EXBS Balkans Logistics and SME Support.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: EXBS Balkans Logistics and SME Support

Funding Opportunity Number: SFOP0009309

Catalog of Federal Domestic

Assistance Number: 19.901

Funding Amount: $1,235,251.00

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 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-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 $1,235,251.00 available to fund this project.

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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.

A Cooperative Agreement not-to-exceed the amount of $1,235,251.00 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

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.

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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 award is to provide coordinated logistics services, to include selection of subject matter experts (SMEs), to support EXBS programming in Albania, Bosnia and

Herzegovina, Croatia, Greece, Kosovo, Montenegro, North Macedonia, and Serbia, hereafter referred to as the Balkans. The hallmark of EXBS in the Balkans is the affordability of utilizing, in most cases, no-cost regional trainers, coupled with EXBS all-inclusive logistics support, to build and strengthen partner capacity in three key pillars -strategic trade control management, customs enforcement, and border security operations.

We implement most programs in the region via this model, which relies on implementer(s) logistics services to organize and execute engagements as delivered by these no-cost instructors or by other SMEs, where required.

EXBS programs via a mutual assistance model, which aims to build relationships between institutions in different countries across the region to support and train each other, with the goal of indigenizing sustainable regional capabilities through train-the-trainer and mentorship programs. Every year, this yields a growing cadre of local EXBS-trained instructors, who can in turn train their colleagues in various priority competencies. We also leverage longstanding relationships with European Union (EU) partners, to include Croatia and France, whose instructors often provide training and consultations to EXBS partner countries free of charge. In cases where EXBS is not able to leverage the expertise of existing partners, we look to coordinate with our implementer(s) to identify and hire SMEs, who will successfully implement our programs.

Activities span all three pillars of the EXBS program, drawing on the expertise of a broad range of experts and resulting in a high number of engagements each year (often exceeding 50 national and regional activities), which necessitates a coordinated logistical support mechanism.

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Throughout the course of the cooperative agreement and following its conclusion, the various engagements supported via this award will:

• Bolster partner capacity to address proliferation financing, as the Financial Action

Task Force has identified that Balkan partners have shown insufficient progress toward meeting international obligations in this area.

• Raise sanctions compliance and export control compliance and awareness through industry and academia outreach via support for development and implementation of export management and compliance programs to ensure compliance with the export regulations, especially among universities and institutions engaged in proprietary research.

• Strengthen partners’ sanctions implementation capacities through specialized consultations and assistance by exchanging best practices and streamlining working relationships at all levels.

• Raise awareness of cybersecurity threats to critical infrastructure as a cross-border concern currently impacting border security operations across the Balkans.

• Through partnership with other international stakeholders, bolster Balkan partner customs enforcement and border security domestic capabilities on sustainable practices by developing internal training teams.

• Extend the reach of EXBS assistance in the Balkans by including EU partner countries, including but not limited to Croatia and Greece, in joint engagements to address common areas of concern to include weapons diversion and illicit trafficking of conventional weapons/components and CBRNE materials and related items, licensing practices and commodity identification.

• Continue to foster cooperation and information exchange among partners through quarterly meetings of the EXBS-sponsored Tri Border and Southern Border

Initiatives.

• Address border security challenges in newly established common economic areas resulting from both EU-led and Balkan-led initiatives, such as the Berlin Process for the Western Balkans and the Open Balkan Initiative.

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 o Strengthen the NPT and IAEA o Promote US Civil Nuclear Cooperation

• Counter Biological Threats to U.S. National Security and International

Public Safety o Strengthen the BWC

ISN-ECC FY23 NOFO SAMS Domestic 6 o Support the Development of Foreign Partners’ Capabilities to

Prevent, Detect, Investigate, and Respond to Biological Threats o Advance Standards of Safe, Secure, and Transparent Biological

Work Worldwide

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

• 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

• Promote Diversity, Equity, Inclusion, and Accessibility in Bureau

Operations and Programs

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 Objectives – Customs Enforcement

• Improve partner enforcement response capability

• Improve partner cargo targeting capacity

• Improve partner passenger screening capacity

• Improve partner capacity to protect commercial transportation conveyances

• Develop self-sufficient training program for border security personnel

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• Improve capacity of border security personnel at ports of entry through equipment and infrastructure upgrades

