Advancing Strategic Trade Controls in Latin America.pdf

ISN-ECC FY23 NOFO SAMS Domestic 1

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 Strategic Trade Controls in Latin

America Funding Opportunity Number: SFOP0009304

Catalog of Federal Domestic

Assistance Number: 19.901

Funding Amount: $2,172,840

Approximate Number of Awards: 1-4

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 2023

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), 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 grant proposals.

ISN/ECC has approximately $2,172,840 available to fund these lines of effort.

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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.

Cooperative Agreement(s) not-to-exceed the amount of $2,172,840 in FY 2022/2023

Nonproliferation, Antiterrorism, Demining, and Related Programs (NADR-EXBS) funding may be awarded under this NOFO. The initial period of performance will be for

24 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), 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 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 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.200&rgn=div5

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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.

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

https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.whitehouse.gov%2Fbriefing-room%2Fpresidential-actions%2F2021%2F01%2F20%2Fexecutive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government%2F&data=04%7C01%7CReisigAR%40state.gov%7C0dbdd75a0a664b32ef2508d8fb59f8f5%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C637535711126807160%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C1000&sdata=Hk82GX1SCF8LaoHg%2B2vrmdCRK6gGWYwQXU9CB6cLb5E%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.whitehouse.gov%2Fbriefing-room%2Fpresidential-actions%2F2021%2F01%2F20%2Fexecutive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government%2F&data=04%7C01%7CReisigAR%40state.gov%7C0dbdd75a0a664b32ef2508d8fb59f8f5%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C637535711126807160%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C1000&sdata=Hk82GX1SCF8LaoHg%2B2vrmdCRK6gGWYwQXU9CB6cLb5E%3D&reserved=0

ISN-ECC FY23 NOFO SAMS Domestic 4

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 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 purpose of this NOFO is to provide legal-regulatory technical assistance, advice, and outreach to EXBS partners in the Western Hemisphere (WHA) and the Caribbean, including, but not limited to, Chile, Panama, and Trinidad and Tobago to develop and implement comprehensive export controls to effectively regulate trade and transfers of military and dual-use goods and technologies, and prevent illicit cross-border trafficking of items and equipment that may be used for the proliferation of WMD and advanced conventional weapons.

Background: Latin America is home to several important transit and transshipment points as well as regional financial hubs that are vulnerable to proliferation activities and can be easily exploited by state and non-state actors. In the region, several countries, including

Chile, Brazil, and Argentina are producers and exporters of strategic items and related components. Others, such as Belize, Costa Rica, Jamaica, Dominican Republic, Trinidad and Tobago, and Panama are maritime hubs and offshore banking destinations for critical logistics and financial services. With the increased global demand for semiconductors and related sensitive technologies, countries such as Costa Rica, and Panama seek to engage in or shore up the production, shipment and storage of semiconductors, related components and other sensitive technologies that require corresponding controls.

However, many of these countries lack legal and regulatory frameworks and capabilities to implement and enforce strategic trade controls (STC) and measures that protect against the movement of nefarious people, the transfer of illicit funds, malign access to WMD materials, dual-use goods, delivery systems, sensitive technologies, expertise, and related proliferation threats. The fast-growing trade transactions and weakened regulatory and enforcement capabilities across states enable Transnational Criminal Organizations and

Violent Extremist Organizations to thrive with proceeds from illicit trade, arms dealing, money laundering, contraband and product piracy, and has emboldened malign state actors to undermine international security norms through sanctions evasion tactics, predatory investments, terrorist financing and other unlawful acts.

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As regional governments grapple with these challenges, many are rapidly engaging in foreign trade in proliferation-sensitive items without the legal, regulatory and enforcement capabilities to protect their sovereignty and national security.

EXBS seeks to assist partner nations to develop comprehensive strategic trade controls to identify and mitigate proliferation threats thereby enhancing national and regional security.

