FY23 NOFO AI Connect II FINAL.pdf

U.S. DEPARTMENT OF STATE

BUREAU OF CYBERSPACE AND DIGITAL POLICY (CDP)

Notice of Funding Opportunity (NOFO): AI Connect II

This is the announcement of funding opportunity number SFOP0009897

Federal Assistance Listing/Catalog of Federal Domestic Assistance Number: 19.665

Type of Solicitation: Open Competition

Deadline for Applications: 11:59 PM EDT on 4 August 2023

Total Funding: $1,000,000 USD

In funds appropriated under Title III of the Department of State, Foreign Operations, and Related Programs Appropriations Act (Div. K. P.L. 117-103 (FY 2022 SFOAA) under the headings “Economic Support Fund”.

FY22 Economic Support Funds (ESF)/Global/E.G. 8.2: $1,000,000.00

Anticipated Number of Awards: 1

Type of Award: Cooperative Agreement

Period of Performance: 18 months

Anticipated Time to Award: September 2023 (Pending availability of funds)

Deadline for Questions: 11:59 PM EST on 24 July 2023

Eligibility Category:

• U.S.- based non-profit/non-governmental organizations subject to sections 501 (c)(3) and 501 (c)(6) of the U.S. tax code

• Public International Organizations (PIOs)

• U.S. Private, public, or state institutions of higher education (universities and colleges)

• U.S. For-profit organizations or businesses.

Type of Applicant: Organizations only. Individuals not eligible to apply.

Number of Applications: One (1) per application per organization.

This notice is subject to availability of funding.

Section A: Project Description

A1. Executive Summary

The U.S. Department of State, Bureau of Cyberspace and Digital Policy (CDP) announces an open competition for organizations with the capacity and interest to carry out the project outlined in this announcement.

Pending the availability of funds, CDP anticipates awarding one (1) cooperative agreement of up to $1 million USD. CDP reserves the right to award more or less funding or make no award as is in the best interest of the US Government.

CDP seeks to partner with a capable organization to build the Promoting American Leadership, Democratic Values, and Economic Prosperity in Artificial Intelligence project by engaging with the AI Connect multi-stakeholder community and encouraging the responsible stewardship of AI technologies in line with the OECD AI Principles that empowers low- and middle-income countries to participate in the global, multi-stakeholder conversations more effectively on AI policy.

This global project will focus on five primary regions: Latin America and the Caribbean, Sub- Saharan Africa, Eastern Europe, South Asia, and Southeast Asia. Through webinars, in-person workshops, global conferences and multilateral events, the project will engage participants from governments, industry, academia, and civil society who are key stakeholders in the development of AI strategies, policies, legislation, and regulation that are aligned with democratic values, transparency, and innovation.

Building on existing networks of stakeholders and experts, this project will also build a community of learning networks to further engage and amplify the voices of partner nations.

Background

Recognizing the growing role of technology as a cross-cutting national security issue, the State

Department created the Bureau of Cyberspace and Digital Policy (CDP) in April 2022 to lead and coordinate U.S. diplomacy on cyber and digital policy. The bureau addresses the national security challenges and economic opportunities presented by cyberspace and digital technologies and promotes standards and norms that are fair, transparent, and support the rights-respecting use of technology. Through robust engagement in multilateral organizations, bilateral diplomacy with partners round the world, and encouragement of responsible state behavior in cyberspace, CDP empowers U.S. leadership in cyber, digital, and technology diplomacy.

CDP deploys foreign assistance to strengthen international cooperation, create new partnerships, promote economic growth and development, and assist in the defense of our foreign partners to uphold an open, interoperable, secure, and reliable Internet.

Calibrated cyber and digital policies help form the backbone of our deeply interconnected world, are vital to U.S. national and economic security, and are required to fully harness the transformative power of technology. As citizens around the world eagerly seek increased Internet connectivity to access the tremendous opportunities afforded by digital transformation, the United States is working to ensure this connectivity is secure, meaningful, governed fairly, and serves the interests of its users. Foreign assistance programs aim to advance an affirmative vision of technology as a tool that supports collective security, prosperity, and democratic values.

More information on CDP is available at https://www.state.gov/bureaus-offices/deputy-secretary-of-state/bureau-of-cyberspace-and-digital-policy/. https://www.state.gov/functional-bureau-strategies/

The Digital Connectivity and Cybersecurity Partnership (DCCP) is a global, interagency initiative led by CDP to promote an open, interoperable, secure, and reliable Internet. DCCP provides foreign assistance to partner nations to promote investments in secure, diverse, and resilient information and communication technologies (ICT) infrastructure; support the adoption of inclusive, rights-respecting, multi-stakeholder models of internet governance; grow global markets for trusted ICT goods and services; and enhance cybersecurity. CDP foreign assistance programming follows these core tenets of DCCP. More information on DCCP is available at https://www.state.gov/digital-connectivity-and-cybersecurity-partnership/.