EXBS Objectives – Border Security Operations

• Improve partner capacity to conduct investigations

• Improve command and control capabilities on the frontier

• Improve partner capability to work with international partners

• Improve partner capacity to conduct land and maritime operations

• Improve partner border security infrastructure

• Improve partner WMD or CBRNE detection and response capacity

EXBS Strategic Threats/Matrix Issues

• Iran – Impeding and countering Iran’s nuclear and missile programs and its external proliferation activities in support of the broader U.S. campaign to achieve a better and more comprehensive negotiated solution

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

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

• China – Impede Chinese Civilian-Military Fusion

Deliverables/Activities

ISN/ECC envisions:

1. Logistics support for EXBS events (this line of effort is not to exceed

$1,045,251.00)

Implementers of this project will provide coordinated logistical support for engagements at both the national and regional levels for Balkan partners focused on strengthening partner capacity across the three EXBS pillars as described in Section A of this document.

In particular, ISN/ECC expects the recipient to:

• Provide logistics for up to 70 events involving up to 30 participants per event, plus instructors. The necessary logistics may include, but are not limited to, the following expense categories:

o Airfare (participant and instructor) o Lodging (participant and instructor) o Per diem (participant and instructor)

ISN-ECC FY23 NOFO SAMS Domestic 8 o Interpretation o Translation of materials (slide decks, course handouts, workbooks, etc.)

o Travel insurance (participant and instructor) o Equipment rental: this may include rental of vehicles/boats for performing non-intrusive searches, audiovisual equipment, and simultaneous and/or consecutive interpretation equipment). We expect that no more than half of the activities will require rental of vehicles/boats.

• Establish a standard form which the EXBS Balkans team will submit to the recipient to request logistics services. EXBS will specify the exact type(s) of logistical support required for each individual event when submitting this form and may request to utilize specific post-approved interpreters, hotels, etc.

Events typically utilize one to three instructors. STC events to be supported under this award will generally last half a day to three days and enforcement events will typically last three to five days. On average, STC events require translation of 30,000 words.

Enforcement activities typically require translation of 22,000 words. The majority of events will be held in the Balkans.

• We estimate that around 34 activities will take place in Southern Border Initiative

(SBI) countries – Albania (~5), Kosovo (~3), Montenegro (~5), and North

Macedonia (~21 10 of which will be virtual]). Of the events scheduled to take place in SBI countries, we estimate that 25 will require written translation and 25 will require interpretation.

• We estimate that around 13 activities will take place in Tri-Border Initiative (TBI) countries – Serbia (~5), Bosnia and Herzegovina (~5), and Croatia (~3). Of the

13 events scheduled to take place in TBI countries, we estimate that seven will need written translation and seven will need interpretation. Six of the events likely will not require any translation or interpretation.

• We estimate that around 17 events will take place outside of the region. These events will be held in EU countries including, but not limited to, Romania (~1), Slovakia (~1), Lithuania (~2), United Kingdom (~1), Greece (~1), the Czech

Republic (~2), Finland (~1), France (~1), and Cyprus CYCLOPS regional training facility (~2). Around 10 of these events will require a combination of translation and interpretation. Up to five activities will take place in the United States (JFK

Airport, New York; El Paso and/or Laredo, Texas; Washington, D.C.; other US

BCPs; TBD), will require interpretation and no written translation.

ISN-ECC FY23 NOFO SAMS Domestic 9

2. Selection of SMEs for EXBS events (this line of effort is not to exceed

$190,000.00)

In particular, ISN/ECC expects the recipient to:

• In coordination with the EXBS team, establish a diverse cadre of export control/sanctions policy, licensing, and enforcement experts (both US experts and foreign experts must be included on the roster) to provide advisory, consultative, mentoring, and training support for Balkan partner countries. Implementer(s) must be able to propose qualified experts as well as onboard specific experts as directed by ECC. The EXBS Balkans team may also propose experts they have worked with on similar activities with a proven record of quality delivery or where continuity of instruction, consultation, or mentoring is required.

