I. Requested Statements of Interest Objectives

The Bureau of Democracy, Human Rights and Labor (DRL) announces a Request for Statements of Interest (RSOI) from organizations interested in submitting Statements of Interest (SOI) for programs that support the policy objective to promote human rights, increase accountability, and foster the free flow of information into, out of, and within the DPRK.

PLEASE NOTE: DRL strongly encourages applicants to immediately access www.grantsolutions.gov or www.grants.gov in order to obtain a username and password. GrantSolutions.gov is highly recommended for all submissions and is DRL’s preferred system for receiving applications. To register with GrantSolutions.gov for the first time, please refer to the Proposal Submission Instructions for Statements of Interest at: http://www.state.gov/j/drl/p/c12302.htm.

The submission of a SOI is the first step in a two-part process. Applicants must first submit a SOI, which is a concise, 3-page concept note designed to clearly communicate a program idea and its objectives before the development of a full proposal application. The purpose of the SOI process is to allow applicants the opportunity to submit program ideas for DRL to evaluate prior to requiring the development of full proposal applications. Upon review of eligible SOIs, DRL will invite selected applicants to expand their ideas into full proposal applications.

While projects should have the potential to have an immediate impact leading to long-term sustainable reforms, and should have potential for sustainability beyond DRL resources, DRL recognizes that advancing human rights is a long-term effort. As such, organizations should clearly explain how the proposed project idea is but one part of their longer-term strategic plan for improving human rights. DRL’s preference is to not duplicate past efforts, but instead support new and creative approaches. This does not exclude from consideration projects that improve upon or expand existing successful projects in a new and complementary way. DRL also strives to ensure its projects advance the rights and uphold the dignity of the most vulnerable or at-risk populations.

DRL anticipates having approximately $2,650,000, pending availability of funds, for new programs following the categories listed below. The amounts provided reflect DRL’s current expectation of funding levels per category and should be used only as background information when developing a SOI. It is not meant to set either a minimum or maximum amount for a specific project.

Depending on received SOIs, and subsequent full proposals, DRL expects to support approximately two (2) projects per category, as clarified below. DRL also reserves the right to amend the distribution of funding amounts for the below categories based on applications received, current events, or DRL priorities.

Organizations may submit no more than one (1) SOI per category and must explicitly identify the category a SOI is being submitted. If a SOI may fit within more than one category, the organization must identify which category they determine is the best fit for the work proposed. If a SOI does not explicitly identify one of the below categories on the first page of the SOI submission, it may be deemed technically ineligible and may not be forwarded to the review panel for consideration.

Organizations should include an anticipated start date between March 2017 and June 2017 and the period of performance should be between one to three years.

Fostering the Free Flow of Information into, out of, and within the DPRK (approximately $1,600,000, pending availability of funding, with potentially more than two (2) projects awarded)

DRL’s goal is for the people of North Korea to have increased access to independent information that provides a range of viewpoints and increases exposure to and understanding of environments where individuals are able to communicate information and express their opinions freely. Illustrative program activities include:

• Producing and transmitting radio broadcasts into North Korea;

• Producing content and/or acquiring existing content of interest to North Korean audiences;

• Exploring new mechanisms or expanding existing mechanisms for sharing or consuming information and content;

• Raising awareness of legal rights under existing DPRK domestic laws and its international human rights obligations;

• Raising awareness of international best-practices and norms; and,

• Promoting fundamental freedoms, including expression, movement, association, and peaceful assembly.

Organizations may propose activities not specifically identified above that align with DRL’s goal in this category. Organizations submitting SOIs for this category are strongly encouraged to do so in partnership with at least one other organization. The organization submitting the SOI is designated as the lead applicant with partner organizations included as sub-award recipients. While organizations are limited to submitting only one (1) SOI under this category, this limitation does not extend to being included as a partner in another organization’s SOI.

