Advancing Existing Baltics IT Tools for Customs.pdf

NOTICE of FUNDING OPPORTUNITY

Bureau of International Security and Nonproliferation – Office of Export

Control Cooperation

U.S. Department of State

Announcement Type: Cooperative Agreement

Funding Opportunity Title: Advancing Existing Baltics IT Tools for Customs

Funding Opportunity Number: SFOP0009312

Catalog of Federal Domestic

Assistance Number: 19.901

Funding Amount: $234,074

Approximate Number of Awards: 1

Expected Period of Performance: 24 months

Key Dates: 1. Applications must be submitted by

March 04, 2023 at 5:00 pm EST

2. Submit all questions by February 01, 2023 at 5:00 pm

EST

3. Application review and selection expected in September

EXECUTIVE SUMMARY

The Department of State’s Bureau of International Security and Nonproliferation, Office of

Export Control Cooperation (ISN/ECC) is pleased to announce a new funding opportunity through this Notice of Funding Opportunity (NOFO). Under this NOFO, ISN/ECC seeks proposals to advance U.S. foreign policy and national security priorities by supporting initiatives that make decision-making structures and processes in fragile, conflict, or crisis-affected contexts more reflective of and responsive to the needs and perspectives of partner states to ensure strategic trade control systems meet international standards and by engaging on bilateral, regional and multilateral levels with foreign governments to aid in the establishment of independent capabilities to regulate transfers of weapons of mass destruction, WMD-related items, conventional arms, and related dual-use items, and to detect, interdict, investigate, and prosecute illicit transfers of such items.

ISN/ECC invites U.S. non-profit organizations, Domestic & Foreign For-Profit Organizations

(must waive fee/profit), U.S. and foreign educational institutions, international NGOs, and Public

International Organizations to submit cooperative agreement proposals. ISN/ECC has approximately $234,074 available to fund this project.

Organizations that submit an application in response to this NOFO announcement acknowledge and accept all the requirements contained herein. The submission in response to this announcement is voluntary and does not obligate the Department of State to fund the proposal or proposal preparation costs. Please note: Receipt of this NOFO requesting a full application should not be construed as a guarantee of funding. All awards are subject to the availability of funds and the negotiation and finalization of the approved budget and award package.

A Cooperative Agreement not-to-exceed the amount of $234,074 in FY 2022/2023

Nonproliferation, Antiterrorism, Demining, and Related Programs (NADR-EXBS) funding will be awarded under this NOFO. The initial period of performance will be for 12 months. Funding authority rests in the Foreign Assistance Act of 1961, as amended. All applicants should be familiar with 2 CFR Part 200 and 600.

Applicants should review all the terms and conditions and required certifications which will apply to this award before submitting an application to ensure that they will be able to comply.

These include:

• 2 CFR 25 - UNIVERSAL IDENTIFIER AND SYSTEM FOR AWARD

MANAGEMENT

• 2 CFR 170 - REPORTING SUBAWARD AND EXECUTIVE COMPENSATION

INFORMATION

• 2 CFR 175 - AWARD TERM FOR TRAFFICKING IN PERSONS

• 2 CFR 182 - GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE

WORKPLACE (FINANCIAL ASSISTANCE)

• 2 CFR 183 - NEVER CONTRACT WITH THE ENEMY

• 2 CFR 600 – DEPARTMENT OF STATE REQUIREMENTS

In accordance with the Office of Management and Budget’s guidance located at 2 CFR part 200, all applicable Federal laws, and relevant Executive guidance, the Department of State will review and consider applications for funding, as applicable to specific programs, pursuant to this notice of funding opportunity in accordance with the following:

• Guidance for Grants and Agreements in Title 2 of the Code of Federal Regulations (2

CFR), as updated in the Federal Register’s 85 FR 49506 on August 13, 2020, particularly on:

o Selecting recipients most likely to be successful in delivering results based on the program objectives through an objective process of evaluating Federal award applications (2 CFR part 200.205), https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.25&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.25&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.170&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.170&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.175&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.182&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.182&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.183&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&tpl=/ecfrbrowse/Title02/2chapterVI.tpl https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.200&rgn=div5 o Prohibiting the purchase of certain telecommunication and video surveillance services or equipment in alignment with section 889 of the National Defense

Authorization Act of 2019 (Pub. L. No. 115—232) (2 CFR part 200.216), o Promoting the freedom of speech and religious liberty in alignment with

Promoting Free Speech and Religious Liberty (E.O. 13798) and Improving Free

Inquiry, Transparency, and Accountability at Colleges and Universities (E.O.

13864) (§§ 200.300, 200.303, 200.339, and 200.341), o Providing a preference, to the extent permitted by law, to maximize use of goods, products, and materials produced in the United States (2 CFR part 200.322), and o Terminating agreements in whole or in part to the greatest extent authorized by law, if an award no longer effectuates the program goals or agency priorities (2

CFR part 200.340).