PROPOSED WORK

EXBS requires a series of legal-regulatory technical consultations, and workshops to develop and implement strategic trade control systems, including legal-regulatory frameworks, licensing institutions, list-based and catch-all controls, intangible technology transfer (ITT) controls, appropriate penalties, export enforcement capabilities, industry outreach, interagency coordination and information sharing, and compliance with international commitments and STC norms.

In countries where EXBS has ongoing programming, this grant will build on and expand previous efforts to develop legal-regulatory mechanisms and practical implementation of

STC. For new technical assistance recipients, EXBS will assess national regulatory and institutional capacity for strategic trade management and deploy assistance to build upon and advance STC capabilities, as appropriate.

Particularly, EXBS envisions targeted legal-regulatory assistance to advance STC in

Chile, Panama, Costa Rica and Trinidad and Tobago. At the same time, successful proposals will provide flexibility and demonstrate relevant legal-regulatory subject matter expertise that can be easily deployed to other priority countries including Argentina, Belize, Brazil, Dominican Republic, Ecuador, Jamaica, Paraguay, and Peru as requested by EXBS.

To accomplish EXBS objectives, the grantee is expected to provide subject matter experts (SMEs) with extensive knowledge in STC development and implementation in

EXBS partner countries and demonstrated recent experience in promoting the adoption of best practices, techniques, processes, and related measures identified by regional and multilateral export control regimes and other complementary international norms and standards.

Grantees must demonstrate proven capability to provide tailored assistance to improve legal-regulatory capacity of EXBS partners by addressing their specific needs at the national and/or regional level. This assistance will be guided by in-depth analysis to be shared with EXBS upon award. EXBS seeks to fund grantee (s) to deliver tangible, time-bound, measurable capacity development and technical assistance programming to address STC legal-regulatory vulnerabilities and advance partner compliance with international nonproliferation norms.

EXBS expects the implementer to coordinate closely with the Program Manager and

Regional Advisor prior to contacting foreign government officials; provide and update an

Engagements Calendar on a quarterly basis, with list of events and dates, including accomplished and planned activities for the duration of this grant; keep locally employed

ISN-ECC FY23 NOFO SAMS Domestic 6

EXBS program coordinators apprised of all in-country activities to facilitate coordination with host government officials and participants; and coordinate with the EXBS on the timing of each in-country event and any deviation from the information provided in the

Engagements Calendar.

For budgeting purposes, applicants should estimate no less than $1.6M for activities focused on development of comprehensive strategic trade controls in Costa Rica and

Panama.

See background and additional information on the targeted countries below.

Chile

EXBS aims to support the adoption of the strategic trade control law and implementing regulations. Chile is a producer and exporter of strategic goods and high technology but lacks trade controls and a licensing system. EXBS assisted Chile in the development of the current draft STC law awaiting approval at the National Assembly. The STC law will enable Chile to regulate trade in and transfers of dual-use goods and technologies and prevent illicit cross-border trafficking of items and equipment that may be used for proliferation of WMD or advanced conventional weapons. This law will also support

Chile’s application for membership in multilateral export control regimes such as:

Australia Group, Missile Technology Control Regime, Nuclear Suppliers Group, and the

Wassenaar Arrangement. EXBS seeks to support Chile in the passage and implementation of the law and the development of national mechanisms necessary to fully implement the export control law across relevant government and industry stakeholders.

To support this effort EXBS requires a series of legal-regulatory technical assistance engagements. The engagements may include a combination of up to four in-person or virtual subject matter expert consultations, bilateral and multilateral exchanges, review and/or development of national mechanisms to implement the STC law, and necessary foundational systems to regulate foreign trade and disrupt proliferation networks. These activities will build on previous efforts on legal-regulatory support and practical implementation matters conducted to date.

EXBS requires grantees:

1. Mentor and advise counterparts on the legal-regulatory requirements to stand up a comprehensive export control system.

2. Support practical implementation of STC and provide analysis, recommendations, and guidance on the development of a national control list, outreach to industry, licensing, and enforcement matters.

3. Ensure that partners understand the context of any measures adopted to fully adhere to international standards and best practices.

