are counted as two (2) pages. Pages must be sequentially numbered with the page number on each page. Any pages that exceed the page limitation will not be furnished to the Technical Evaluation Committee. C. COST PROPOSAL FORMAT 1. DETAILED BUDGET, BUDGET NARRATIVE AND BUDGET PROJECTION The USAID/EROL Program will carefully review the assumptions and associated costs related to your proposed activity so please take time to prepare a thorough and complete budget (see sample format attached). A well-prepared budget should clearly support and complement the proposed technical approach. Sufficient detail should be provided so that someone who is not familiar with your organization can easily understands how you arrived at the budgeted amounts. The budget should show sufficient amount of detail so that it is an accurate reflection of your real financial needs. It should also be clear to those reviewing your proposal how budget amounts were determined and how all expenditures are needed to achieve expected results. Please use the sample budget format attached to this application. Proposals will be judged in terms of cost-effectiveness so be careful not to inflate your costs or to include items that are not necessary for the success of your project. If possible, please use the general and detailed categories listed below. All costs should be budgeted in U.S. currency. All applicants are required to provide a cost-sharing contribution in accordance with the terms and conditions of the Request for Application. Cost sharing may be in the form of cash, in-kind contributions, donations, monies received from fund-raising activities, volunteer time, or funding from other sources. Please include a budget narrative (1-2 pages) to provide any further explanation concerning unit costs or any other appropriate justification in support of your financial proposal. The budget narrative should describe the nature of individual cost items proposed and include a description of the source of that particular cost estimate (historical experience, quotes, etc.). 17

2. COST PROPOSAL INDICATORS When assessing an applicant s cost proposal, the following indicators will be used: Realistic Approach and Completeness Special attention will be paid to identifying possible overestimation or underestimation of the budget and to accuracy. The justification must clearly explain how you have reached specific total figures such as number of staff employed by the program, percentage of their time devoted to the program, number of business trips, need for purchase of equipment, fee rates of consultants and consultants days of level of effort, etc. Clear reflection of program activities The budget should reflect actual expenses of the planned activities. They must be clearly stated and detailed in the justification. Cost-effectiveness Program activities should be based on practical and cost-effective approaches when planning program expenses. USAID/EROL is interested in programs that produce high impact at a reasonable cost. While developing and justifying the budget you must show that your program is proposing the most effective solutions for achieving significant positive results. Reasonable ratio between administrative and program costs USAID/EROL will give preference to those proposals which show a low ratio between administrative and program costs. High overhead expenses substantially lower the cost effectiveness of programs. 18

BUDGET FORMAT Applicants must provide a detailed activity budget using the format below. The document is available in MS Excel, if desired. Please review the RFA to ensure compliance with all proposal requirements and to gain an understanding of the budget categories. Budget Category Description Budget Personel - Materials and Supplies 0 Travel 0 Communication 0 Other direct Costs 0 Program costs 0 Total expenses - 19

REQUIRED CERTIFICATIONS PACKAGE ANNEX B CERTIFICATIONS USAID requires that recipients sign the following certifications as a prerequisite to receiving a grant from a U.S. Government source. This applies to organizations receiving grants from the USAID s Effective Rule of Law (EROL) program. CERTIFICATION REGARDING TERRORIST FINANCING By signing and submitting this application, the prospective recipient provides the certification set out below: 1. The Recipient, to the best of its current knowledge, did not provide, within the previous ten years, and will take all reasonable steps to ensure that it does not and will not knowingly provide, material support or resources to any individual or entity that commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated, or participated in terrorist acts, as that term is defined in paragraph 5. 2. The following steps may enable the Recipient to comply with its obligations. Before providing any material support or resources to an individual or entity, the Recipient will verify that the individual or entity does not (i) appear on the master list of Specially Designated Nationals and Blocked Persons, which list is maintained by the U.S. Treasury s Office of Foreign Assets Control (OFAC) and is available online at OFAC s website: http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf or (ii) is not included in any supplementary information concerning prohibited individuals or entities that may be provided by USAID to the Recipient. 3. Before providing any material support or resources to an individual or entity, the Recipient also will verify that the individual or entity has not been designated by the United Nations Security (UNSC) sanctions committee established under UNSC Resolution 1267 (1999) (the 1267 Committee ) [individuals and entities linked to the Taliban, Osama bin Laden, or the Al Qaeda Organization]. To determine whether there has been a published designation of an individual or entity by the 1267 Committee, the Recipient should refer to the consolidated list available online at the Committee s website: http://www.un.org/sc/committees/1267/consolist.shtml. 4. Before providing any material support or resources to an individual or entity, the Recipient will consider all information about that individual or entity of which it is aware and all public information that is reasonably available to it or of which it should be aware. The Recipient also will implement reasonable monitoring and oversight procedures to safeguard against assistance being diverted to support terrorist activity. 5. For purposes of this certification: 20