In accordance with the Executive Order on Advancing Racial Equity and Underserved

Communities, proposals should demonstrate how the program advances equity with respect to race, ethnicity, religion, income, geography, gender identity, sexual orientation, and disability.

The proposal should also demonstrate how the program will further engagement in underserved communities and with individuals from underserved communities. Proposals should demonstrate how addressing racial equity and underserved communities will enhance the program’s goals and objectives, as well as the experience of participants.

The support of underserved communities will be part of the review criteria for this opportunity.

Therefore, proposals should clearly demonstrate how the program will support and advance equity and engage underserved communities in program administration, design, and implementation.

Due to the determination made under the Trafficking Victims Protection Act (TVPA) for FY

2021, assistance that benefits the governments of the following countries may be subject to a restriction under the TVPA. The Department of State determines on a case-by-case basis what constitutes assistance to a government; the general principles listed below apply.

Assistance to the government includes:

• All branches of government (executive, legislative, judicial) at all levels (national, regional, local);

• Public schools, universities, hospitals, and state-owned enterprises, as well as government employees;

• Training, equipment, services, or other assistance provided directly to the government, assistance provided to an NGO or other implementer for the benefit of the government, and assistance to government employees.

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- Applications that do not meet the eligibility criteria and do not contain all required information will not be considered.

A. BACKGROUND & PROJECT DESCRIPTION

ISN/ECC administers the Export Control and Related Border Security (EXBS) Program. The

EXBS Program Mission is to enhance U.S. national security by preventing proliferation of

WMD and illicit trade in conventional weapons, and to strengthen partner countries’ capabilities to comply with international strategic trade control norms and enforcement best practices. EXBS trains border security personnel and law enforcement officials to detect, interdict, investigate, and prosecute illicit transfers of conventional weapons and to ensure that international ports of entry have adequate equipment to screen suspicious cargo. EXBS also assists partner countries in the establishment of independent strategic trade control authorities to regulate trade and transfers of technologies and material that could be used for WMD, related delivery systems, or advanced conventional weapons. To strengthen compliance with international strategic trade control norms and U.N. sanctions resolutions, EXBS also conducts outreach to the private sector to help industry better understand its nonproliferation obligations.

The Baltic nations of Estonia, Latvia, and Lithuania face an increased threat of Russian aggression in the aftermath of Russia's further invasion of Ukraine in February 2022. The risk of territorial incursion is compounded by the fact that a million ethnic Russians still live in the

Baltics and may provide a pretext for a Russian attack for the ostensible protection of Russian civilians, as has occurred in other former Soviet countries such as Ukraine and Georgia. Russia continues to bolster its offensive weapons capabilities at an accelerated pace as evidenced by its recent hypersonic missile tests. The success of these missile tests, coupled with known ballistic missile procurement from Iran, in turn increases the threat level for the United States and its allies. Targeted efforts to thwart Russia’s procurement of strategic trade control (STC) goods and technologies will challenge and constrain its ability to develop advanced weapons. However, this places added emphasis on neighboring Baltic nations to assist in constraining Russia's military advancements through stopping trade in critical military end-use technologies developed in these counties, and/or provided to Baltic nations by the US and EU.

One method to identify and reduce Russian trade in weapons and sensitive technology through

Baltic ports of entry is to enhance customs and revenue services’ ability to screen and analyze trade data. Enhancing trade data analytical capabilities at ports of entry compliments ongoing

EXBS efforts to prevent malign state actors acquisition of controlled and sensitive goods and technologies. To date, EXBS has worked with key stakeholders in Latvia, Lithuania, and Estonia who are charged with administering and enforcing strategic trade controls. EXBS capacity building has focused on legal and regulatory development, export license review processes and risk mitigation strategies, and enforcement diversion analysis and investigatory best practices.

A critical component of applying STCs includes leveraging trade data to identify customs fraud indicators, supply chain statistical analysis and Harmonized Tariff Schedule mapping to identify illicit procurement by Russian Government and quasi-Government entities. Additionally, Baltic countries have started to create large amounts of trade data through electronic customs transaction forms, revenue service and cargo taxation documents and border crossing stops. This has in-turn caused Baltic customs agencies to be rich data sources for analytical and targeting purposes. However, many of the Baltic agencies lack the data cleansing, real-time targeting, business intelligence and reporting capabilities needed to query and analyze the high velocity, highly trade variable data that is available.

The purpose of this award is to support partner capacity to effectively counter Russian malign influence in port of entry data security by:

• Building capacity for customs agencies to more efficiently screen and identify illicit trade through risk analysis, targeting, and reporting.

• Providing tailored tools, information, and targeted training to advance capabilities to execute more complex analysis to trace sanctions evasion efforts and violations.

• Developing analytical capabilities to analyze trade data as part of customs and revenue services’ risk management and targeting processes.