The sophistication and use cases of artificial intelligence (AI) technologies are expanding at a rapid rate. Current AI technologies, like generative AI and natural language processing, have a wide range of applications that will touch on many aspects of our security, economy, and society. AI is also becoming an increasingly critical component of ICT networks, where AI-driven analysis of data is used to optimize performance and energy efficiency as well as to detect and respond to cybersecurity threats. This project is a follow on to the Promoting American Leadership, Democratic Values, and Economic Prosperity in Artificial Intelligence project, which helped low and middle-income countries more effectively participate in the global, multi-stakeholder process to develop and employ artificial intelligence tools in a responsible, safe, https://www.state.gov/bureaus-offices/deputy-secretary-of-state/bureau-of-cyberspace-and-digital-policy/ https://www.state.gov/bureaus-offices/deputy-secretary-of-state/bureau-of-cyberspace-and-digital-policy/ https://www.state.gov/functional-bureau-strategies/ https://www.state.gov/functional-bureau-strategies/ https://www.state.gov/digital-connectivity-and-cybersecurity-partnership/ and trustworthy manner. AI Connect 2.0, as well as being its predecessor, is aligned with U.S.

initiatives including the National Artificial Intelligence Initiative Act of 2020, Executive Order 13859 Maintaining American Leadership in AI, and Executive Order 13960 Promoting the Use of Responsible AI in Federal Government. This project is also aligned with the Department of State’s guidance to engage in various bilateral and multilateral discussions to support responsible development, deployment, use, and governance of trustworthy AI technologies, and is supportive of U.S. engagement on AI in multilateral institutions like the OECD and the Global Partnership on AI.

A2. Program Goals and Objectives

Program Goals and Objectives This project should contribute to the following CDP strategic goal and objectives outlined below, and DCCP pillars 2 and 3.

CDP Strategic Goals and Objectives Bureau Goal 1: Advance cyber and digital policies that align with U.S. national interests and foreign policy objectives.

Objective 1.1: Deepen relationships with existing U.S. allies and partners, forge new partnerships, and engage with a range of countries to advance a common vision for the Internet and digital technologies.

Objective 1.2: Leverage key multilateral fora to build relationships, advance U.S. policy priorities, and guard against positions that are counter to U.S. approaches to the Internet and digital technologies.

Objective 1.3: Identify, enhance, cultivate, and develop strategic engagements across the private sector and multistakeholder communities.

Objective 1.5: Implement public messaging and public diplomacy programs to expand key audiences’ understanding and support of U.S. cyber and digital policies.

DCCP Pillars:

Pillar 2: Advance an Open, Interoperable, Reliable, and Secure Internet by promoting inclusive, rights-respecting, multi-stakeholder models of internet governance and pro-competition, pro-innovation digital economy policies and regulations.

Pillar 3: Grow Global Markets for U.S. ICT goods and services, especially high-quality, interoperable, secure ICT equipment, software, and services.

A3. Project Objectives, Outcomes, Activities, and Indicators

Project Objective 1:

This project should be designed to achieve the following Project Objective 1:

Promote the implementation of AI strategies, policies, legislation, and regulation within ESF eligible countries that are aligned with the OECD AI Principles.

Expected Outcomes

Achievement of Project Objective 1 is expected to result in the following outcomes:

• 1.1 (short-term) Participating governments and/or companies agree to further bi-lateral dialogue with the U.S. and/or technical assistance to support the development of responsible AI strategies, policies, and laws.

• 1.2 (short-term) Participating governments identify and/or commit to tangible steps they can take to move their countries closer to adopting or implementing responsible AI strategies, policies, or laws.

• 1.3 (short-term) Non-government participants understand how to meaningfully participate in the development of AI strategies, policies, and laws.

• 1.4 (long-term) Participating governments draft, adopt, and/or implement AI policies and regulations that safeguard against the use of AI products, services, and systems toward repressive or authoritarian purposes.

• 1.5 (long-term) Governments follow a multistakeholder process to developing AI policies and regulations that incorporates timely and meaningful consultation with stakeholders from industry, academia, and civil society.

• 1.6 (long-term) Participating companies follow a risk-based approach reflective of U.S.

preferences and incorporate trustworthiness considerations into the design, development, use, and evaluation of AI products, services, and systems.

• 1.7 (long-term) Participant countries incorporate responsible AI themes aligned with the

OECD AI Principles into national or sub-national policies, strategies, or regulations.

• 1. 8 (long-term) Cross-sector engagement among stakeholders from government, industry, academia, and civil society is improved within participant countries, and across targeted regions.

