FY24 NOFO draft for Sanctions Evaluation.docx

U.S. DEPARTMENT OF STATE

INTERNATIONAL SECURITY AND NONPROLIFERATION OFFICE OF COOPERATIVE THREAT REDUCTION Notice of Funding Opportunity

Funding Opportunity Title: Evaluation of Cooperative Threat Reduction Programming for Sanctions

A. PROGRAM DESCRIPTION

The Office of Cooperative Threat Reduction (CTR), part of the Department’s Bureau of International Security and Nonproliferation (ISN), sponsors foreign assistance activities funded by the Nonproliferation, Antiterrorism, Demining and Related Programs (NADR) and other accounts, and focuses on mitigating weapons of mass destruction (WMD) and WMD-related delivery systems proliferation and security threats from non-state actors and proliferator states.

ISN/CTR builds foreign partner capacity to support the implementation of sanctions imposed against Russia and Belarus in response of the Russian Federation’s unprovoked full-scale invasion of Ukraine. The Russian Federation and its proxies are still dependent on the global financial market and Western goods to resource its war in Ukraine. To permit continued access to the global market, the Russian Federation and its proxies have developed intentionally complex networks to obfuscate its activities.

Priority Region: N/A

Program Objectives:

For the current NOFO, ISN/CTR (hereafter, CTR) is seeking to develop a sustainable process to evaluate the impact and effectiveness of CTR’s international capacity building programming in support of international economic sanctions against the Russian Federation and Belarus. The process will evaluate CTR’s projects from this line of effort within the timeframe of July 2023 to December 2024. The primary product of this NOFO will be a process which provides a mixed-method approach to identify key factors for success across relevant projects, which can be used moving forward to highlight areas for improvement in future project iterations after the completion of the period of performance for this proposal.

Please note that proposals for this NOFO from implementers currently conducting projects with CTR will not be considered for award.

Scope of Work:

The scope of work for this project should include but is not limited to the following tasks:

· Holding twice-monthly calls with CTR for ongoing project coordination and updates.

· This does not preclude other calls/meetings with CTR and other stakeholders which will be necessary to collect relevant data for development of the project framework.

· Reviewing the portfolio of sanctions projects in the July 2023 to December 2024 timeframe and how they are presently evaluated.

· This should include budget to travel with a CTR Program Officer to attend two (2) on-the-ground, international engagements in the EUR region.

· Leveraging existing expertise and implementation on similar types of evaluation frameworks for other U.S. Government entities.

· Developing a visual representation of the current CTR sanctions line of effort to aid in development of the process, such as a logic model or similar.

· Development of the process which provides CTR with a method to evaluate its sanctions projects to determine key factors for success across coordinates which are mutually agreed upon by program officers. The process will allow program officers to identify and highlight positive factors in projects moving forward to aid in ongoing improvement after the period for this proposal ends.

· Pilot-testing the process and key factors to determine ways to optimize and identify potential challenges in implementation in collaboration with program officers.

· Revising the evaluation framework based on testing and feedback from CTR and finalizing the process.

· Providing a virtual training session to stakeholders at CTR to present the process, how to implement it in practice, and how to overcome potential challenges which may arise during implementation.

· Delivering the final process documentation (how to implement the framework) to CTR to include the final version of the process as well as training materials to support ongoing implementation of the framework.

Timeline:

The development and implementation of the framework should be completed within a 12-month timeframe, starting from 1 July 2024 and finishing by 30 June 2025. Within the first two weeks after project initiation, the contractor should provide a detailed timeline to CTR outlining key milestones and deliverables.

Budget:

A detailed budget proposal should be provided with this proposal, outlining the costs associated with completing the planned scope of work, including personnel, travel, materials, and other expenses.

B. FEDERAL AWARD INFORMATION

Length of performance period: twelve months Number of awards anticipated: 1 award Award amounts: awards may range from a minimum of $1 to a maximum of $250,000 Total available funding: $250,000 Type of Funding: FY 2023 Nonproliferation, Anti-Terrorism, Demining and Related Activities Funds Anticipated program start date: July 1, 2024

This notice is subject to availability of funding.

Funding Instrument Type: Cooperative agreement.

Program Performance Period: Proposed programs should be completed in twelve months or less.

Optional: The Department of State will entertain applications for continuation grants funded under these awards beyond the initial budget period on a non-competitive basis subject to availability of funds, satisfactory progress of the program, and a determination that continued funding would be in the best interest of the U.S. Department of State.

C. ELIGILIBITY INFORMATION

1. Eligible Applicants

The following organizations are eligible to apply (both domestic and international):

· Not-for-profit organizations

· Public and private educational institutions

· For-profit organizations

· Public International Organizations

2. Cost Sharing or Matching

This program does not require cost sharing, however proposals which demonstrate cost sharing will be welcomed.