EXBS seeks to fund implementers to deliver tangible, measurable capacity development and assistance programming that helps address these weaknesses and meeting the aforementioned

EXBS goals. Proposals should reflect a clear understanding of the problem set, as well as efforts to deconflict with existing, ongoing programming and assistance in the region of application.

EXBS-sponsored efforts may include a combination of research and assessment, training, targeted industry outreach, technical consultations, the development, upgrade, and deployment of information technology and data management tools, and individual mentorship, as appropriate.

ISN/ECC may bolster proposed grantee engagements with USG experts from the Departments of

State, Commerce, Energy, Treasury, Homeland Security, and others, as appropriate. Their participation and travel will be covered separately.

All proposals must include funding to cover the necessary logistics for each deliverable proposed, including but not limited to, travel, lodging, per diem, venue, catering, interpretation, and translation.

Further details on objectives and assistance concepts are provided below.

Goals and Objectives

ISN/ECC expects that the Activities and Outcomes of this Award will work towards the following ISN Goals and EXBS Program Objectives:

ISN Goals

1. Advance U.S. Strategic Interests and Protect against Threats from the PRC and Russia o Build Partner Resilience Against Russian Malign Influence and Exploitation o Promote Global and Regional Stability to Advance U.S. Interests and Those of

U.S. Allies and Partners

2. Prevent and Respond to Proliferation of WMD, Missiles, and Destabilizing Conventional

Weapons and Technologies o Disrupt or Deter Proliferation by State or Non-State Actors that Threaten

International Security o Strengthen Other States’ Capabilities to Counter Proliferation

EXBS Objectives – Customs Enforcement

1. Improve partner inter-agency coordination and information sharing

2. Improve partner cargo targeting capacity

EXBS Strategic Threats/Matrix Issues

3. Malign Russian Influence – Impeding Russia’s malign and destabilizing activities

Deliverables/Activities

EXBS is seeking solutions to augment and fill the analytical capability gaps of customs agencies in Latvia or Estonia, in order to identify Russian strategic trade control, sanctions violations and illicit trade practice. These solutions will fill the risk analysis, targeting, reporting and business intelligence needs for Baltic customs agencies. Implementers should have an understanding of the IT landscape in the Baltic region and be able to provide solutions that can be installed and operated in-country. Solutions proposed will need to be fully transferred to Baltic customs agencies (i.e. all software should be fully transferrable). Implementers should eliminate “vendor lock” and/or the need to pay continuous software subscription fees once the initial software purchase and install is complete (i.e. after the NOFO period of performance is complete).

The proposed platform and solution should allow customs agencies to do the following:

1. Ingest data from multiple sources into a single platform, with all data centralized on the proposed solution installed in-country.

2. Index data to make it readily available for access by a business intelligence, risk analysis and reporting tool(s).

3. Perform analysis and searching across multiple data sets using the installed analytical tools.

4. Get access to up-to-date screening lists within the platform.

5. Screen for denied parties and other sanctions lists quickly and accurately.

6. Create trend analysis and reports for customs management and other decision makers.

7. Visualize data and create data science products and other customized / specialized advanced analytical products.

Installation: Implementers must install the platform in-country, integrate it with existing data sources, and conduct appropriate testing and customization.

Training: Implementers should have the ability to train both Information Technology (IT) administrators and database administrators to operate and upgrade the platform. Training should also be provided to in-country analysts, with example use cases built out based on specific in-country requirements. At least one (1) training should occur in person, with follow on virtual trainings and mentorship provided as needed for the duration of the period of performance.

Solutions provided should have a positive track record with other US Government agencies and other international customs organizations around the world.

Applicants should have a worked with Baltic customs agencies in the past and have some knowledge of the customs operations as well as the IT operations in-country in order to find best-fit solutions. Applicants should provide a justification for selecting the recipient country, including an assessment of the host governments capabilities to take appropriate mitigating measures.

Indicators

Application proposals must include well-designed indicators that can be used to monitor project progress and measure actual results to assist ISN/ECC assess the success and impact of activities and project outcomes, as well as facilitate effective monitoring and evaluation.

Substantial Involvement

ISN/ECC expects to be substantially involved during implementation of the program. Examples of substantial involvement may include, but are not limited to the following:

ISN/ECC expects to be substantially involved during the implementation of the program.

Examples of substantial involvement may include, but is not limited to the following:

1. Reviewing and approving the engagement outline, draft agenda, and a list of supplemental materials.

2. Reviewing and approving draft course content and any proposed revisions.

3. Reviewing and approving list of proposed participating.

4. Reviewing and approving the scheduling and related logistical arrangements for each engagement.

5. Reviewing and approving all final training materials prior to submission.

Risk Assessment

Proposals must include a risk assessment and a plan for monitoring and mitigating the risks identified. Risks to project implementation may include a variety of political, environmental, and other factors. A few examples include outbreak of violent conflict, elections that change government partners, cybersecurity / hacking, misuse of personally identifiable information

(PII), and diversion of financial or non-financial support to prohibited parties (terrorist financing).