Activities

To achieve the expected project outcomes, the project must include the following:

• Convene both in-person and virtual workshops and webinars on artificial intelligence topics to improve information sharing on responsible AI themes, and applications of responsible AI.

• Create a community of practice/network among beneficiaries to continue sharing best practices following the workshops and webinars.

To achieve the expected project outcomes, the project could include the following:

• Organize and execute in-person or hybrid regional conferences in target regions for multistakeholder participants to build the capacity of the stakeholder ecosystem toward responsible AI policies.

• Organize and execute in-person delegations of program participants to the United

States to engage directly with subject matter experts from U.S. government agencies, academic institutions and think tanks, and companies to share best practices on responsible AI policies.

Project Objective 2:

This project should be designed to achieve the following Project Objective 2:

Increase the participation and contribution of underrepresented stakeholders in multilateral bodies focused on AI policy.

Expected Outcomes

Project objectives are expected to result in the following outcomes:

• 2.1 Low and middle-income beneficiary countries adopt policies around emerging technologies, to include A.I., that are aligned with U.S. values and strategic priorities.

• 2.2 Stakeholders from low and middle-income countries have greater representation and engagement at multilateral bodies focused on AI policy.

• 2.3 Stakeholders from low and middle-income countries have greater representation and engagement at global AI academic, policy, and industry conferences.

• 2.4 Low and middle-income countries influence policy and standards development in multilateral fora.

Activities

To achieve the project outcomes, the project must include the following:

• Fund and coordinate the travel of program participants to multilateral, academic, and industry conferences related to the responsible use of AI, AI policy, or AI use cases aligned with the OECD AI Principles and U.S. interests.

• Development and dissemination of engagement strategies to beneficiaries to enhance expected outcomes in policy and standards development.

• Develop alumni networks from present and past beneficiaries to advance strategy implementation.

Performance Indicators

• 1.1: Instances of program participants engaging with other participants outside of the AI

Connect 2.0 activities with regard to the responsible uses of AI. This could include co-authored papers, joint ventures or investments, participation in multi-stakeholder consultations, or public-private partnership.

• 1.2: Number of participant attendees, including their: names; country; sex; affiliation

(e.g., government/private/academia).

• 1.3: Number of beneficiary network events and number of current and alumni participants.

• 2.1: Number of multilateral, academic, or industry conferences or events attended by participants from each sector (government, academic, industry, civil society) per country.

• 2.2: Number of public statements from governments or other organizations represented by participants that endorse the OECD AI Principles or other language aligned with the responsible use of trustworthy AI.

• 2.3: Number of conference attendees, including their: names; country; sex; affiliation

(e.g., government/private/academia).

• 2.4: Number of network events and number of current and alumni participants.

• 2.5: Numbers of strategies developed and implemented.

• DCCP 2.1 Number of instances of U.S. telecom/ICT policy positions presented in international or regional fora by the U.S. or DCCP partner countries.

• DCCP 2.2 - Number of telecom/ICT governance policies, laws, or regulations drafted, proposed, adopted, improved, or implemented with USG assistance.

• DCCP 2.3 - Number of non-state-owned internet governance institutions strengthened or established with USG assistance.

• DCCP 2.4 - Number of private sector, civil society, or other non-governmental organizations with improved capacity for advocacy or engagement with national legislatures on national telecom/ICT, internet, or digital economy policies.

A4. Key Considerations

All applicants will also be required to address the entirety of Section A.3 within this NOFO in their completion of the Draft Scope of Work Template attached to this NOFO (see Section D.2.1, item #5).

• Demonstrable administrative and technical capacity and experience in administering successful and similar projects with a global participant base.

• Demonstrate thoughtful project design to address the key objectives and activities for the target audiences described in the NOFO.

• Demonstrate thoughtful monitoring and evaluation and report results.

• Prove existing, collaborative, and successful partnerships with U.S. and foreign partners on issues and engagements related to emerging technologies.

• Demonstrate experience in building an active network of alumni.

• Demonstrate adherence to ethical best practices including “do no harm” and gender equity.

Section B: Federal Award Information

Organizations may submit one (1) application per organization in response to this NOFO. If more than one (1) application is submitted by an organization, only the first application received will be reviewed for eligibility and funding.

The U.S. government may make award(s) based on initial applications received, without discussions or negotiations. Therefore, each initial application should contain the applicant's best terms from a cost and technical standpoint. The U.S. government reserves the right (though it is under no obligation to do so), to enter discussions with one or more applicants in order to obtain clarifications, additional detail, or to suggest refinements in the project description, budget, or other aspects of an application.

CDP anticipates awarding a cooperative agreement. The final determination on award mechanism will be made by the Grants Officer.