The recipient is required to maintain written records to support all allowable costs that are claimed as its contribution to cost-share, as well as costs to be paid by the Federal government. Such records are subject to audit. In the event the recipient does not meet the minimum amount of cost-sharing as stipulated in the recipient’s budget, the Bureau’s contribution may be reduced in proportion to the recipient’s contribution.

3. Other Eligibility Requirements

In order to be eligible to receive an award, all organizations must have a unique entity identifier (Data Universal Numbering System/DUNS number from Dun & Bradstreet), as well as a valid registration on www.SAM.gov. Please see Section D.3 for information on how to obtain these registrations. Individuals are not required to have a unique entity identifier or be registered in SAM.gov.

D. APPLICATION AND SUBMISSION INFORMATION

Content and Form of Application Submission:

Please follow all instructions below carefully. Proposals that do not meet the requirements of this announcement or fail to comply with the stated requirements will be ineligible.

Content of Application 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, and

The following documents are required:

· Mandatory application forms

· SF-424 (Application for Federal Assistance – organizations)

· CTR Proposal Template (2 pages maximum – not including budget): Using the provided template, the applicant must provide a completed project proposal. The proposal form must be completed in its entirety and clearly specify the proposed scope, deliverables, and timeline. Applicants must specify a point of contact for each project that is proposed.

· Budget Detail: Use the spreadsheet template included with the NOFO to describe each of the budget expenses in detail. See section H. Other Information: Guidelines for Budget Submissions below for further information.

Optional documents

· SF-424B (Only required for organizations not registered in SAM.gov)

· SF -LLL (DISCLOSURE OF LOBBYING ACTIVITIES)

· Copy of most recent approved NICRA

Required Registrations:

Any applicant listed on the Excluded Parties List System (EPLS) in the System for Award Management (SAM) 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 listed on the EPLS can participate in any activities under an award. All applicants are strongly encouraged to review the EPLS in SAM to ensure that no ineligible entity is included.

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

· NCAGE/CAGE code

· www.SAM.gov registration

Step 1: NCAGE number (these can be completed simultaneously)

NCAGE application: Application page here:

NCAGE Code Request Tool (nato.int)

For NCAGE help from within the U.S., call 1-888-227-2423 For NCAGE help from outside the U.S., call 1-269-961-7766 Email NCAGE@dlis.dla.mil for any problems in getting an NCAGE code.

Step 2: After receiving the NCAGE Code, proceed to register in SAM.gov by logging onto: https://www.sam.gov. SAM registration must be renewed annually.

1. Submission Dates and Times

Applications must be submitted on or before June 1, 2024 11:59 p.m. Eastern time. Applications submitted after 11:59 p.m. will be ineligible for consideration. Begin the application process early, as this will allow time to address any technical difficulties that may arise in advance of the deadline. There will be no exceptions to this application deadline.

2. Funding Restrictions

Of note, legal restrictions prevent ISN/CTR from providing assistance to Burma, China, Iran, North Korea, South Sudan, Sudan, and Syria.

E. APPLICATION REVIEW INFORMATION

1. Criteria

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

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

· Proposed Activity or Activities: Applications should be responsive to the program framework and policy objectives identified in the solicitation and should clearly describe what they propose to do and how they will do it. The proposed project(s) must directly relate to meeting the specified objectives. Applicants should include specific information on how the proposed projects will provide meaningful information, which can be used ISN/CTR’s program officers to practically improve the sanctions line of effort and further its mission. ISN/CTR will evaluate the project proposal in terms of how well it complete the tasks identified above, relevance and feasibility of the proposed projects, and the timeline for completion. (30)

· Organizational Capability: Applicants must demonstrate how their resources, capabilities, and experience will enable them to achieve the stated goals and objectives in an international technical context. The proposal(s) must identify all key partners and organizations that will be involved in implementation of this project. (25)

· Budget: Proposed costs will be evaluated for realism, fiscal control practices, and efficiency. ISN/CTR must be able to determine that proposed costs are reasonable, allowable, and allocable to the proposed project activities. ISN/CTR will evaluate the budget to determine if the overall costs are realistic for the work to be performed, if the costs reflect the applicant’s understanding of the allowable cost principles established by 2CFR200, and if the costs are consistent with the program narrative. (15)

· Past Performance: In reviewing proposals, ISN/CTR will evaluate the organization’s past performance on other federal and non-federal grants and cooperative agreements. This will include a review of whether objectives for past awards were met; whether the organization complied with the terms of conditions of past awards, including reporting and financial management requirements; and the timeliness of project implementation. (30)

2. Federal Awardee Performance & Integrity Information System (FAPIIS)

For any Federal award under a notice of funding opportunity, if the Federal awarding agency anticipates that the total Federal share will be greater than the simplified acquisition threshold on any Federal award under a notice of funding opportunity may include, over the period of performance (see §200.88 Simplified Acquisition Threshold), this section must also inform applicants:

i. That the Federal awarding agency, prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold, is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313);

ii. That an applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM;

iii. That the Federal awarding agency will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in §200.205 Federal awarding agency review of risk posed by applicants.