The assessment should also identify risks to staff, implementers, participants, beneficiaries, or their communities. Besides political and environmental factors, risks may include online or in-person potential physical, social, psychological, economic, and/or reputational backlash to beneficiaries as a result of their participation. The proposal should include a participatory needs assessment and explain how its implementers will engage with local actors throughout its lifecycle. Strong proposals will also describe strategies to sustain the activities beyond ISN/ECC funding, or alternatively, how applicants will co-design a responsible exit strategy with local partners and in consultation with beneficiaries.

Action Plan

The Recipient shall submit to ISN/ECC within 30 days of award a draft action plan that includes a description of planned activities and projected timeframes for accomplishing them. ISN/ECC will review the plan in consultation with appropriate U.S. government and partner country officials, then provide feedback to the Recipient detailing necessary revisions/adjustments to the plan.

The Recipient shall revise the plan in accordance with ISN/ECC feedback and provide to

ISN/ECC within 15 working days of receiving that feedback.

In-Country Consultations and Training

The Recipient shall consult with the Grants Officer Representative (GOR) and, if applicable, the

Program Manager prior to engaging in any consultations with foreign experts, U.S. Government multilateral/international organizations, or EXBS partner government officials.

Logistics

The Recipient will be responsible for participant travel, venue, refreshment, catering interpretation/translation, and per diem costs associated with all in-person engagements, trainings, and consultations.

Government-Furnished Information (GFI)

ISN/ECC can provide a limited amount of GFI as part of the project if it is determined to be critical towards the success of the project but expects that the Recipient of the Award will utilize publicly available information to create project-related materials.

For additional information on ISN/ECC and the EXBS program, please visit:

https://www.state.gov/export-control-and-related-border-security-program/

B. FEDERAL AWARD INFORMATION

Available Funding and Legislative Authority

The source of this funding is Nonproliferation, Anti-terrorism, Demining, and Related Programs-

EXBS. Final award is contingent upon the availability of funds.

1. Summary of Award Information

Type of Award: Cooperative Agreement

Appropriated Fiscal Year of Funds: FY 22/23 Foreign Assistance Act

Approximate Total Funding: $234,074

Approximate Number of Awards: 1

Anticipated Award Date: September 2023

Anticipated Project Completion Date: 24 months from start

Deadline

Deadline for Applications: March 04, 2023 at 5:00 PM EST https://www.state.gov/export-control-and-related-border-security-program/

C. ELIGIBILITY INFORMATION

Applicants should be knowledgeable of existing strategic trade control programs and best practices, including programs funded by the U.S. Government in this area, and current international trends and developments, in order to capitalize on ongoing work, and not duplicate efforts.

Applications by organizations, which do not meet the eligibility by the time of the application deadline, will result the application not being reviewed.

1. Eligibility for this NOFO is limited to educational and research institutions and U.S. not-for-profit/non-governmental organizations (NGOs) subject to section 501 (c) (3) of the

U.S. tax code, foreign educational and research institutions, Domestic & Foreign For-

Profit Organizations (must waive fee/profit), and foreign not-for-profits/NGOs and international NGOs and PIOs. For a list of PIOs, visit https://www.usaid.gov/sites/default/files/documents/308maa.pdf

2. Domestic & Foreign For-Profit organizations are eligible to apply. For-profit organizations applying to this NOFO will agree to forgo their profit margins to be eligible for this competition.

3. Cost-Sharing or Matching: Providing cost sharing, matching, or cost participation is not an eligibility requirement for this NOFO. When cost sharing is offered, it is understood and agreed that the applicant must provide the amount of cost sharing as stipulated in its proposal and later included in an approved agreement. Cost sharing may be in the form of allowable direct or indirect costs. For accountability purposes, you must maintain written records to support all costs that are claimed as your contribution, as well as costs to be paid by the Federal government. Such records are subject to audit. The basis for determining the value of cash and in-kind contributions must be in accordance with the

Office of Management and Budget’s Circular 2 CFR Parts 200 and 600, entitled the

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for

Federal Awards. In the event you do not provide the minimum amount of cost sharing as stipulated in the approved budget, ISN/ECC’s contribution will be reduced in like proportion.

4. Other: Organizations should have existing, or the capacity to develop, requisite technical expertise, and partnerships with international entities and relevant stakeholders, including foreign government officials with broad expertise in strategic trade controls https://www.usaid.gov/sites/default/files/documents/308maa.pdf implementation. Organizations should endeavor to apply DEIA principles in their selection of partners and interpretation of stakeholders or target audience.

5. Organizations may form consortia and submit a combined proposal. However, one organization should be designated as the lead applicant. Organizations should submit separate proposals for each line of effort/sub-section/project identified in the NOFO.