• Establish a contractual relationship with those experts so that they are available to provide required services, but only paid for actual labor expended in preparing for, conducting, and reporting on assigned activities. Contracting vehicles should last throughout the life of the cooperative agreement.

• Establish a standard form, which the EXBS Balkans team will submit to request experts to perform requested activities.

• Provide logistical support to SMEs for travel and lodging related to their participation in advisory, consultative, mentoring, and training activities on behalf of the EXBS program.

• Establish processes for experts to report on the effectiveness of activities they conduct or take part in pursuant to this award by providing after action reports and recommended actions in writing.

We seek experts to develop and deliver curriculum/engagements, in close coordination with EXBS headquarters personnel and forward-deployed staff, focused on the capacities outlined below at both the national and regional levels for Balkan partners. All Western

Balkan Six (WB6 – Albania, Bosnia and Herzegovina, Kosovo, Montenegro, North

Macedonia, and Serbia) partners are candidates or potential candidates for EU accession, which entails integration of the EU acquis communautaire into national law. As such, EXBS seeks to address national security deficiencies in partner nations’ STC and border enforcement capabilities to support WB6 partner alignment with EU standards as well as wider Euro-Atlantic integration to stem proliferation and illicit trade throughout all of

Europe and counter threats from state and non-state actors.

Strategic trade management (expected to comprise approximately one-quarter of activities to be supported under this cooperative agreement)

• To continue to meet EU accession criteria, countries must constantly adjust their strategic trade control systems and laws, particularly those relating to dual-use items, to align with the latest EU updates. All institutions involved must adapt

ISN-ECC FY23 NOFO SAMS Domestic 10 their procedures as necessary to properly enforce the updated laws and regulations. We seek SMEs to assist partners in the development and implementation of national nonproliferation norms related to strategic trade control regulations as determined by the EU, and where appropriate, international requirements and standards, treaty compliance, etc.; to assist in improving interoperability and readiness of national systems; and to promote full alignment with EU commitments in support of collective security.

• Experts will assist partners in strengthening and/or establishing STC legal and regulatory foundations, licensing processes (for all licensable items and catch-all provisions for those items not covered by a control list, but potentially destined for end-uses or end-users of concern, controls over deemed exports, intangible transfers of technology, and brokering), industry outreach mechanisms, enforcement capabilities, interagency coordination, and international cooperation.

Experts will share international best practices, techniques, protocols, processes, and tools in these areas; draw upon national, regional, and international case studies, as well as their own implementation experience; draw from resources provided by the multilateral export control regimes; and provide illustrative models of national STC systems that partners can emulate in strengthening and/or developing their own. Experts will expose partner governments to a diverse array of viewpoints that incorporate inputs from other governments and regional/international organizations.

Enforcement (expected to comprise approximately three-quarters of activities to be supported under this cooperative agreement)

• To continue to meet EU accession criteria, countries must align security regulations and enforcement of these laws with the latest EU standards, and all institutions involved must adapt their procedures as necessary to properly enforce the updated laws and regulations. EXBS seeks experts to assist partners in building and strengthening enforcement capacities to include cargo and passenger targeting and screening; risk profiling and management; inspection and detection of vehicles (i.e. commercial, passenger, vessels) at land, riverine, and maritime border crossing points as well as on the frontier; detection of falsified and counterfeited documents; investigating and prosecuting cross-border crimes, specifically those involving strategic goods; identifying and mitigating threats on the frontier; and employing frontier surveillance and response plans.

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.

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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.

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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(s) will be responsible for arranging all in-country logistics related to proposed activities, international travel, participants registration, vetting, and correspondence, and on-site conference support to ISN/ECC team.

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: FY22/23 Foreign Assistance Act

Approximate Total Funding: $1,235,251.00

Approximate Number of Awards: 1

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

ISN-ECC FY23 NOFO SAMS Domestic 13

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

ISN-ECC FY23 NOFO SAMS Domestic 14 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.

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 15

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 16 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 17

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 $1,235,251.00.

Please provide amount. 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. 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 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

ISN-ECC FY23 NOFO SAMS Domestic 18 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.

ISN-ECC FY23 NOFO SAMS Domestic 19

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.