The authority for this funding opportunity is found in the Foreign Assistance Act of 1961 (FAA), as amended. In funds appropriated under Title III of the Department of State, Foreign Operations, and Related Programs Appropriations Act (Div. K. P.L. 117-103 (FY 2022 SFOAA) under the headings “Economic Support Fund”. The countries for the benefit of which appropriated funds are authorized to be expended may vary from year to year.

To maximize the impact and sustainability of the award(s) that result(s) from this NOFO, CDP reserves the right to execute a non-competitive continuation amendment(s). The total duration of any award, including potential non-competitive continuation amendments, shall not exceed 54 months, or four (4) and a half years. Any non-competitive continuation is contingent on availability of funds, and satisfactory performance of the program. A non-competitive continuation is not guaranteed, and the Department of State reserves the right to exercise or not exercise this option.

The distinction between grants and cooperative agreements revolves around the existence of “substantial involvement.” Cooperative agreements require greater federal government participation in the project. If a cooperative agreement is awarded, CDP will undertake reasonable and programmatically necessary substantial involvement. Examples of substantial involvement could include but are not limited to:

• Active participation and collaboration with the recipient in the implementation of the award.

• Review and approval of one stage of work before another can begin.

• Review and final approval of webinar and conference materials and associated documents

• Collaboration on selection and/or review and approval of sub-award partnerships or sub-contracts beyond existing federal policy.

Note: All products in support of DCCP-funded projects developed by the award recipient must be appropriately branded in accordance with the DCCP Message Manual unless specific waivers are requested and approved by CDP. See Section H: Other Information for more details.

Section C: Eligibility Information

C1. Eligible Applicants

CDP welcomes applications from U.S.- based non-profit/non-governmental organizations subject to sections 501 (c)(3) and 501 (c)(6) of the U.S. tax code; Public International Organizations (PIOs); U.S. Private, public, or state institutions of higher education (universities and colleges); and U.S. For-profit organizations or businesses.

C2. Cost Sharing or Matching

Providing cost sharing, matching, or cost participation is not an eligibility factor or requirement for this NOFO and providing cost share will not result in a more favorable competitive ranking.

Per 2 CFR §200.306, items that are proposed for cost share must be allowable per 2 CFR §200, Subpart E—Costs Principles.

C3. Other

To be eligible to receive an award, all organizations must have a unique entity identifier (UEI), as well as a valid registration on SAM.gov. Please see Section D3.2 for information on how to obtain these registrations.

Applicants must be organizations, and only one application will be considered for each applicant organization. If more than one application is submitted by the same organization, only the first received will be reviewed for eligibility and funding.

Please note, any applicant listed on the Excluded Parties List System in the System for Award Management (SAM.gov) and/or has a current debt to the U.S. government is not eligible to apply for an assistance award in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR,1986 Comp., p. 189) and 12689 (3 CFR,1989 Comp.,

p. 235), “Debarment and Suspension.” Additionally, no entity or person listed on the Excluded Parties List System in SAM.gov can participate in any activities under an award. All applicants are strongly encouraged to review the Excluded Parties List System in SAM.gov to ensure that no ineligible entity or person is included in their application.

http://www.sam.gov/ https://sam.gov/ https://sam.gov/

Section D: Application and Submission Information

D1. Address to Request Application Package

Application forms, and other required materials are available at Grants.gov (http://www.grants.gov) and SAMS Domestic (https://mygrants.servicenowservices.com) under the announcement title “AI Connect II,” and funding opportunity number “SFOP0009897”. Once the NOFO deadline has passed, the Department of State may not discuss this competition with any applicant until the proposal review process has been completed. If requesting reasonable accommodations for persons with disabilities or for security reasons, please contact the CDP point of contact listed in Section G. Please note that reasonable accommodations do not include deadline extensions.

D2. Content and Form of Application Submission

For all application documents, please ensure:

• The proposal clearly addresses the goals and objectives of this funding opportunity

• All documents are in English

• All budgets are in U.S. dollars

• All pages are numbered

• All documents are formatted to 8 ½ x 11 paper.

• All Microsoft Word documents are single-spaced, 12-point Calibri font, with a minimum of 1-inch margins

• Captions and footnotes may be 10-point Calibri font

Any prospective applicant who has questions concerning the contents of this NOFO should submit them by email to the contacts listed in Section G. Any updates about this NOFO will also be posted on Grants.gov.

D2.1 Application Requirements

Complete applications must include the following:

1) Completed and signed SF-424, SF-424A, and SF-424B forms.

2) Organizations that engage in lobbying the U.S. government, including Congress, or pay for another entity to lobby on their behalf, are also required to complete the SF-LLL “Disclosure of Lobbying Activities” form (only if applicable).