D. APPLICATION AND SUBMISSION INFORMATION

1. Address to Request Application Package

This NOFO contains all information and links necessary for potential applicants to apply. This

NOFO and all required forms can be accessed through SAMS Domestic

Organizations can submit multiple applications to this NOFO, and each could be awarded, but each application must have a distinct application number (SAPP000XXXXX)

Applications must be submitted through SAMS Domestic

(https://mygrants.servicenowservices.com)

Both a valid Unique Entity Identifier (formerly DUNS) number and a SAM.gov registration are required prior to submitting an application. Please register with SAM.gov before you apply for this announcement; if your organization is already registered with SAM.gov, please ensure that your account is active.

Organizations should verify that they have a Unique Entity Identifier number or take the steps needed to obtain one as soon as possible. Instructions for obtaining a Unique Entity Identifier number can be found at www.sam.gov.

Applicants will receive a validation email from SAMS Domestic upon successful submission of an application. Additionally, you must save a screenshot of the checklist showing all documents submitted in case any document fails to upload successfully.

Late applications are neither reviewed nor considered unless the ISN/ECC point of contact listed in Section G of the proposal request is contacted prior to the deadline and is provided with evidence of system errors caused by SAMS Domestic that is outside of the applicants’ control and is the sole reason for late submission.

Applicants cannot submit multiple applications in a single entry on SAMS Domestic. Each application has to be submitted independently.

The applicant should not expect a notification from ISN /ECC upon receipt of their application.

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For assistance with SAMS Domestic, please call the ILMS Help Desk at 1-888-313-4567 or email ILMS@state.gov. The ILMS Help Desk is available 24 hours a day, seven days a week, except federal holidays.

For a list of federal holidays visit:

https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/

Application Deadline:

All applications must be submitted by March 04, 2023 at 5:00 p.m. EST. Applications submitted after 5:00 p.m. EST will be ineligible for consideration. We recommend that applicants begin the application process early, as this will allow time to address any technical difficulties that may arise in advance of the deadline. Faxed proposals will not be accepted at any time. Late applications will not be considered. It is the applicant’s responsibility to ensure that proposals are submitted on time.

2. Content and Form of Application Submission

Please read the entire NOFO and follow the guidelines for proposal preparation below.

Applicants must include the following in the proposal submission. All submissions must be in

English.

a. Table of Contents that lists application contents and attachments (if any).

b. Forms: Completed and signed SF-424, SF-424A and SF424B, as directed in SAMS

Domestic. The Certifications and Assurances that your organization is agreeing to in signing the 424 are available at https://www.grants.gov/forms/sf-424-family.html;

c. Mandatory Disclosures: If your organization engages in lobbying activities, a

Disclosure of Lobbying Activities (SF-LLL) form is required.

d. Proposal Narrative (not to exceed 12 pages, single-spaced, 12-point Times New Roman font in Microsoft Word, at least one-inch margins), following the structure described below. The proposal narrative should identify inputs, outputs, and outcomes of the proposal activities, timelines, and any qualitative or quantitative targets, and impact. A portion of the program should include compiling, analyzing, and disseminating program results and lessons learned. Applicants should outline a learning plan that demonstrates how the program will be monitored and how monitoring will be analyzed to adapt implementation to support effectiveness and avoid unintended consequences. Some form of independent evaluation must be included in proposals responding to this NOFO.

Please elaborate on the type (quasi-experimental, developmental, outcome harvesting, process tracing, etc.). While the type of evaluation is flexible within Department of State guidance, it must be independent.

mailto:ILMS@state.gov https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/ https://www.grants.gov/forms/sf-424-family.html

e. One page Diversity, Equity, Inclusion, and Accessibility (DEIA) Plan

DEIA Plans should address the following categories, the pursuit of which should not take precedence over a proposal’s core goals. See Appendix A for definitions of key concepts.

• Support staff DEIA: Consider a diverse pool of potential implementers and sub-implementers to afford employment opportunities to as diverse and inclusive a population as is feasible

• SME DEIA: To the extent possible, consider a diverse population of subject matter experts to deliver training, lead discussions, and present technical information. This may include engaging local and regional experts as trainers. (Note: applicants should not discuss proposals directly with local partners without the explicit approval of

ISN.)

• Audience DEIA: Consider how to engage a diverse, representative cross-section of the target-audience population while taking into account the objectives of the engagement. This might include considering local representation disparities that are not immediately apparent to those from another culture.

• Accessibility: Consider how to actively reduce or eliminate obstacles that would impede participation by people with disabilities.

Plan contents and submission

Applicants may use DEIA Plans to describe how proposals will achieve one or more of the DEIA objectives identified above. Plans need not include specific performance targets, but they should outline any concrete steps or key partners the implementer would leverage to achieve the objectives. Plans may also include information about the applicant’s past performance on DEIA-related metrics, both as an employer and as an implementer, and any country specific gender analysis to be conducted. Plans may consist of two separate elements as noted below; implementers can submit one or both elements as part of their proposal. The first element is the project-specific DEIA statement, and the second element is the standalone DEIA summary document.