Promoting Human Rights and Accountability (approximately $500,000, pending availability of funding, with approximately two (2) projects awarded)

DRL’s goal is to increase international pressure on the DPRK government to comply with its human rights obligations through increasing the amount of objective, credible information available about human rights in the DPRK, raising international awareness about human rights conditions, and engaging international actors to adopt approaches or actions that facilitate improvements in human rights conditions and/or lead to increased accountability for human rights violations and abuses. Illustrative program activities include:

• Documenting cases of human rights violations and abuses in the DPRK, including cases of forced repatriations or other human rights violations or abuses of North Korean people outside of the DPRK;

• Establishing and/or maintaining a public online database of prisons and gulags in the DPRK, including a list of political prisoners;

• Publishing reports that meaningfully contribute to, but do not duplicate or repackage, public information on DPRK human rights conditions;

• Increasing information available on perpetrators of human rights violations or abuses;

• Amplifying the documentation work of the UN Commission of Inquiry on the situation in the DPRK;

• Submitting reports or conducting advocacy campaigns at international fora, including the UN Human Rights Council, General Assembly, or other relevant UN bodies or international mechanisms; and,

• Expanding global partnerships to mobilize increased support in other regions and countries for human rights in North Korea.

Organizations may propose activities not specifically identified above that align with DRL’s goal in this category. Organizations submitting SOIs under this category must do so in partnership with at least one other organization. The organization submitting the SOI is designated as the lead applicant with partner organizations included as sub-award recipients. Failure to partner with at least one other organization may result in the SOI being deemed technically ineligible and may not be included for consideration by the review panel. While organizations are limited to submitting only one (1) SOI under this category, this limitation does not extend to being included as a partner in another organization’s SOI.

Developing Skills for Program Implementation and/or in Preparation for Future Political Openings (approximately $550,000, pending availability of funding, with potentially up to two (2) projects awarded)

DRL’s goal is to strengthen the efficiency and effectiveness of program implementation by the North Korean defector community and individuals working to promote human rights and democracy in the DPRK and to further develop the skills of potential leaders from the defector community in preparation for future political openings, including reunification. Illustrative program activities include:

• Providing support to improve key administrative practices, such as organizational management, financial management, internal controls, proposal writing, and compliance with donor requirements, with the objective of increasing the number of organizations focusing on DPRK human rights able to manage international funding;

• Strengthening skills and knowledge on key thematic issues, such as international standards for conducting research and publishing reports, producing compelling or appealing content, and techniques for conducting effective public advocacy, including identifying target audiences and tailoring specific messages or recommendations for targeted interventions;

• Providing small grants or other types of structured follow-up to training recipients to implement the skills learned through the trainings;

• Fostering increased collaboration and information sharing among organizations working on DPRK human rights issues, as well as increasing sustainable partnerships between the defector community and international human rights community;

• Providing professional development and leadership opportunities for key individuals within the DPRK human rights community; and,

• Increasing opportunities for and encouraging greater participation of defector youth – who having grown up as part of the “jangmadang generation” may have different perspectives or creative ideas – to work in the human rights community as a source of creative approaches to reach youth audiences inside the DPRK, as well as to develop skills, such as from human rights research and advocacy to community organizing, in preparation for any future political openings.

Organizations are able to propose activities not specifically identified above that align with DRL’s goal in this category. Organizations submitting SOIs for this category are strongly encouraged to do so in partnership with at least one other organization. The organization submitting the SOI is designated as the lead applicant with partner organizations included as sub-award recipients. While organizations are limited to submitting only one (1) SOI under this category, this limitation does not extend to being included as a partner in another organization’s SOI.

II. Eligibility Information:

Organizations submitting SOIs must meet the following criteria:

• Be a U.S.-based or foreign-based non-profit organization/non-governmental organization (NGO), or a public international organization; or

• Be a private, public, or state institutions of higher education; or

• Be a for-profit organization or business, although there are restrictions on payment of fees and/or profits under grants and cooperative agreements, including those outlined in 48 CFR 30 (“Cost Accounting Standards Administration”), 48 CFR 31 (“Contract Cost Principles and Procedures”); and

• Have existing, or the capacity to develop, active partnerships with thematic or in-country partners, entities, and relevant stakeholders including private sector partners and NGOs; and

• Have demonstrable experience administering successful and preferably similar programs. DRL reserves the right to request additional background information on organizations that do not have previous experience administering federal awards. These applicants may be subject to limited funding on a pilot basis and/or additional special conditions, such as prior approval of monthly expenditures.