3) Cover Page/Executive Summary (not to exceed three (3) pages, preferably as a Word Document). Includes the organization name, project title, target country/countries, and name and contact information for the application’s main point of contact and brief section that clearly outlines the (1) the problem statement addressed by the project (2) research-based evidence justifying the applicant’s approach, and (3) quantifiable project http://www.grants.gov/ https://mygrants.servicenowservices.com/ http://www.grants.gov./ outcomes and impacts.

4) Proposal Narrative (not to exceed ten (10) pages, preferably as a Word Document).

Please note the ten-page limit does not include the following:

• SF-forms listed above

• Cover Page/Executive Summary

• Scope of Work

• Project Design and Logic Model

• Performance Monitoring & Evaluation Narrative and Plan

• Detailed Budget

• Budget Narrative – If the Budget includes subawards, please include a separate Budget Narrative for each organization.

• Timeline

• Key Personnel Summary, CVs or Resumes (per person)

• Contingency Plan

• Additional Attachments (Audit, NICRA, etc.)

Applicants are encouraged to combine multiple documents into a single Word Document or PDF (Cover Page, Executive Summary, and Proposal Narrative in one file).

The Proposal Narrative must include the following:

• Introduction to the Organization: Description of past and present operations, showing ability to carry out the project, including information on all relevant or similar type projects from previous grants from the Bureau and/or U.S.

government agencies.

• Problem Statement: Clear, concise, and well-supported statement that summarizes the problem and how the applicant’s unique project/approach will address it and support CDP’s Strategic Goals and Objectives.

• Project Goal: The “goal” describes the larger outcomes intended.

• Project Objectives: The intermediate accomplishments and measurable targets to achieve a goal. Objectives of the project should be SMART:

▪ Specific: Detailed and specifies what will be achieved

▪ Measurable: Has associated metrics or measurements of success

▪ Attainable: Appropriately challenging, objectives can be reasonably attained given the available resources

▪ Relevant: Aligns with the policy/program goal and is appropriate for the country or beneficiary audience

▪ Time-Bound: Achievable within the timeframe of the project

• Project Activities: Specific actions taken to achieve Project Objectives. All activities should be clearly developed and sufficiently explain the resource and time requirements (inputs) and things done or produced (outputs). Activities should detail target areas participant groups or selection criteria for participants;

how relevant stakeholders will be engaged; actions taken by local partners as appropriate/relevant.

• Future Funding or Sustainability: Applicant’s plan for continuing the project beyond the grant period, or the availability of other resources, if applicable.

Include ways project activities will ensure sustainability.

• Risk Analysis: Internal and external risks associated with the proposed project, rate the likelihood of the risks, rate the potential impact of the risks on the project, and identify actions that could help mitigate the risks.

5) Scope of Work (SOW). Applicants should use the AI Connect II Draft Scope of Work

Template provided and attached to this NOFO. The SOW should provide a summary of the applicant’s unique approach to the following as indicated in Section 4) Proposal Narrative:

• Project Objectives

• Project Activities

• Project Indicators: Applicants should also identify key indicators and milestones to measure progress towards project objectives. Methods for collecting and monitoring project indicators should be described and those responsible for doing so identified.

• Sustainability

6) Project Design and Logic Model (preferably as a Word Document). Building out a logic model with an accompanying theory of change can be helpful when planning and designing a program, project or activity. These tools can be used to visually depict or outline how and why a project will work (i.e., the rationale behind your project approach). Detailing how a project’s planned activities lead to certain outcomes can often help applicants understand the assumptions within the approach. Detailing factors outside your control, such as policy shifts, within a logic model can identify areas that should be included within your project’s risk analysis. It details planned activities, the immediate services or product of project activities (outputs), and the expected changes or benefits that occur after activities have been implemented (outcomes).

Applicants should specify objectives, identify what resources (inputs) are needed, outline proposed activities (outputs) and beneficiaries, and illustrate how activities lead to desired results in the theory of change. Applicants are encouraged to use the attached Project Design and Logic Model Template but are welcome to use their own templates so long as they provide the requisite information for thorough review of the proposed project. See Attachment 2) Project Design and Logic Model template.

7) Project Performance Monitoring and Evaluation Plan (preferably as a Word Document). This document details how a project’s performance monitoring and evaluation system will be carried out and by whom. It:

• Explains how the project’s performance toward its objectives will be tracked over time.

• Identifies which performance indicators the project will report against, the indicator type, baseline values, performance targets, and data sources or collection methods.

• Provides a clear description of the approach and data collection strategies and tools to be employed (e.g., pre- and post-test surveys, interviews, focus groups).

• Identifies what, if any, external evaluations will be conducted.