The first element is project specific language to be integrated into their project proposal consistent with the objectives above. This could consist of actions to be completed as part of the project, demographic targets for participants, key partners that will assist with delivery/implementation, and outside any organization to be engaged if the project is funded. Integrated DEIA Plans should be no more 250 words per project. If the applicant chooses to integrate DEIA Plans into their proposals, they should do so in accordance with the template provided as part of the Notice for Funding Opportunity.

The other element is a standalone document (one per proposal). The standalone DEIA

Plan should identify proposal-wide actions, highlight past performance, highlight staffing information that will impact the performance of the projects, or articulate examples of previous steps taken consistent with the objectives above. Standalone document should be no longer than one page on standard letter paper with one-inch margins and 12-point

Times New Roman font.

f. Risk Assessment described in section A above.

g. Single –page Scope of Work (includes all proposed program components and links each of these to the specific goal(s) it addresses. This document is not a narrative. It must be in outline form and capture all proposed work to be funded by this project. This includes each proposed program component with a brief statement that links each component to the corresponding goal it supports. SOWs that contain quantitative estimates of expected outputs, outcomes and indicators of success for each component will be considered more competitive.

h. A detailed agenda for engagement and representative sample materials, so that evaluations can be made about course substance. This may be included as an addendum.

i. A list which identifies by name, title, and experience, the subject matter experts it intends to use to implement the projects.

j. Summary and detailed Budget in USD submitted in Excel, budget totals must be rounded up to whole dollars, (not to exceed 6 pages) that includes an explanation for each line item in the spreadsheet, as well as the source and description of all cost. The total budget should not exceed $234,074. The budget must identify the total amount of funding requested, with a breakdown of amounts to be spent in the following budget categories:

Personnel;

Fringe benefits;

Travel;

Equipment;

Supplies;

Consultants/contracts;

Other direct costs; and

Indirect costs.

• A budget template may be found here: https://www.state.gov/wp-content/uploads/2019/05/Budget-Guidance-for-Applicants-%E2%80%93-New-

Award-Budget-Sample.xlsx

• Travel costs must be further broken down to reflect transportation expenses and per diem, with per diem reflecting correct rates for destination cities. For further information and current foreign per diem rates, please visit:

https://aoprals.state.gov/web920/per_diem.asp

• Applicants must adhere to the requirements of 2 CFR 200.474 when proposing and conducting travel.

https://www.state.gov/wp-content/uploads/2019/05/Budget-Guidance-for-Applicants-%E2%80%93-New-Award-Budget-Sample.xlsx https://www.state.gov/wp-content/uploads/2019/05/Budget-Guidance-for-Applicants-%E2%80%93-New-Award-Budget-Sample.xlsx https://www.state.gov/wp-content/uploads/2019/05/Budget-Guidance-for-Applicants-%E2%80%93-New-Award-Budget-Sample.xlsx https://aoprals.state.gov/web920/per_diem.asp

• Applicants should budget for lodging site must be at a four-star (or higher) rated hotel within USG per diem rates. ISN/ECC finds Mobil and AAA hotel ratings acceptable. If a four-star hotel is not available within per diem, Implementer may propose a three-star hotel within per diem rates. If proposing a three-star hotel, implementer must provide accompanying rationale explaining why a four-star hotel is not proposed. The lodging sites should be located convenient to the training locations as well as to local restaurants, etc. (For proposal preparation purposes, Implementer should assume that delegates will arrive the day before the training exchange commences and depart the day after it concludes. The

Implementer will be responsible for lodging costs only, with delegates personally responsible for incidental charges such as mini bar, pay television, long distance phone calls, room service, etc.). ISN/ECC strongly prefers that the lodging site be co-located with the training exchange venue. All rooms and hotel facilities shall comply with the current Federal, State, and Local health, fire, and safety regulations and codes.

k. Detailed Budget Narrative (word document separate from the proposal but part of the application): Following the Detailed Budget, please include a Budget Narrative. The budget narrative should elaborate on the detailed budget, not simply repeat with words what is stated numerically in the budget. The narrative is the place to communicate any information that might not be readily apparent in the budget. For example, in the budget narrative the applicant may:

a. Explain how the expense relates to meeting program goals and objectives;

b. Explain differences in fares among travelers on the same routes (e.g., project staff member traveling for three weeks whose fare is higher than that of staff member traveling for four months);

c. Explain why the number of participants traveling to a program event is different than the number of participants in the program (e.g., fewer participants are traveling to the workshop because they reside in the same location where the workshop will be held);

d. Elaborate on staff salaries and benefits, as warranted. For example, if a program is multi-year, explain any changes in staffing patterns from one year to the next.

l. Monitoring and Evaluation Plan (word document separate from the proposal but part of the application) detailing how the project’s impact and effectiveness will be monitored and evaluated throughout the project.

m. Attachments may be included (letters of commitment from the applicant institution and sub-award partners, CVs of key personnel, project experience, sample agendas, etc.) but should not be unreasonably lengthy; see NOFO for details on required attachments, if any.

n. NICRA: If your organization has a negotiated indirect cost rate agreement

(NICRA) and includes NICRA charges in the budget, include your latest NICRA as a pdf file.

o. Audit: A PDF file copy of your organization’s most recent A-133 audit.

p. Please Number all pages, including budget and addenda.