DRL’s preference is to work with non-profit entities; however, there may be occasions when a for-profit entity is best suited. For-profit entities should be aware that its application may be subject to additional review following the panel selection process, and that the Department of State generally prohibits profit under its assistance awards to for-profit or commercial organizations. Profit is defined as any amount in excess of allowable direct and indirect costs. The allowability of costs incurred by commercial organizations is determined in accordance with the provisions of the Federal Acquisition Regulation (FAR) at 48 CFR 30, Cost Accounting Standards Administration, and 48 CFR 31 Contract Cost Principles and Procedures. Program income earned by the recipient must be deducted from the program’s total allowable costs in determining the net allowable costs on which the federal share of costs is based.

DRL is committed to an anti-discrimination policy in all of its programs and activities. DRL welcomes SOI submissions irrespective of an applicant’s race, ethnicity, color, creed, national origin, gender, sexual orientation, gender identity, disability, or other status. DRL strongly encourages applications from organizations working with the most at risk and vulnerable communities, including women, youth, persons with disabilities, members of ethnic or religious minority groups, and LGBTI persons.

No entity listed on the Excluded Parties List System in the System for Award Management (SAM) is eligible for any assistance or can participate in any activities under an award in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR 1986 Comp., p. 189) and 12689 (3 CFR1989 Comp., p. 235), “Debarment and Suspension.” Additionally, no entity listed on the EPLS can participate in any activities under an award. All applicants are strongly encouraged to review the EPLS in SAM to ensure that no ineligible entity is included.

Organizations are not required to have a valid Unique Entity Identified (UEI) number, formerly referred to as a DUNS (Data Universal Numbering System) number, and an active SAM.gov registration to apply for this solicitation through GrantSolutions.gov. However, if a SOI is approved, these will need to be obtained before an organization is able to submit a full application.

III. Application Requirements, Deadline, and Technical Eligibility

All SOIs must conform to DRL’s posted Proposal Submission Instructions (PSI) for Statements of Interest, as updated in August 2016, available at http://www.state.gov/j/drl/p/c12302.htm.

Complete SOI submissions must include the following:

1. Completed and signed SF-424 and SF424B, as directed on GrantSolutions.gov or Grants.gov (please refer to DRL’s PSI for SOIs for guidance on completing the SF-424); and,

2. Program Statement (not to exceed three [3] pages in Microsoft Word) that includes:

a) A table listing:

i. The target country/countries;

ii. The total amount of funding requested from DRL, total amount of cost-share (if any), and total program amount (DRL funds + cost-share); and,

iii. Program length;

b) A synopsis of the program, including a brief statement on how the program will have a demonstrated impact and engage relevant stakeholders. The SOI should identify local partners as appropriate;

c) A concise breakdown explicitly identifying the program’s objectives and the activities and expected results that contribute to each objective; and,

d) A brief description of the applicant(s) that demonstrates the applicant(s) expertise and capacity to implement the program and manage a U.S. government award.

Technically eligible SOIs are those which:

1) Arrive electronically via GrantSolutions.gov or Grants.gov by 11:30 p.m. Eastern Time on Monday, October 31, 2016 under the announcement title “Human Rights, Accountability, and Access to Information in the Democratic People’s Republic of Korea (DPRK or North Korea)” funding opportunity number DRLA-DRLAQM-16-093;

2) Are in English;

3) Heed all instructions and do not violate any of the guidelines stated in this solicitation and the PSI for Statements of Interest.

For all SOI documents please ensure:

1) All pages are numbered;

2) All documents are formatted to 8 ½ x 11 paper; and,

3) All documents are single-spaced, 12 point Times New Roman font, with 1-inch margins. Captions and footnotes may be 10-point Times New Roman font. Font sizes in charts and tables can be reformatted to fit within one page width.

Grants.gov and Grantsolutions.gov automatically logs the date and time a submission is made, and the Department of State will use this information to determine whether it has been submitted on time. Late submissions are neither reviewed nor considered unless the DRL point of contact listed in section VI is contacted prior to the deadline and is provided with evidence of system errors caused by www.grants.gov or www.grantsolutions.gov that is outside of the prospective applicants’ control and is the sole reason for a late submission. Prospective applicants should not expect a notification upon DRL receiving their SOI. It is the sole responsibility of the prospective applicant to ensure that all of the material submitted in the SOI submission package is complete, accurate, and current. DRL will not accept SOIs submitted via email, fax, the postal system, or delivery companies or couriers. DRL strongly encourages all prospective applicants to submit SOIs before Monday, October 31, 2016 to ensure that the SOI has been received and is complete.

