DFOP0016949 NDF372- ChemBio AI Models.docx

U.S. Department of State

Notice Of Funding Opportunity (NOFO)

ELIGIBILITY

The following organizations are eligible to apply:

☐Foreign Public Entities (FPEs)/Public International Organizations (PIOs) ☒Other: Domestic For-Profit Organizations; United States Government Federal Agencies and Entities

Cost-Sharing or Matching This program does not require cost sharing; however, proposals which demonstrate cost sharing are welcomed and encouraged.

Other Special Eligibility Criteria Not Applicable.

CONTACT INFORMATION

For assistance with the requirements of this solicitation, please contact ISN/NDF Project Manager Timothy Brown, BrownTJ@state.gov.

I. EXECUTIVE SUMMARY

The Department of State’s Office of the Nonproliferation and Disarmament Fund (ISN/NDF) is pleased to announce an open competition for assistance awards through this Notice of Funding Opportunity (NOFO). ISN/NDF invites non-profit/non-governmental organizations, international organizations, educational institutions, and for-profit organizations to submit proposals for projects that will advance the mission of NDF’s efforts to identify, evaluate, and develop safeguards to counter the proliferation risks associated with Artificial Intelligence (AI) enabled chemical design models. Proposals may not exceed the total availability of funds under this NOFO. ISN/NDF welcomes proposals that fully address all or a clearly articulated, targeted subset of the key objectives of this NDF line of effort (Section II). Please indicated whether the proposal involves collaboration with a partner organization that is separately responding to this solicitation.

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.

II. BACKGROUND AND PROGRAM DESCRIPTION

The Office of the Nonproliferation and Disarmament Fund (NDF), part of the Department’s Bureau of International Security and Nonproliferation (ISN), develops and executes projects in support of U.S. Government disarmament and proliferation threat reduction priorities. ISN/NDF efforts prevent the proliferation of weapons of mass destruction (WMD), missiles, and advanced or destabilizing conventional weapons to terrorists and other rogue entities; support bilateral and multilateral efforts to halt the proliferation of chemical, biological, radiological, and nuclear weapons, their delivery systems, related technologies, and other weapons; and secure, remove, or destroy WMD and its delivery systems.

Project Background: The use of AI in the fields of chemistry and biology is ever-increasing and expanding. As interdisciplinary research has grown significantly in the last decade, AI has become widely used to process large amounts of data and to overcome challenges associated with modeling complex molecular structures. Furthermore, publications have started appearing in premier academic journals demonstrating that AI models used to identify new therapeutic drugs for further testing can also be used to identify new and potentially weaponizable chemicals and biomolecules with potencies similar to organophosphate nerve agents, lethal synthetic opioids, and biotoxins. Members of the scientific research and development community generally lack awareness of the potential for AI design models, systems, infrastructure, and associated data sets to result in the proliferation of weaponizable chemical and biological materials. Therefore, it is vital that governments, private industry, research scientists, and other critical stakeholders ensure the responsible development of AI models in chemical and biological fields and promulgate international best practices on the legitimate use of such enabling technologies related to mitigating the proliferation risks posed by these advancements in technology.

Project Objectives: ISN/NDF seeks to identify potential vulnerabilities and corresponding mitigation measures that can secure the research, development, and use of AI enabled molecular models as well as associated systems, infrastructure, and data sets against exploitation by nefarious actors for WMD applications. This NOFO will support technical assessment, research and development, and foreign expert engagement that result in tangible deliverables including guidelines, codes of ethics, software tools or secure platforms for data sharing, methodological approaches, mitigation measures, and/or similar outputs toward the responsible use of AI for molecular design, synthesis, and related applications. NDF also encourages the submission of proposals that seek to bolster international chemical and biological weapons prevention, detection, and response efforts through beneficial applications of AI. Proposals may support all or a clearly defined, targeted subset of the following objectives and activities:

· Identify key foreign stakeholders involved in AI enabled molecular design and production. Examples include, but are not limited to, academic researchers in the chemical or biological sciences, pharmaceutical companies, researchers and developers of AI molecular models in academia or industry, and likeminded governments.

· Conduct technical evaluations and risk assessments of training data sets, model architectures, computing systems, and related infrastructure used to develop AI molecular models for vulnerabilities that could be exploited by nefarious actors for WMD purposes.

· Test established and develop new safeguards, mitigation measures, and best practices to secure sensitive data sets, computing systems, infrastructure, and molecular models to counter proliferation threats as the technology continues to advance.