Applicants under consideration for an award will likely be subject to a pre-award survey to determine fiscal responsibility and ensure adequacy of financial controls. This survey contains a list of criteria for determining whether the applicant’s accounting system meets the minimum standards to be eligible for U.S. government funding. These standards include appropriate accounting software and written financial management policies and accounting procedures. The pre-award survey will involve assessing the extent to which these are in place within an organization and being actively implemented.

3. Unique Entity Identifier and SAM.gov

All prime organizations, whether based in the United States or in another country, must have a

Unique Entity Identifier (UEI), formerly referred to as DUNS, and an active registration with the

SAM.gov before submitting an application. ISN/ECC may not review applications from or make awards to applicants that have not completed all applicable UEI and SAM.gov requirements. A UEI is one of the data elements mandated by Public Law 109-282, the Federal

Funding Accountability and Transparency Act (FFATA), for all Federal awards.

The 2 CFR 200 requires that sub-grantees obtain a UEI number. Please note the UEI for sub-grantees is not required at the time of application but will be required before the award is processed and/or directed to a sub-grantee.

Note: The process of obtaining a SAM.gov registration may take anywhere from 4-8 weeks.

Please begin your registration as early as possible.

• Organizations based in the United States or that pay employees within the

United States will need an Employer Identification Number (EIN) from the Internal

Revenue Service (IRS). A Commercial and Government Entity (CAGE) code and a

UEI number are issued through SAM.gov. Once received continue with the remainder of the SAM.gov registration.

• Organizations based outside of the United States and do not pay employees within the United States do not need an EIN from the IRS

• Organizations based outside of the United States and that do not pay employees within the United States do not need an EIN from the IRS, but do need a UEI number prior to registering in SAM.gov. Please note that as of December 2022, organizations based outside of the United States that do not intend to apply for

U.S. Department of State (DoS) awards are no longer required to have a NATO

CAGE (NCAGE).

All organizations applying for grants (except individuals) must obtain these registrations. All are free of charge:

• NCAGE/CAGE code (if applicable)

• www.SAM.gov UEI and registration

If you are an organization based outside the U.S. and plan to do business with the

Department of Defense:

Step 1: Apply for an NCAGE number

NCAGE Homepage:

https://eportal.nspa.nato.int/AC135Public/sc/CageList.aspx

NCAGE Code Request Tool (NCRT):

https://eportal.nspa.nato.int/Codification/CageTool/home

For NCAGE help from within the U.S., call 1-888-227-2423

For NCAGE help from outside the U.S., call 1-269-961-7766

Email NCAGE@dlis.dla.mil for any problems in getting an NCAGE code.

Step 2: After receiving the NCAGE Code, proceed to www.SAM.gov to obtain a UEI an complete registration. SAM registration must be renewed annually.

If you are an organization based outside the U.S. and DO NOT plan to do business with the

Department of Defense:

Step 3: Proceed to SAM.gov to obtain a UEI and complete the registration. SAM registration must be renewed annually.

All prime organizations must also continue to maintain active SAM.gov registration with current information at all times during which they have an active Federal award or application under consideration by a Federal award agency. SAM.gov requires all entities to renew their registration once a year in order to maintain an active registration status in SAM. It is the responsibility of the applicant to ensure it has an active registration in SAM.gov and to maintain that active registration. If an applicant has not fully complied with the requirements at the time of application, the applicant may be deemed technically ineligible to receive an award and use that determination as a basis for making an award to another applicant.

https://gcc02.safelinks.protection.outlook.com/?url=http%3A%2F%2Fwww.sam.gov%2F&data=05%7C01%7COnchongaOX%40state.gov%7C7e8ee2cb94d4499afb1608dae385857a%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C638072459847935641%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=gnXCRjnqEltJ8oeeWtUsvZBou2OJSe5bND6zmMR3KPM%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Feportal.nspa.nato.int%2FAC135Public%2Fscage%2FCageList.aspx&data=05%7C01%7COnchongaOX%40state.gov%7C7e8ee2cb94d4499afb1608dae385857a%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C638072459848091137%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=GlLK%2F1KWHwZ0Mn4k946rJU%2BNgbnthbtsAtZd%2Fy0Yl0s%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Feportal.nspa.nato.int%2FCodification%2FCageTool%2Fhome&data=05%7C01%7COnchongaOX%40state.gov%7C7e8ee2cb94d4499afb1608dae385857a%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C638072459848091137%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=pJn7Aph0QKipQn090OJLjb5%2FHifdh1mi0Rd407SYPoQ%3D&reserved=0 mailto:NCAGE@dlis.dla.mil https://gcc02.safelinks.protection.outlook.com/?url=http%3A%2F%2Fwww.sam.gov%2F&data=05%7C01%7COnchongaOX%40state.gov%7C7e8ee2cb94d4499afb1608dae385857a%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C638072459848091137%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=kvrlctihsjRuXq8dzu%2FoidXfgi%2Bvp8JN68Kv1H1CvkM%3D&reserved=0