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DELIVERABLES

1. Identify proliferation risks facing Chile and provide consultations, recommendations, mentoring, and legal-regulatory technical assistance to Chilean officials and relevant stakeholders to advance adoption of export controls, including compliance with international commitments. (Year 1-2)

2. Assist Chilean stakeholders in drafting, review and/or update of implementing regulations. (Year 1)

3. Provide analysis, recommendations, and guidance to improve the effectiveness of industry outreach and enforcement capacity. (Year 1)

4. Provide logistical support for one international visitor program involving up to three Chilean officials to observe successful examples of strategic trade controls in the U.S. or another country identified by EXBS. (Year 1)

5. Develop industry outreach programs and deliver at least one iteration. (Year 1)

6. Advise on the development of an effective dual-use control licensing system and provide mentoring to develop the expertise of Chilean licensing officials. (Year 2)

Although in-person engagements are preferable, consultations and events may be conducted virtually. Virtual engagement can take various formats e.g., one-on-one meetings, group consultations, webinars, video conferences, workshops, seminars, training courses and written consultations, among others.

EXBS also requires that the grantee remain available for remote virtual consultations, as needed throughout the duration of this award.

Costa Rica

Costa Rica is a critical transit and transshipment hub and a significant ally of the U.S.

This strategic partnership continues to advance with the emergence of Costa Rica as a preferred destination for semiconductor chip production. In response to the semiconductor shortage, leading suppliers, such as Intel and Qorvo, are investing in manufacturing and expanding R&D operations in the country. In 2020, Intel, reactivated its manufacturing operations with $1billion in investments to restart the assembly and testing of microchips. These investments have increased the urgency for Costa Rica to rapidly implement export controls to protect sensitive technology, R&D, manufacturing, related expertise and export of semiconductors. While committed to improving security, constrained resources, weak border security, legal-regulatory, and enforcement capabilities limit the country's ability for significant improvements. Costa Rica grapples with instability, rising inflation, inflow of migrants, and considerable need for critical infrastructure upgrades and safeguards. Transnational criminal organizations exploit the country’s geographic location for trade and transfer of controlled items, trafficking of criminals and proceeds of crime that may be used to support proliferation threats. This re-engagement in the production of semiconductors necessitates implementation of comprehensive export controls that provide appropriate regulation of trade and transfer of sensitive technologies and counter related proliferation threats. EXBS aims to develop and support the implementation of necessary legal and regulatory frameworks and SOPs to address proliferation-related vulnerabilities including, transit and transshipment threats, licensing and catch-all- controls, and controls on sensitive technologies.

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To support this effort, EXBS requires a series of legal-regulatory technical assistance engagements. The engagements may include a combination of up to eight in-person or virtual subject matter expert consultations, participation in bilateral and multilateral exchanges on best practices, review of national and regional mechanisms to advance export control, disrupt proliferation networks and illicit activities by state and non-state actors, and improve adherence to international nonproliferation obligations. These activities may build on previous engagements on legal-regulatory support and practical implementation matters conducted to date.

EXBS requires grantees:

1. Mentor and advise counterparts on the legal-regulatory requirements to stand up a comprehensive export controls system.

2. Support practical implementation of STC and provide analysis, recommendations, and guidance on the development of a national control list, industry outreach, licensing, and enforcement matters.

1. Conduct assessment of legal-regulatory basis for strategic trade controls and propose appropriate changes to ensure comprehensive approach to STC compliance. (Year 1)

2. Conduct open-source research to identify and deliver best practices, and outreach in the protection and storage of sensitive items and technologies. (Year 1-2)

3. Deliver best practices exchange on investment screening, intangible technology transfer controls, and IP protection measures. (Year 1-2)

4. Provide analysis, recommendations and guidance on the development and implementation of national control lists, outreach to industry, proliferation finance, licensing, maritime vulnerabilities in transit or transhipment, and enforcement matters. (Year 1-2) meetings, group consultations, webinars, video conferences, workshops, seminars, training courses and written consultations, among others.

EXBS also requires that the grantee remain available for remote virtual consultations, as needed throughout the duration of this award.