· Pilot new methodological approaches for evaluating and mitigating the risk of potential misuse of specialized AI molecular models including approaches that can be taken at different stages of the AI model lifecycle.

· Develop tools, methodologies, and other resources that leverage beneficial applications of AI to detect and counter illicit chemical and biological material acquisition, development, diversion, proliferation, weaponization, and use activities.

· Publish forward-looking international guidelines, code(s) of ethics, software tools or platforms, and/or similar deliverable(s) toward the responsible development and use of AI models, systems, architectures, infrastructure and associated data sets for molecular design and production.

· Organize interactive table-top exercises at the international, regional, bilateral, and sector specific levels to socialize and encourage adoption of key project deliverables for the responsible development and use of AI molecular models among the broader community of stakeholders, including academia, industry, and government partners.

· As necessary, provide focused mentorship and trainer development support to empower foreign partners to serve as multipliers in amplifying the threat reduction objectives of this project.

· Set the conditions for routine evaluations and red-teaming exercises among the global community of practice to test, validate, and strengthen the efficacy of established best practices, mitigation measures, codes, guidelines, platforms, and tools for AI enabled molecular design and production to keep pace with technological advancements and emerging proliferation threats.

Efforts to research, develop, and evaluate AI molecular models are complex, and interact with both existing chemical synthesis and biotechnology industries as well as foundational AI research. As such, proposals should incorporate the perspectives of subject matter experts who broadly understand international approaches to AI research and development to ensure that key deliverables under this project build on the G7’s Hiroshima Process International Guiding Principles and International Code of Conduct for Organizations Developing Advanced AI Systems, and the Organization for Economic Cooperation and Development (OECD) AI Principles.

Countries of impact may include, but are not limited to, Canada, Denmark, France, Germany, India, Israel, Japan, the Netherlands, Singapore, South Korea, the United Arab Emirates, and the United Kingdom. Applicants are encouraged to specify individual countries of impact and rationale for their selection/ prioritization in the proposal narrative.

Proposal Considerations

All proposals must make a clear and compelling case for how the applicant will counter relevant proliferation challenges and/or leverage AI to reinforce nonproliferation priorities; how they will address partner-specific political, technical, and/or logistical realities; and how they will support the objectives of the NOFO and complement existing U.S. Government initiatives in this area. Sustainability is paramount to ISN/NDF’s and the Department’s long-term chemical, biological, and broader WMD nonproliferation objectives. ISN/NDF will view the following attributes favorably in the proposal consideration process:

· Proposals from organizations with experience conducting research or pilot efforts to test and evaluate models for the implementation of relevant safeguards, platforms for secure model testing and data handling, and practices to ensure the responsible use of AI molecular models.

· Comprehensive proposals that fully address the potential proliferation threats posed by AI and/or opportunities to leverage AI for the benefit of relevant WMD nonproliferation regimes and related international efforts;

· Efforts that lead to concrete deliverables including new tools, architectures, platforms, and approaches that can be easily adopted by the research community doing responsible R&D with AI molecular models;

· Informed prioritization of partner countries for engagement under this project, including those listed in the solicitation and others based on the applicant’s experience and expertise;

· Outcomes that go beyond basic awareness raising and address complicated threats and vulnerabilities related to AI enabled molecular models and generalized models that could further WMD proliferation activities;

· Creative solutions that go beyond what is listed in the NOFO;

· Multifaceted technical assessments, exchanges, red teaming exercises, mentorship efforts, and other forms of stakeholder engagement that make an immediate and lasting threat reduction impact within the first year of funding availability;

· Effective mechanisms for long-term sustainment post-engagement, such as the cultivation of in-country champions, adoption of national and sector-specific action plans and commitments addressing AI enablement of WMD proliferation, and follow-on activities as part of other USG programs;

· Proposals that emphasize public outreach methodologies to build indigenous capacity within priority partner countries and establish relationships across relevant sectors and among regional partners;

· Nonproliferation benefits clearly evidenced by data-driven analysis and approaches targeted to current threat and vulnerability assessments;

· Multi-phase proposals to scope or validate vulnerabilities and develop country-, region-, and/or sector-specific solutions and engagements;

· Virtual or web-based activities to sustain partner engagement and maintain momentum on accomplishing threat reduction objectives between in-person dialogue sessions, technical exchanges, interactive exercises, and other sponsored events.

