FY25 CTR UNSC NOFO Final 241025.pdf

United States Department of State

INTERNATIONAL SECURITY AND NONPROLIFERATION OFFICE OF

COOPERATIVE THREAT REDUCTION

Notice of Funding Opportunity (NOFO)

Funding Opportunity Title: Countering DPRK and Iran’s WMD, UAS, and Missile

Proliferation

Funding Opportunity Number: DFOP0016995

Assistance Listing Number: 19.033

Solicitation Type: Open Competition

Type of Award: Grant; Cooperative Agreement; IAA

Application Deadline: 11:59 PM EST on 17 January 2025

Total Funding Ceiling: $12,500,000

Funding Authority: Foreign Assistance Act of 1961, as amended (FAA); Funds with additional authorities may be used.

Cost Sharing: Not Required

Anticipated Number of Awards: 15

Period of Performance: 15 months

Question Submission Deadline: 11:59 PM EST on 10 January 2025

Eligibility Applicants: U.S.-based non-profit/non-governmental organizations with or without 501(c) (3) status of the U.S. tax code; foreign-based non-profit organizations/non-government organizations (NGO); federally funded research and development centers (FFRDCs); public International Entities; Foreign Public

Organizations; U.S.-based private, public, or state institutions of higher education;

foreign-based institutions of higher education, and U.S. for-profit organizations or businesses.

Table of Contents

Section A: Funding Opportunity Description

A.1. Background

A.2. Problem Statement

A.3. Project Goal

A.4. Objectives

A.5. Expected Outcomes

A.6. Performance Indicators

A.7. Key Considerations

A.8. Substantial Involvement (if applicable)

Section B: Federal Award Information

B.1. Available Funding

B.2. Award Management

Section C. Eligibility Information

C.1 Eligible Applicants

C.2. Cost-Sharing or Matching

C.3. Other Eligibility Criteria

Section D: Application and Submission Information

D.1. Address to request Application Package

D.2. Content and Form of Application Submission .... Error! Bookmark not defined.

D.3. Unique Entity Identifier (UEI) and System for Award Management (sam.gov)30

D.3.1 Exemptions

D.4. Submission Dates and Times

D.5. Funding Limitations, Restrictions, and Other Considerations

Section E: Application Review Information

E1. Proposal Review Criteria

E.2. Review and Selection Process

E.3. Responsibility/Qualification Information in SAM.gov (formerly FAPIIS)

Section F: Federal Award Administration Information

F.1. Federal Award Notices

Section G: Federal Awarding Agency Contact

G.1. Contacts

G.2. Question Submission Deadline

Section H: Other information

H.1. Conflict of Interest

H.2. Freedom of Information Act

H.5. Monitoring Site Visits

H.6. Privacy Disclosure

H.8. Background Information on BUREAU

SECTION A: FUNDING OPPORTUNITY DESCRIPTION

A.1. Background

The Department of State’s Bureau of International Security and Nonproliferation, Office of Cooperative Threat Reduction (ISN/CTR) is pleased to announce an open competition for assistance awards through this Notice of Funding Opportunity

(NOFO). ISN/CTR sponsors foreign assistance activities funded by the

Nonproliferation, Antiterrorism, Demining and Related Programs (NADR) and other accounts to prevent proliferator states and non-state actors from developing or using Weapons of Mass Destruction (WMD), ballistic missiles, advanced conventional weapons, and advanced and emerging technologies with WMD-applicability against the United States and our allies. An underlying aim of all

ISN/CTR’s efforts is long-term sustainability to maximize programmatic impact while minimizing the need for foreign partners to rely on outside financial or technical assistance.

A.2. Problem Statement

While the United States continues to seek negotiations with the Democratic

People’s Republic of Korea (DPRK) to achieve the denuclearization of the Korean

Peninsula, it maintains the policy that international pressure and sanctions must remain in force until the DPRK fully denuclearizes. ISN/CTR supports the pressure campaign against the DPRK by training partners to implement United Nations

Security Council Resolutions (UNSCRs) constraining the DPRK’s weapons of mass destruction (WMD) proliferation, to detect and halt DPRK-linked sanctions evasion activities, and to impede the DPRK’s material and financial activities that fund the development of WMD and related delivery systems. ISN/CTR achieves this mission through capacity-building programs, open-source research, and other specialized efforts, all of which help countries detect and shut down financial and material flows to the DPRK.