ISN-ECC FY23 NOFO SAMS Domestic 9

Panama

Panama is a hub for both legitimate and illicit transit of goods and people. Panama’s strategic location also makes it an essential partner in ensuring hemispheric security specifically for countering and stemming the flow of illicit trade and disrupting transnational criminal activity. As a major global maritime transportation artery, the

Panama Canal is vital to U.S. security and economic interests. State and non-state actors exploit Panama’s vulnerabilities to advance their malign objectives through trafficking of illicit goods, funds, people and weapons.

Panama houses the largest vessel registry in the world with over 8,500 vessels currently navigating the seas under Panama’s flag. With no mechanism to address unilateral sanctions, Panama’s current legislation only supports the enforcement of multilateral sanctions from the UN. Additionally, Panama seeks to attract multinational corporations and serve as a center for production, export, transit, and transshipment of microelectronics and related sensitive technology. To assist Panama in countering foreign technology acquisition and sanctions evasion tactics and to protect domestic technological base against exploitation, EXBS will develop and support the implementation of necessary legal and regulatory frameworks required to regulate sensitive technology transfer and enforce violations of sanctions. EXBS will further support further development of comprehensive STC framework currently enforced through an Executive Decree. To support this effort, EXBS requires a series of legal-regulatory technical assistance engagements. The engagements may include a combination of up to five in-person and at least five virtual subject matter expert consultations, participation in bilateral and multilateral exchanges on best practices, and review of national and regional mechanisms to advance export controls implementation and disrupt proliferation networks and illicit activities by state and non-state actors, and improve adherence to international commitments. These activities will build on previous legal-regulatory support and practical implementation matters conducted to date.

EXBS requires grantees to:

1. Mentor and advise counterparts on the legal-regulatory requirements to stand up comprehensive export controls and an effective sanctions compliance program.

2. Support practical implementation of STC and provide analysis, recommendations and guidance on the development of a national control list, military control list, outreach to industry, including for sensitive technologies, licensing, and enforcement matters.

1. Identify vulnerabilities, provide consultations, recommendations, mentoring, and legal-regulatory technical assistance to government representatives from Panama and other relevant partners to advance compliance to export controls, and international commitments including the UNSCR1540. (Year 1-2)

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2. Provide logistical support for up to three international visitor program involving up to three GOP officials to observe successful examples of strategic trade controls in the U.S. or another country identified by EXBS. (Year 1)

3. Conduct risk assessment, outreach, and share best practices on intangible technology transfer controls, investment screening, proliferation finance and related measures for the protection and storage of sensitive items and technologies. (Year 1-2)

4. Support updates to and publication of control lists and promote sharing of licensing information and data that will improve export enforcement capabilities.

(Year 2) meetings, group consultations, webinars, video conferences, workshops, seminars, training courses and written consultations, among others.

EXBS also requires that the grantee remain available for remote virtual consultations, as needed throughout the duration of this award.

Trinidad and Tobago

Trinidad and Tobago is a principal transit and transshipment hub in the Caribbean and vulnerable to sanction evasion and proliferation finance activities by malign actors.

Trinidad and Tobago engages in questionable transactions with PRC firms, facilitates Venezuelan oil transfers to Iran and others, and has one of the largest numbers of returning foreign fighters (per-capita) in the world, factors that present security and proliferation challenges. EXBS aims to develop and support the implementation of necessary legal and regulatory frameworks to address proliferation-related vulnerabilities, transit and transshipment threats, trade data risk analysis, and sanctions violations at maritime and air points of entry in Trinidad and Tobago.

To support this effort, EXBS requires a series of legal-regulatory technical assistance engagements. The engagements may include a combination of up to three in-person or virtual subject matter expert consultations, participation in bilateral and multilateral exchanges on best practices, review of national and regional mechanisms to advance export control, disrupt proliferation networks and illicit activities by state and non-state actors, and improve adherence to international nonproliferation obligations. These activities may build on previous engagements on legal-regulatory support and practical implementation matters conducted to date.