· Proposals that highlight efforts to encourage the inclusion of more women and other historically under-represented groups in implementer, subject matter expert, and participant roles.

Substantial Involvement:

In response to this solicitation, ISN/NDF may award a Cooperative Agreement using the following envisioned terms of substantial involvement. ISN/NDF reserves the right to further adjust or add to these terms upon final award:

· ISN/NDF will regularly coordinate with and advise the implementer on the development of relevant methodologies, tools, mitigations, activities, and sub-tasks outlined in the Statement of Work to ensure alignment with ISN and Administration priorities.

· On a quarterly basis, ISN/NDF will conduct a written and/or verbal review and assessment of major project milestones with the implementer’s key personnel.

· Leveraging ISN, Department of State, and other U.S. Government relationships, ISN/NDF will collaborate with and advise the implementing project team on the identification of key partners and stakeholders, event planning considerations, and other relevant issues.

· ISN/NDF will collaborate with the implementer and will conduct active facilitation of dialogue with key stakeholders to develop project outputs.

· ISN/NDF will socialize country level and regional activities with relevant Department of State personnel to ensure their awareness of the project, build support for programming priorities, and secure the approval of regional desk and local U.S. Mission POCs as required.

· Upon receipt, ISN/NDF will expeditiously review and either provide substantive feedback or confirm clearance in writing or verbally of project work plans, next steps, workshop materials, and other project deliverables and will give approval as necessary to proceed to the next phase of activities.

III. ELIGIBILITY REQUIREMENTS

The following organizations are eligible to apply:

· Domestic Not-for-profit organizations

· Public and private educational institutions

· Domestic For-profit organizations

· U.S. Federal Government Agencies and Entities

Applicants are not required to include funding from other donors. However, proposals which demonstrate cost sharing are welcomed and encouraged.

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/NDF contribution will be reduced in like proportion.

All potential applicants should be knowledgeable of existing programs in the proposed countries/regions, including those funded by other Department of State and U.S. Government interagency programs, in order to avoid duplication of effort.

IV. APPLICATION AND SUBMISSION INFORMATION

Award Period: 24 months

Award Amount: ISN/NDF anticipates issuing up to three awards of varying funding levels below the $4,000,000 availability if the review panel process identifies multiple highly meritorious proposals and applicant organizations that are qualified to collaborate toward the implementation of key project elements. ISN/NDF will prioritize proposals that efficiently meet programmatic goals.

Application Submission Process:

Applicants must submit applications via MyGrants, with the exception of U.S. Federal Departments and Independent Agencies if listed as eligible for this solicitation. This website is available to all applicants. If you have difficulty registering on MyGrants or accessing the NOFO, please contact the Helpdesk at 1-888-313-ILMS (4567) or via the Self Service Portal at https://afsitsm.servicenowservices.com/ilms/home.do for technical assistance.

US Federal Government Departments and Agencies may submit their applications via email to BrownTJ@state.gov. Applications from these entities must follow the same application requirements as outlined in this solicitation.

Application Deadline: All applications must be submitted on or before November 12, 2024, 11:59 p.m. Eastern Standard Time (EST). Applications submitted after 11:59 p.m. will be ineligible for consideration.

Begin the application process early, as this will allow time to address any technical difficulties that may arise in advance of the deadline. There will be no exceptions to this application deadline.

Required Registrations:

All organizations, whether based in the United States or in another country, must have a Unique Entity Identifier (UEI) and an active registration with the SAM.gov. 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.

Note: As of April 2022, a DUNS number is no longer required for federal assistance applications.

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 an award is processed and/or directed to a sub-grantee.

Note: The process of obtaining or renewing 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) and a UEI number prior to registering in SAM.gov.

· 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 November 2022 and February 2023 respectively, organizations based outside of the United States that do not intend to apply for U.S. Department of Defense (DoD) awards are no longer required to have a NATO Commercial and Government Entity (NCAGE) code or CAGE code to apply for non-DoD foreign assistance funding opportunities. If an applicant organization is mid-registration and wishes to remove a CAGE or NCAGE code from their SAM.gov registration, the applicant should submit a help desk ticket (“incident”) with the Federal Service Desk (FSD) online at www.fsd.gov using the following language: “I do not intend to seek financial assistance from the Department of Defense. I do not wish to obtain a CAGE or NCAGE code. I understand that I will need to submit my registration after this incident is resolved in order to have my registration activated.”