Iran continues to develop and produce ballistic missiles (BMs) and uncrewed aerial systems (UAS) that directly threaten the United States, our partners and allies, and enable its destabilizing activities in the region. Since Russia began its full-scale invasion of Ukraine in 2022, Iran has supplied thousands of UAS to Russia which has used them to kill civilians and soldiers and destroy critical infrastructure.

Additionally, Iran launched two attacks on Israeli targets in April and October of

2024. Both Iran’s BM and UAS programs rely on materials and technologies produced outside of Iran. Iran’s procurements include components that are not covered by international trade controls and require both the movement of physical goods into Iran and transactions through foreign financial institutions.

In addition, Iran continues to expand its nuclear program. The IAEA estimated that

Iran’s stockpile of uranium enriched to 60% increased by 17% from February to

May of 2024, while its total enriched stockpile increased by more than 20% in weight from November 2023 to February 2024, a set of activities which the United

States judges to have no credible civilian application and carries significant proliferation risks.

Similar to with BM and UAS, Iran’s nuclear program benefits from its import of export controlled and dual use technologies, as well as other proliferation-sensitive materials and equipment.

This NOFO solicits proposals specifically aimed at countering the development of, and the advancements in, Iran’s BM and UAS programs by disrupting Iranian acquisition of proliferation sensitive technologies, materials, and expertise, and at improving international adherence to relevant U.S. and other sanctions.

This NOFO solicits proposals aimed at countering UN-prohibited advancements in

Iran’s nuclear enrichment program, including by disrupting its acquisition of restricted or unapproved technologies, materials, and knowledge it requires to advance its enrichment capability.

Importantly, this NOFO is not soliciting proposals seeking to disrupt Russian imports of UAS or components. Such proposals should be submitted to the Build

Partner Capabilities to Counter the Russian Federation’s Chemical and Biological

Threats (DFOP0016992).

A.3. Project Goal

Improve partner government and private sector capabilities to curtail DPRK WMD and ballistic missile proliferation by constraining DPRK revenue generation, procurements of certain resources and commodities, and other activities prohibited by UNSCRs, U.S., and other international sanctions.

Enhance partner government and private sector capacity to identify and disrupt

Iran’s efforts to procure components and other materials for its BM and UAS programs and comply with U.S. and other international financial sanctions targeting Iran’s BM and UAS programs.

A.4. Objectives

ISN/CTR seeks proposals that address the following DPRK and Iranian sanctions evasion activities:

1. Disrupting DPRK Virtual Asset Theft

DPRK Cyber-Enabled Theft and Laundering of Virtual Assets: The DPRK generates substantial revenue for its WMD and missile programs through widespread and increasingly sophisticated cyber operations against vulnerable institutions worldwide. DPRK cyber actors conduct cyber-enabled thefts targeting cryptocurrency exchanges, decentralized financial applications, and other virtual asset entities (VAEs) such as blockchain-based games and casinos, as well as their software service providers, operating in dozens of countries across all State Department regions. DPRK actors then launder stolen virtual assets on blockchains, obfuscating the origin of funds until they are transferred off-chain into fiat currency by facilitators. ISN/CTR seeks proposals that engage VAEs, private financial institutions (FIs), software service providers, and other industries vulnerable to DPRK cyber operations as well as relevant public sector stakeholders to reduce the risk of DPRK cyber-enabled thefts, including but not limited to:

• Training technical and non-technical staff at VAEs, FIs, and other likely targets of DPRK cyber activity to prevent DPRK cyber-revenue generation by identifying common social engineering techniques such as phishing attacks and adopting enhanced cybersecurity measures, including basic cyber hygiene practices;

• Training government officials to promote the implementation of effective cybersecurity practices at VAEs and FIs to counter DPRK-linked efforts, including public-private information sharing on cyber threat intelligence and designing effective cyber incident response plans;

• Supporting law enforcement officials to investigate malware and other malicious cyber activity for links to DPRK activity and how to best report attribution;

• Educating and encouraging VAEs to utilize blockchain transaction monitoring software to detect and block DPRK-linked funds before a transaction is executed;

• Imparting to relevant law enforcement officials the knowledge and tools necessary to successfully trace, freeze, and seize stolen virtual assets in their jurisdictions, and utilize these capabilities in cooperation with international law enforcement efforts to disrupt DPRK-linked virtual asset laundering;

• Supporting international adoption of novel efforts to address DPRK virtual asset enabled revenue generation.