A sample AI Connect II Project Performance Monitoring and Evaluation Plan Template is provided as an attachment to this NOFO. Applicants are encouraged to refer to the

Defining M&E Terms in the Project Design and Logic Model Template for concise explanations of M&E terms and definitions used by the Department of State.

8) Detailed Budget (preferably as an Excel workbook). Include three (3) columns containing the request to CDP, any cost sharing contribution, and the total budget.

A Summary Budget should also be included using the OMB-approved budget categories (see SF-424A as a sample) in a separate tab. Costs must be in U.S. dollars. Detailed line-item budgets for sub-grantees should be included as additional tabs within the Excel workbook (if available at the time of submission). Please see the attached AI Connect II Detailed Budget Template for more information.

Applicants should use the following budget assumptions when preparing the budget to accompany their application:

The budget submission should be illustrative of the personnel, fringe benefit and administrative costs specifically associated with the project. Travel and related costs should assume the design and delivery of 3 regional workshops and 5 delegations to conferences/events throughout the project period.

9) Budget Narrative (preferably as a Word Document). Justify each line-item in the budget and explain how the amounts were derived, consistency with the applicants’ documented policies, as well as the source and description of all proposed costs (and cost-share, if applicable). The narrative should complement the budget rather than repeat information provided in the budget. For example, the narrative should provide details on the purpose of costs, reasonability of costs, cost price analysis, explain allocations, explain any yearly variances, and tie expenses to project activities and/or objectives where appropriate. Sources of all cost-share offered in the application should be identified and explained in the budget narrative. See Tab 1 of AI Connect II

Detailed Budget Template and AI Connect II Budget Narrative Template for more information.

10) Timeline (not to exceed one (1) page, preferably as a Word Document or Excel Sheet).

The timeline of the overall proposal should include activities and monitoring and evaluation efforts outlined in either a monthly or quarterly format. It should also include sufficient time for project closeout to conduct and finalize internal/external evaluations and allow any sub-recipients time for final reporting.

11) Key Personnel and Subject Matter Experts (not to exceed two (2) pages, limited to 3-5 individuals, preferably as a Word Document). This can represent staff within your organization or outside of your organization (subgrantee, consultants, contractors), carrying out administrative or technical responsibilities, who are integral to the success of the project. Provides names, titles, roles, and bios that highlight relevant experience/qualifications of key personnel involved in the project. Resumes/CVs (not to exceed 3 pages per person) should be included in the application and do not count toward the page limit.

12) Contingency Plan (not to exceed three (3) pages) for proposed activities should the originally planned activities not be able to be implemented. The Contingency Plan should be submitted as an additional annex. Applicants should demonstrate consideration of the risks identified in the submitted risk assessment and include specific alternative activities or locations as part of the Contingency Plan. Any proposed “plan” must comply with 2CFR200.433 – Contingency provisions. Plans must not include un-allocable or unallowable expenses and must not result in a larger Total Award Value than the identified as the total funding. CDP/SPC requires prior approval by the Grants Officer of the “plan” before any activities can take place, or costs can be incurred against the “plan.”

13) Additional Attachments:

• Audit (Single/Independent Financial Audit). A PDF file copy of your organization’s most recent single audit is required, if your organization meets the threshold as defined in 2 CFR 200 Subpart F. If your organization has not had a recent single audit (within your organization’s previous three (3) fiscal years), you must submit your organization’s most recent independent financial audit.

• NICRA If your organization has a Negotiated Indirect Cost Rate Agreement (NICRA) and includes NICRA charges in the budget, your latest NICRA letter should be included as a PDF file. This document will not be reviewed by the Merit Review Panel but will be used by project and grant team if the submission is recommended for funding. Organizations that have previously established indirect cost rates must submit timely indirect cost proposals to their cognizant agency as required by Appendix III & IV of 2 CFR 200. If indirect cost proposals have not been submitted for re-negotiation, as required, out-of-date NICRAs may not be considered. If your proposal involves subawards to organizations charging indirect costs, please submit their NICRA, if applicable.

• Letters of support from project partners describing the roles and responsibilities of each partner, if applicable/pre-identified.

• Official permission letters, if required for project activities.

Applications that do not include the elements listed above will be deemed technically ineligible. To ensure that all applications receive a balanced evaluation, the review panel will review from the first page of each section up to the page limit and no further.

D.2.2 Additional Information Requested for Those Receiving Notification of Intent

Successful applicants must submit, after notification of intent to make a federal award, but prior to issuance of a federal award:

● Written responses and revised application documents addressing conditions and recommendations from the review panel.

● A copy of the applicant’s latest NICRA as a PDF file, if the applicant has a NICRA and includes NICRA charges in the budget.

● A completed copy of the Department’s Financial Management Survey, if receiving U.S.

government funding for the first time.

● Submission of required documents to register in the Payment Management System managed by the Department of Health and Human Services, if receiving CDP funding for the first time (unless an exemption is provided).