Organizations based outside of the United States and that DO NOT plan to do business with the DoD should follow the below instructions:

Step 1: Proceed to SAM.gov to obtain a UEI and complete the SAM.gov registration process. SAM.gov registration must be renewed annually.

Organizations based outside of the United States and that DO plan to do business with the DoD in addition to Department of State should follow the below instructions:

Step 1: Apply for an NCAGE code by following the instructions on the NSPA NATO website linked below:

NCAGE Homepage:

https://eportal.nspa.nato.int/AC135Public/sc/CageList.aspx NCAGE Code Request Tool (NCRT):

Exemptions An exemption from the UEI and sam.gov registration requirements may be permitted on a case-by-case basis if:

· An applicant’s identity must be protected due to potential endangerment of their mission, their organization’s status, their employees, or individuals being served by the applicant.

· For an applicant, if the Federal awarding agency makes a determination that there are exigent circumstances that prohibit the applicant from receiving a unique entity identifier and completing SAM registration prior to receiving a Federal award. In these instances, Federal awarding agencies must require the recipient to obtain a unique entity identifier and complete SAM registration within 30 days of the Federal award date.

Organizations requesting exemption from UEI or SAM.gov requirements must email the point of contact listed in the NOFO at least two weeks prior to the deadline in the NOFO providing a justification of their request. Approval for a SAM.gov exemption must come from the warranted Grants Officer before the application can be deemed eligible for review.

Application Content: Applicants must follow the NOFO instructions and conditions contained herein and supply all information required. Failure to furnish all information or comply with stated requirements will result in disqualification from the competition. Applicants must set forth full, accurate, and complete information as required by this NOFO. The penalty for making false statements in proposals to the U.S. government is prescribed on 18 U.S.C.1001.

The completed submission must consist of the following five parts:

Section 1 - Application for Federal Assistance (SF-424):

This form is completed in the MyGrants portal. Completion instructions can be found on-line at: https://www.grants.gov/forms/forms-repository/sf-424-family.

Section 2 – Project Proposal(s):

Using the provided template, the applicant must provide a completed project proposal no longer than 10 pages. A recommended breakdown of pages is listed below. The proposal form must be completed in its entirety and clearly specify the proposed scope, deliverables, and timeline. Applicants must specify a point of contact for each project that is proposed.

Project Proposal

Section 3 - Budget:

Applicants must provide a detailed budget for each project. 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;

· Contractual services;

· Construction;

· Other direct costs; and

· Indirect costs.

· If the applicant organization has a Negotiated Indirect Cost Rate Agreement (NICRA) with the U.S. Federal Government, it must submit a copy of it as part of its application.

Section 4 – Budget Narrative:

Applicants must provide a full and detailed budget narrative for each project. The budget narrative should include details on how figures/numbers were calculated if not clearly shown in the detailed budget as well as a narrative description of each line item in the budget.

Applicants must adhere to the requirements of the Federal Travel Regulation (FTR), including Fly America Act requirements, when proposing and conducting travel. For further information and current foreign per diem rates, please visit: https://aoprals.state.gov/web920/per_diem.asp

Section 5 – Key Personnel Resumes:

Applicants may provide a one-pager resume for each of up to five key personnel associated with the proposed project activities. These resumes must be consolidated into a single document for submission.

V. AWARD SELECTION CRITERIA

Applicants should note that the following criteria serve as a standard against which all project proposals will be evaluated and identify significant considerations that should be addressed in all proposals. ISN/NDF will award a cooperative agreement to the applicant(s) whose offer represents the best overall value to the government from both a technical and cost perspective.

ISN/NDF will evaluate proposals against the stated criteria. Criteria are listed in descending order of importance.

· Proposed Activities: Applications should be responsive to the program framework and threat reduction objectives identified in the solicitation, appropriate in the country/regional and organizational context, and should clearly describe what they propose to do and how they will do it. The proposed project activities should directly relate to meeting the specified objectives and applicants should include specific information on how these objectives will advance ISN/NDF’s mission. ISN/NDF will evaluate the project proposal in terms of its technical approach, how well it addresses potential AI enablement of WMD proliferation, involvement of key stakeholders and organizations, relevance and feasibility of the proposed activities, the timeline for completion, and the extent to which the impact of the project will continue beyond the conclusion of the period of performance. (30% weighting)