EXBS requires grantees:

1. Mentor and advise counterparts on the legal-regulatory requirements to stand up comprehensive export controls and effective sanctions compliance program.

2. Support practical implementation of STC and provide analysis, recommendations, and guidance on the development of a national control list, industry outreach, licensing, and enforcement matters.

ISN-ECC FY23 NOFO SAMS Domestic 11

1. Review existing legal-regulatory basis for strategic trade controls and sanctions enforcement and propose appropriate regulatory changes to ensure comprehensive approach to STC compliance. (Year 1)

2. Provide analysis, recommendations and guidance on the development and implementation of national control lists, proliferation finance countermeasures, and FDI screening, outreach to industry, licensing, vulnerabilities of maritime cargo in transit or transhipment, and enforcement matters. (Year 1-2)

3. Provide logistical support for one international visitor program involving up to two officials to observe successful examples of strategic trade controls in the U.S.

or another country identified by EXBS. (Year 1) meetings, group consultations, webinars, video conferences, workshops, seminars, training courses and written consultations, among others.

EXBS also requires that the grantee remain available for remote virtual consultations, as needed throughout the duration of this award.

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

• Strengthen Global Nonproliferation Norms

• Advance U.S. Strategic Interests and Protect against Threats from the PRC and Russia o Counter the PRC’s Military-Civil Fusion Strategy

• 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 o Strengthen the Multilateral Export Control Regimes and Promote

Global Nonproliferation Action

ISN-ECC FY23 NOFO SAMS Domestic 12

EXBS Objectives – Strategic Trade Management

• Increase the number of countries that have adopted strategic trade controls legislation, including penalties

• Increase the number of countries that have implemented control lists

• Increase mechanisms for partner industry outreach

• Improve capacity for trade compliance enforcement, investigations, and prosecutions

• Strengthen partner sanctions implementation, including counter proliferation finance measures

• Improve partner regulation of transit and transshipment of dual-use goods and sensitive technology

• Improve partner inter-agency coordination and information sharing

EXBS Strategic Threats/Matrix Issues

• Terrorist Pursuit of WMD – Defeating terrorists’ pursuit of WMD capabilities

• China – Impede Chinese Civilian-Military Fusion

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.

ISN-ECC FY23 NOFO SAMS Domestic 13

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 grantee will be responsible for contracting, and paying for, all necessary arrangements (e.g., airline travel, airport transfers, ground transport, lodging, meals, incidentals, travelers' insurance), venue rental, interpretation services, translation of printed materials and any other services needed to undertake activities pursuant to this grant. Similarly, the Recipient shall facilitate interactions conducted by telephone, email, videoconferencing, and/or other electronic medium.

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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

1. 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.

2. Summary of Award Information

Type of Award: Cooperative Agreement

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

Approximate Total Funding: $2,172,840

Approximate Number of Awards: 1-4

Anticipated Award Date: September 2023

Anticipated Project Completion Date: 24 months from start

3. Deadline

Deadline for Applications: March 04, 2023 at 5:00 PM EST

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

ISN-ECC FY23 NOFO SAMS Domestic 15 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 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.

https://www.usaid.gov/sites/default/files/documents/308maa.pdf

ISN-ECC FY23 NOFO SAMS Domestic 16

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.

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/ https://gcc01.safelinks.protection.outlook.com/?url=https%3A%2F%2Fmygrants.servicenowservices.com%2F&data=02%7C01%7CSilva-CastellanosML%40state.gov%7C2ce2946b8a2e4da9906508d7cf4d3fa6%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C637205803032673193&sdata=wtRcElX%2Fs1PYDm56tAsu%2BBLrYW6m7kSYXLyDo5LuUDU%3D&reserved=0 mailto:ILMS@state.gov https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/

ISN-ECC FY23 NOFO SAMS Domestic 17

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.

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 https://www.grants.gov/forms/sf-424-family.html

ISN-ECC FY23 NOFO SAMS Domestic 18 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.

ISN-ECC FY23 NOFO SAMS Domestic 19

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 $2,172,840. 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.

• 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.