● Other requested information or documents included in the notification of intent to make a federal award or subsequent communications prior to issuance of a federal award.

● Applicants who submit their applications through Grants.gov will be required to create a SAMS Domestic account in order to accept the final award. Accounts must be logged into to every 60 days in order to maintain an active account.

D3. Unique Entity Identifier (UEI) and System for Award Management (SAM)

All organizations, whether based in the United States or in another country, must have a Unique Entity Identifier (UEI) and an active registration with 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 issued through SAM.gov. Once the UEI number is received continue with the remainder of the SAM.gov registration.

● Organizations based outside of the United States that do not pay employees within the United States do not need an EIN from the IRS but do need a UEI number – obtained by registering as an entity in SAM.gov.

● Please note that as of November 2022 and February 2022 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.

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

Note: SAM.gov is not the same as SAMS Domestic. It is free to register in both systems, but the registration processes are different.

Information is included on the SAM.gov website to help international registrations:

https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0016380&sys_kb_i d=194695221bfe4d983565ed3ce54bcbbb&spa=1 https://usg02.safelinks.protection.office365.us/?url=https%3A%2F%2Fwww.fsd.gov%2Fgsafsd_sp%3Fid%3Dgsafsd_kb_articles%26sys_id%3Dc81018e71b1601d0937fa64ce54bcb57&data=05%7C01%7Carichardson%40guidehousefederal.com%7C78cee3cc704f48fee1b508db0f6cc096%7C8a628aaf2f064dc5a00733a134d5e988%7C1%7C0%7C638120733344255669%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=ayerbxBQalx3edzK86ZVynOhlbhOZLdZJVNjgawR7Ps%3D&reserved=0 http://www.fsd.gov/ https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0016380&sys_kb_id=194695221bfe4d983565ed3ce54bcbbb&spa=1 https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0016380&sys_kb_id=194695221bfe4d983565ed3ce54bcbbb&spa=1

Please note, guidance on SAM.gov and the guidance on GSA’s website about requirement for registering in SAM.gov is subject to change and currently being updated. Applicants should review the website frequently for the most up-to-date guidance.

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):

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

D3.1 SAM.gov and UEI 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.gov 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.gov 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 Section G of the NOFO at least two (2) 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.

D3.2 Registering in SAMS Domestic and SAM.gov

All application submissions must be made electronically via Grants.gov or SAMS Domestic (https://mygrants.servicenowservices.com/ilms/). Both systems require registration by the applying organization. Please note that the Grants.gov registration process can take ten (10) business days or longer, even if all registration steps are completed in a timely manner.

Instructions for registering and submitting applications in each system are provided below.

SAMS Domestic:

https://usg02.safelinks.protection.office365.us/?url=https%3A%2F%2Feportal.nspa.nato.int%2FAC135Public%2Fscage%2FCageList.aspx&data=05%7C01%7Carichardson%40guidehousefederal.com%7C78cee3cc704f48fee1b508db0f6cc096%7C8a628aaf2f064dc5a00733a134d5e988%7C1%7C0%7C638120733344255669%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=RzF60kwplVm%2BMPTs3Bu8PTNOnfBZmHdcN063KiLE1y8%3D&reserved=0 https://eportal.nspa.nato.int/Codification/CageTool/home https://guidehouse.sharepoint.us/sites/EBDCCPSupport/Shared%20Documents/General/06.%20Guides%20&%20Tools%20for%20EB%20&%20Implementers/Award%20Management%20Toolkit/Grants%20&%20Co-Ags/02%20CDP%20Grants%20SOP/Tools%20and%20Templates/Phase%201%20Pre-Award/Grants.gov https://mygrants.servicenowservices.com/ilms/

Applicants using SAMS Domestic for the first time should complete their “New Organization Registration.” To register with SAMS Domestic, go to:

https://mygrants.servicenowservices.com and click “create an account”.

Please note that establishing an account in SAMS Domestic may require the use of smartphone for multi-factor authentication (MFA). If an applicant does not have accessibility to a smartphone during the time of creating an account, please contact the helpdesk and request instructions on MFA for Windows PC.

Organizations must remember to save a screen shot of the checklist showing all documents submitted in case any document fails to upload successfully.

SAMS Domestic Help Desk:

For assistance with SAMS Domestic accounts and technical issues related to the system, please contact the ILMS help desk by phone at +1 (888) 313-4567 (toll charges apply for international callers) or through the Self Service online portal that can be accessed from https://afsitsm.service-now.com/ilms/home. Customer support is available 24/7.

Grants.gov:

Applicants who do not submit applications via SAMS Domestic may submit via Grants.gov.