Note: SAM.gov is not the same as SAMS Domestic. It is free to register in both systems, but the registration processes are different. Any content shown from SAM.gov is not owned by DOS and applicants need to refer to SAM.gov for the latest.

Information is included on the SAM.gov website to help international registrations. Please note, guidance on SAM.gov and the guidance on GSA’s website about requirement for registering in SAM.gov is subject to change and currently being updated. Applicants should review the website with each NOFO for the most up-to-date guidance.

• Please see attached “UEI and SAM.gov FAQs” for additional guidance.

APPLICATION PROCESS:

4. Submission Method and Dates

Completed applications must be submitted electronically through SAMS Domestic. Faxed proposals will not be accepted at any time. Please follow all NOFO instructions carefully and start early to ensure you have time to collect all the required information. All applications must be submitted by 5:00 pm EST on February 28, 2022. Applications received after the deadline will not be considered.

For assistance with SAMS Domestic, please call the ILMS Help Desk at 1-888-313-4567 or email ILMS@state.gov. The ILMS Help Desk is available 24 hours a day, seven days a week, except federal holidays.

5. Funding Restrictions

The awards will be funded from money appropriated under the “Nonproliferation, Anti-terrorism, Demining, and Related Programs-EXBS Fund” (NADR) heading in the Department of

State, Foreign Assistance Act of 1961. Chapter 9 – Non-Proliferation and Export Control

Assistance, Section 582. The limitations contained in section 573(a) of this Act apply to this chapter.

Any funds provided under this agreement must be used in a manner fully consistent with U.S.

law. No funds provided by this award shall be used to lobby for or against abortion. No funds provided by this award shall be used to pay for the performance of abortion as a method of family planning or to motivate or coerce any person to practice abortions.

The following cost elements will not be reimbursed and are not allowable in this program:

• Program Staff Training.

• Construction projects.

• Direct support or the appearance of direct support for individual or single party electoral campaigns.

http://www.grants.gov/ mailto:ILMS@state.gov

• Direct support or the appearance of direct support for any religious organization, to include repair or building of structures used for religious purposes.

• Military assistance of any kind, including weapons buy back or rewards programs.

• Purchase of firearms, ammunition, or removal of unexploded ordnances.

• Para-police (i.e., militias, neighborhood watch, security guards) and prison-related projects. This restriction includes no funding of any secondary need in a law-enforcement organization.

• Payments for any partner government, military or civilian government employee salary or pension.

• Duplication of services immediately available through municipal, provincial, or national government.

• Vehicle purchases to include motorcycles. (However, transportation costs will be considered.)

• Medical and psychological research or clinical studies.

• Medical/health services.

• Funds for market research, advertising (unless public service related to grant program) or other promotional expenses.

• Entertainment, social activities, alcohol, ceremonials, hospitality and activities relating hereto. Meal costs associated with an overall project are allowable (i.e., working meal).

• Expenses listed as miscellaneous.

Expenses made prior to the approval of a proposal or unreasonable expenditures will not be reimbursed.

E. APPLICATION REVIEW INFORMATION

Criteria: The State Department will review all proposals for technical eligibility. Proposals will be deemed ineligible if they do not fully adhere to the guidelines stated herein. The Program

Office, a State Department award review panel, will review all eligible proposals. The State

Department’s Office of the Legal Adviser and/or other Department entities also may review proposals. The final decision to recommend an applicant for funding is at the discretion of the

Director of ISN/ECC. Final signatory authority resides with the State Department’s Grants

Officers in the Office of Acquisitions Management (AQM) and if applicable in ISN/ECC. Each application will be evaluated and scored on the four-part Proposal Components using a 100-point scale by a peer review committee (the Panel) of Department of State officials and other experts, as appropriate.

Proposal Narrative: The Panel will score each of the five sections of the Proposal Narrative for a maximum total score of 100 points based on how completely the sections address the points described in the Proposal Narrative guidance below. The importance of each section is indicated by the maximum score as follows:

• Organizational Profiles

• Program Design and Linkages

• Budget

• Results or Benefits Expected

• Innovation and Sustainability

Criteria Components

1. Organizational Profile (15 points):

The organization has sufficient depth of experience, capacity, and talent…