· Technical Understanding: The applicant should include an informed analysis of the problem the proposed project seeks to address and appraise the potential results that the project seeks to achieve. Furthermore, the applicant should demonstrate knowledge of the cultural context, conditions, needs, other sensitivities, and opportunities within the target relevant AI R&D communities and priority countries that may impact successful implementation of the proposed activities. ISN/NDF will evaluate the project proposal in terms of its comprehension of the problem set, analysis of programmatic risks and mitigation measures, and identification of meaningful end states by project completion. (25% weighting)

· Organizational Capability: Applicants must demonstrate how their resources, capabilities, and experience will enable them to achieve the stated goals and objectives in an international technical context. The proposal(s) must provide biographical details/resumes for key personnel and identify all partners and organizations that will be involved in implementation of this project. Organizations should also demonstrate their commitment to provide adequate security of their information systems and adherence to cyber security best practices. Finally, proposals should demonstrate how the applicant will manage all specified objectives within the project. (20% weighting)

· Budget: Proposed costs will be evaluated for realism, fiscal control practices, and efficiency. ISN/NDF must be able to determine that proposed costs are reasonable, allowable, and allocable to the proposed project activities. ISN/NDF will evaluate the budget to determine if the overall costs are realistic for the work to be performed, if the costs reflect the applicant’s understanding of the allowable cost principles established by OMB Circulars A-122 and/or A-21, and if the costs are consistent with the project narrative. (15% weighting)

· Past Performance: In reviewing proposals, ISN/NDF will evaluate the organization’s past performance on other federal and non-federal grants and cooperative agreements. This will include a review of whether objectives for past awards were met; whether the organization complied with the terms of conditions of past awards, including reporting and financial management requirements; and the timeliness of project implementation. (10% weighting)

VI. AWARD ADMINISTRATION INFORMATION

Award Notices: The award shall be written, signed, awarded, and administered by the Grants Officer. The Grants Officer is the government official delegated the authority by the U.S. Department of State Procurement Executive to write, award, and administer grants and cooperative agreements. The assistance award agreement is the authorizing document and it will be provided to the Recipient through either mail or facsimile transmission. Organizations whose applications will not be funded will also be notified in writing.

Anticipated Time to Award: Applicants should generally expect to be notified of the recommended concepts within 90 days after the submission deadline. Following this initial notification, selected applicants will be expected to submit a full application within 30 days. ISN/NDF staff will provide information at the point of notification about the requirements for the full application, which may include revisions to the activities. The full applications will not be subject to further competition but must incorporate any suggested changes made by ISN/NDF.

Issuance of this NOFO does not constitute an award commitment on the part of the Government, nor does it commit the Government to pay for costs incurred in the preparation and submission of proposals. Further, the Government reserves the right to reject any or all proposals received.

Project Implementation Meeting: The Recipient will have a pre-project implementation meeting with ISN/NDF within 30 days after the cooperative agreement is awarded and before any work is performed for the award.

Project Work Plan: The Recipient shall submit to ISN/NDF within 30 days of award a draft project work plan (PWP), aligned with project management best practices, that includes a description of the project goal, discrete objectives, and planned activities; projected timeframes for accomplishing them; and performance indicators/metrics of success toward intended outcomes. ISN/NDF will review the plan in consultation with appropriate stakeholders and provide feedback to the Recipient detailing necessary revisions/adjustments to the plan to be made within 15 days of receipt.

Reporting Requirements: Applicants should pay special attention to the following reporting and deliverable requirements:

· Using a template approved by ISN/NDF, the Recipient shall submit quarterly progress reports to the designated Grants Officer Representative (GOR) detailing:

· Assistance activities conducted during the reporting period;

· Milestones and successes achieved to date;

· Key assistance activities remaining to be implemented with a projected timetable;

· Details of any problems encountered with proposed solutions; and

· Any other pertinent information requested by ISN/NDF.

· The Recipient shall provide the GOR with copies of all materials developed under this award.

· In addition to regular quarterly reports, the Recipient shall furnish the GOR with ad hoc reports as requested from time to time.

In addition to the above, the Recipient shall submit quarterly financial reports throughout the project period. Financial reports are due 30 days after the reporting period. Final programmatic and financial reports are due 120 days after the close of the project period.

VII. DISCLAIMER

If a proposal is selected for funding, the Department of State has no obligation to provide any additional future funding in connection with the award. Renewal of an award to increase funding or extend the period of performance is at the total discretion of the Department of State.