Please be advised that completing all the necessary registration steps for obtaining a username and password from Grants.gov can take ten (10) business days or longer.

Please refer to the Grants.gov website for definitions of various “application statuses” and the difference between a submission receipt and a submission validation. Applicants will receive a validation e-mail from Grants.gov upon the successful submission of an application. Validation of an electronic submission via Grants.gov can take up to two (2) business days. Additionally, organizations must remember to save a screenshot of the checklist showing all documents submitted in case any document fails to upload successfully.

Grants.gov Helpdesk:

For assistance with Grants.gov, please call the Contact Center at +1 (800) 518-4726 or email support@grants.gov. The Contact Center is available 24 hours a day, seven days a week, except federal holidays. A full list of federal holidays can be found here.

D4. Submission Dates and Times

Applications are due no later than 11:59 PM Eastern Standard Time (EST), on 4 August 2023 on Grants.gov (https://www.grants.gov/), or SAMS Domestic (https://mygrants.servicenowservices.com), under the announcement title “AI Connect II,” and funding opportunity number “SFOP0009897”.

Grants.gov and SAMS Domestic automatically log the date and time an application submission is made, and the Department of State will use this information to determine whether an https://mygrants.service-now.com/ https://afsitsm.service-now.com/ilms/home https://www.grants.gov/ mailto:support@grants.gov https://www.opm.gov/policy-data-oversight/pay-leave/federal-holidays/ https://www.grants.gov/ file://///WashDC.State.sbu/Stateshares/oesdrlpublic$/DRL/Private/PRU/6.%20Office%20Guidance%20&%20Templates/Solicitation%20Templates%20&%20Negotiation%20Rejection%20Letters/Invitation%20letter%20for%20Full%20Proposals/SAM https://mygrants.service-now.com/grants/portal_login.do application has been submitted on time. Late applications are neither reviewed nor considered. Known system errors caused by Grants.gov or SAMS Domestic (https://mygrants.service-now.com) that are outside of the applicant’s control will be reviewed on a case-by-case basis. Applicants should not expect a notification upon CDP receiving their application.

D5. Funding Limitations, Restrictions, and other Considerations

CDP will not consider applications that reflect any type of support for any member, affiliate, or representative of a designated terrorist organization. Please refer the link for Foreign Terrorist Organizations: https://www.state.gov/foreign-terrorist-organizations/

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

The Leahy Law prohibits Department foreign assistance funds from supporting foreign security force units if the Secretary of State has credible information that the unit has committed a gross violation of human rights. Per 22 USC §2378d(a) (2017), “No assistance shall be furnished under this chapter [FOREIGN ASSISTANCE] or the Arms Export Control Act [22 USC 2751 et seq.] to any unit of the security forces of a foreign country if the Secretary of State has credible information that such unit has committed a gross violation of human rights.” Restrictions may apply to any proposed assistance to police or other law enforcement. Among these, pursuant to section 620M of the Foreign Assistance Act of 1961, as amended (FAA), no assistance provided through this funding opportunity may be furnished to any unit of the security forces of a foreign country when there is credible information that such unit has committed a gross violation of human rights. In accordance with the requirements of section 620M of the FAA, also known as the Leahy Law, project beneficiaries or participants from a foreign government’s security forces may need to be vetted by the Department before the provision of any assistance. If a proposed grant or cooperative agreement will provide assistance to foreign security forces or personnel, compliance with the Leahy Law is required.

Organizations should be cognizant of these restrictions when developing project proposals as these restrictions will require appropriate due diligence of project beneficiaries and collaboration with CDP to ensure compliance with these restrictions. Project beneficiaries subject to due diligence vetting will include any individuals or entities that are beneficiaries of foreign assistance funding or support. Due diligence vetting will include a review of open-source materials.

D6. Other Submission Requirements

It is the responsibility of the applicant to ensure that it has an active registration in SAMS Domestic or Grants.gov. Applicants are required to document that the application has been received by SAMS Domestic or Grants.gov in its entirety. CDP bears no responsibility for disqualification that result from applicants not being registered before the due date, for system https://mygrants.service-now.com/grants/portal_login.do https://www.state.gov/foreign-terrorist-organizations/ https://www.govinfo.gov/content/pkg/USCODE-2017-title22/html/USCODE-2017-title22-chap32-subchapIII-partI-sec2378d.htm errors in either SAMS Domestic or Grants.gov, or other errors in the application process.

Additionally, applicants must save a screen shot of the checklist showing all documents submitted in case any document fails to upload successfully.

Faxed, couriered, or emailed documents will not be accepted. Reasonable accommodations may, in appropriate circumstances, be provided to applicants with disabilities or for security reasons. Applicants must follow all formatting instructions in the applicable NOFO and these instructions.

CDP encourages organizations to submit applications during normal business hours…