3. Anticipated Announcement and Federal Award Dates

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

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

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

F. FEDERAL AWARD ADMINISTRATION INFORMATION

1. Federal Award Notices

The grant award or cooperative agreement will be written, signed, awarded, and administered by the Grants Officer. The assistance award agreement is the authorizing document and it will be provided to the recipient for review and signature by email. The recipient may only start incurring program expenses beginning on the start date shown on the grant award document signed by the Grants Officer.

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

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

Payment Method:

ISN/CTR grants payments shall be made through Electronic funds transfer (EFT) via the Department of Health & Human Services (HHS) Payment Management System (PMS).

Approval of payment requests will be based on the Recipient’s progress towards achieving the award objectives, the amount of unexpended cash on-hand as reported in the SF-425 and SF-270, and the Recipient’s adherence to the terms and conditions of the award, particularly in terms of timely submission of required financial, program and other reports. Delinquency in submitting reports may result in payment delays.

2. Administrative and National Policy Requirements

Terms and Conditions: Before submitting an application, applicants should review all the terms and conditions and required certifications which will apply to this award, to ensure that they will be able to comply. These include:

2 CFR 200, 2 CFR 600, Certifications and Assurances, and the Department of State Standard Terms and Conditions.

3. Reporting

Reporting Requirements: As a cooperative agreement, reporting and deliverable requirements for this project exceed those of typical grants administered by ISN/CTR. Applicants should pay special attention to these enhanced reporting and deliverable requirements. Specifically:

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

· Assistance activities conducted during the reporting period;

· Milestones and successes achieved to date;

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

· Details of any problems encountered with proposed solutions; and

· Any other pertinent information requested by ISN/CTR.

· The Recipient shall provide the GO and GOR with copies of all materials developed under this cooperative agreement.

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

In addition to the above, the Recipient shall submit quarterly financial reports throughout the project period. Financial reports are due 30 days after the reporting period. Final programmatic and financial reports are due 90 days after the close of the project period

Applicants should be aware of the post award reporting requirements reflected in 2 CFR 200 Appendix XII—Award Term and Condition for Recipient Integrity and Performance Matters.

G. FEDERAL AWARDING AGENCY CONTACTS

If you have any questions about the grant application process, please contact:

For Program related Questions:

SP Team ISN-CTR-SP@state.gov

For Budget or Application Related Questions:

CTR Budget Team ISN-CTR-BUDGET@state.gov

H. OTHER INFORMATION

Guidelines for Budget Justification Personnel and Fringe Benefits: Describe the wages, salaries, and benefits of temporary or permanent staff who will be working directly for the applicant on the program, and the percentage of their time that will be spent on the program.

Travel: Estimate the costs of travel and per diem for this program, for program staff, consultants or speakers, and participants/beneficiaries. If the program involves international travel, include a brief statement of justification for that travel.

Equipment: Describe any machinery, furniture, or other personal property that is required for the program, which has a useful life of more than one year (or a life longer than the duration of the program), and costs at least $5,000 per unit.

Supplies: List and describe all the items and materials, including any computer devices, that are needed for the program. If an item costs more than $5,000 per unit, then put it in the budget under Equipment.

Contractual: Describe goods and services that the applicant plans to acquire through a contract with a vendor. Also describe any sub-awards to non-profit partners that will help carry out the program activities.

Other Direct Costs: Describe other costs directly associated with the program, which do not fit in the other categories. For example, shipping costs for materials and equipment or applicable taxes. All “Other” or “Miscellaneous” expenses must be itemized and explained.

Indirect Costs: These are costs that cannot be linked directly to the program activities, such as overhead costs needed to help keep the organization operating. If your organization has a Negotiated Indirect Cost Rate (NICRA) and includes NICRA charges in the budget, attach a copy of your latest NICRA. Organizations that have never had a NICRA may request indirect costs of 10% of the modified total direct costs as defined in 2 CFR 200.68.

“Cost Sharing” refers to contributions from the organization or other entities other than the U.S. Embassy. It also includes in-kind contributions such as volunteers’ time and donated venues.

Alcoholic Beverages: Please note that award funds cannot be used for alcoholic beverages.