IV. Review and Selection Process

The Department’s Office of Acquisitions Management (AQM) will determine technical eligibility for all SOI submissions. All technically eligible SOIs will then be reviewed against the same three criteria by a DRL Review Panel, which includes quality of program idea/inclusivity of marginalized populations, program planning, and ability to achieve objectives/institutional capacity. Additionally, the Panel will evaluate how the SOI meets the solicitation request, U.S. foreign policy goals, and the priority needs of DRL overall. Panelists review each SOI individually against the evaluation criteria, not against competing SOIs. To ensure all SOIs receive a balanced evaluation, the DRL Review Panel will review the first page of the SOI up to the page limit and no further. The Grants Officer Representative (GOR) for the eventual award does not vote on the panel. All Panelists must sign non-disclosure agreements and conflict of interest agreements.

In most cases, the DRL Review Panel includes representatives from DRL and the appropriate Department of State regional bureau, which may request feedback on SOIs from the appropriate U.S. embassies. In some cases, additional panelists may participate, including from other Department of State bureaus or offices, U.S. government departments, agencies, or boards, representatives from partner governments, or representatives from entities that are in a public-private partnership with DRL. Once a SOI is approved, selected applicants will be invited to submit full proposal applications based on their SOIs. Unless directed otherwise by the organization, DRL may also refer SOIs for possible consideration in other U.S. government related funding opportunities.

The Panel may provide conditions and/or recommendations on SOIs to enhance the proposed program, which must be addressed by the organization in the full proposal application. To ensure effective use of limited DRL funds, conditions and recommendations may include requests to increase, decrease, clarify, and/or justify costs and program activities.

Review Criteria

Quality of Program Idea/Inclusivity of Marginalized Populations

SOIs should be responsive to the solicitation, appropriate in the country/regional context, and should exhibit originality, substance, precision, and relevance to DRL’s mission of promoting human rights and democracy. DRL prefers creative approaches that do not duplicate efforts by other entities. This does not exclude from consideration programs that improve upon or expand existing successful programs in a new and complementary way. DRL strives to ensure its programs advance the rights and uphold the dignity of the most at-risk and vulnerable populations, including women, youth, people with disabilities, members of racial and ethnic or religious minority groups, and LGBTI persons. To the extent possible and appropriate, applicants should identify and address considerations to support and/or include these populations in all proposed program activities and objectives. Strong justification should be provided if the most at-risk and vulnerable populations will not be included in the proposed activities and objectives. Otherwise, SOIs that do not address the above will not be considered highly competitive in this category.

Program Planning

A strong SOI will include a clear articulation of how the proposed program activities and expected results (both outputs and outcomes) contribute to specific program objectives and the overall program goal. Objectives should be ambitious, yet measurable, results-focused, and achievable in a reasonable time frame.

Ability to Achieve Objectives/Institutional Capacity

SOIs should address how the program will engage relevant stakeholders and should identify local partners as appropriate. If local partners are identified, applicants should describe the division of labor among the applicant and any local partners. SOIs should demonstrate the organization’s expertise and previous experience in administering programs, preferably similar programs targeting the requested program area or similarly challenging environments.

For additional guidance, please see DRL’s posted Proposal Submission Instructions (PSI) for Statements of Interest, as updated in August 2016, available at http://www.state.gov/j/drl/p/c12302.htm.

V. Additional Information

DRL anticipates ultimately awarding either a grant or cooperative agreement depending on the needs and risk factors of the program. The final determination on mechanism will be made by the Grants Officer. If a cooperative agreement is awarded, DRL expects to be substantially involved during program implementation. Examples of substantial involvement include:

1. Recipient and DRL will collectively develop a secure communication plan to include agreed upon procedures on communication methods and handling information;

2. Recipient and DRL will hold monthly, or as needed, program planning meetings to discuss issues that require DRL input or clearance and to share information related to the program, including status updates on the program work plan and timeline as well as the ongoing needs and progress of subgrantees and beneficiaries;

3. DRL can recommend to Recipient specific organization or individuals to include in award activities;

4. DRL can review and approve Recipient’s annual work plans, including planned project activities for the year, travel plans, planned expenditures, event planning, as well as changes to any activity to be carried out under the cooperative agreement; and,

5. DRL can review and approve sub-award recipients and concurrence on the substantive provisions of the sub-awards.

DRL also anticipates including special conditions in the awards provided. Examples of special conditions include:

1. Recipient must collaborate with other recipients of DRL funding, as identified by DRL, to ensure efforts are complementary and non-duplicative; and,

2. Recipient must participate in implementer meetings, trainings, or other such convening if invited and supported by DRL, or another entity acting on DRL’s behalf.

DRL will not consider SOIs that reflect any type of support for any member, affiliate, or representative of a designated terrorist organization.

Project activities whose direct beneficiaries are foreign militaries or paramilitary groups or individuals will not be considered for DRL funding given purpose limitations on funding.

Restrictions may apply to any proposed assistance to police or other law enforcement. Among these, pursuant to section 620M of the Foreign Assistance Act of 1961, as amended (FAA), no assistance provided may be furnished to any unit of the security forces of a foreign country when there is credible information that such unit has committed a gross violation of human rights. In accordance with the requirements of section 620M of the FAA, also known as the Leahy law, program beneficiaries or participants from a foreign government’s security forces may need to be vetted by the Department before the provision of any assistance.

Organizations should be aware that DRL understands that some information contained in SOIs may be considered sensitive or proprietary and will make appropriate efforts to protect such information. However, organizations are advised that DRL cannot guarantee that such information will not be disclosed, including pursuant to the Freedom of Information Act (FOIA) or other similar statutes.

Organizations should also be aware that if ultimately selected for an award, the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards set forth in 2 CFR Chapter 200 (Sub-Chapters A through F) shall apply to all non-Federal entities, except for assistance awards to Individuals and Foreign Public Entities. Please note that as of December 26, 2014, 2 CFR 200 (Sub-Chapters A through E) now applies to foreign organizations, and Sub-Chapters A through D shall apply to all for-profit entities. The applicant/recipient of the award and any sub-recipient under the award must comply with all applicable terms and conditions, in addition to the assurance and certifications made part of the Notice of Award. The Department’s Standard Terms and Conditions can be viewed on DRL’s Resources page at: http://www.state.gov/j/drl/p/c72333.htm.

The information in this solicitation and DRL’s PSI for SOIs, as updated in August 2016, is binding and may not be modified by any DRL representative. Explanatory information provided by DRL that contradicts this language will not be binding. Issuance of the solicitation and negotiation of SOIs or applications does not constitute an award commitment on the part of the U.S. government. DRL reserves the right to reduce, revise, or increase proposal budgets in accordance with the needs of the program evaluation requirements.

This solicitation will appear on www.grants.gov, www.grantsolutions.gov, and DRL’s website http://www.state.gov/j/drl/p/c12302.htm.

Background Information on DRL and general DRL funding

DRL is the foreign policy lead within the U.S. government on promoting democracy and protecting human rights globally. DRL supports programs that uphold democratic principles, support and strengthen democratic institutions, promote human rights, prevent atrocities, combat and prevent violent extremism, and build civil society around the world. DRL typically focuses its work in countries with egregious human rights violations, where democracy and human rights advocates are under pressure, and where governments are undemocratic or in transition.

Additional background information on DRL and the human rights report can be found on www.state.gov/j/drl and www.humanrights.gov.

VI. Contact Information

GrantSolutions.gov Help Desk:

For assistance with GrantSolutions.gov accounts and technical issues related to using the system, please contact Customer Support at help@grantsolutions.gov or call 1-866-577-0771 (toll charges for international callers) or 1-202-401-5282. Customer Support is available

8:00 AM – 5:00 PM ET, Monday – Friday, except federal holidays.

Grants.gov Helpdesk:

For assistance with Grants.gov accounts and technical issues related to using the system, please call the Contact Center at 1-800-518-4726 or email support@grants.gov. The Contact Center is available 24 hours a day, seven days a week, except federal holidays.

See https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/ for a list of federal holidays.

For technical questions related to this solicitation, please contact Brittny Parsells-Johnson at ParsellsBM@state.gov.

With the exception of technical submission questions, during the solicitation period U.S. Department of State staff in Washington and overseas shall not discuss this competition until the entire review process has been completed and rejection and approval letters have been transmitted.