For fiscal year 2025 (FY25), ISN/CTR’s priority countries for this line of effort lie in the following geographic regions, as defined by the U.S. Department of State: East Asia and Pacific (EAP), South and Central Asia (SCA), Sub-Saharan Africa (AF), and selected countries in the Western Hemisphere (WHA), Middle East/North Africa (NEA) and Europe and Eurasia (EUR).

2. Proliferation-Sensitive Transfers

Transfer of Ballistic Missile, Nuclear, and UAS-Related Technology and Materials:

Iran seeks to import proliferation-sensitive, dual-use technologies (including those found on the Common High Priority Items List), certain high-quality raw materials, and machine tools and testing equipment with the goal of indigenizing its ballistic missile production, advancing its uranium enrichment program, and continuing to produce UAS. Iranian-produced UAS have been exported to Russia for its war on Ukraine since at least 2022 and continue to be used by Russia to attack civilian targets, including energy infrastructure, in Ukraine. Iran has escalated its nuclear program by increasing its stockpile of uranium enriched at near weapons-grade levels. Further, Iran has used its ballistic missiles in major attacks on U.S. forces in Iraq, as well as on Israel in April and October of 2024. Iran continues to supply missiles and UAS to its regional proxies, including Lebanese Hizballah, the Houthis, and militias in Iraq, who continue to attack U.S. interests in the region. Iran relies on trusted procurement agents and networks to obfuscate its procurement activities.

ISN/CTR is seeking proposals that undertake the following activities:

• Engage relevant technology manufacturers, distributors, and developers on public-private sector cooperation, information sharing, Know-Your- Customer (KYC) best practices, suspicious transaction reporting, and characteristics of sanctions evasion techniques that Iran is using to procure components, materials, and equipment to advance its UAS, nuclear fuel, and ballistic missile production capabilities; and

• Assist partner country governments in raising awareness of U.S. and international sanctions concerning Iranian procurements of ballistic missile, nuclear, and UAS technologies and components.

• Assist partner county government in understanding and effectively implementing their obligations under the Joint Comprehensive Plan of Action (JCPOA) nuclear procurement channel, to ensure entities in their jurisdiction are not supplying prohibited items, technology, and knowledge to Iran’s nuclear enrichment program.

For FY25, ISN/CTR’s priority countries for this line of effort lie in the following geographic regions, as defined by the U.S. Department of State: Europe and Eurasia (EUR), Middle East/North Africa (NEA), and select countries in East Asia and Pacific (EAP), and South and Central Asia (SCA).

3. Counter-Proliferation Finance

The DPRK and Iran use networks of shell companies and foreign representatives to launder money through foreign banks and, in the case of DPRK, cryptocurrency exchanges, to fund their sanctioned weapons programs: ISN/CTR seeks proposals that will enhance the abilities of partner governments to identify and disrupt DPRK or Iranian proliferation finance activities, including but not limited to:

• Training supervisors and other relevant government officials to ensure that effective counterproliferation finance controls to counter the DPRK and Iran are adopted at financial institutions and designated non-financial businesses and professions operating in their jurisdictions;

• Building the capabilities of anti-money laundering officials to implement targeted financial sanctions and conduct proliferation finance risk assessments consistent with Financial Action Task Force recommendations;

• Supporting critical foreign partners in developing, drafting, refining, and implementing domestic sanctions implementation and counterproliferation finance legislation and regulations, including those treating VAEs and virtual assets;

• Enhancing the ability of judicial officials to try proliferation finance and sanctions evasion cases involving DPRK and Iranian-linked entities; and

• Training government entities such as financial intelligence units and law enforcement to identify proliferation finance activity, respond to mutual legal assistance and other action requests from foreign partners, and prosecute DPRK sanctions evasion activities as well as relevant ancillary crimes.

For FY25, ISN/CTR’s priority countries for this line of effort lie in the following geographic regions, as defined by the U.S. Department of State: East Asia and Pacific (EAP), South and Central Asia (SCA), Sub-Saharan Africa (AF), and selected countries in the Western Hemisphere (WHA), Middle East/North Africa (NEA) and Europe and Eurasia (EUR).

4. Disrupting DPRK Information Technology (IT) Workers and Laborers

DPRK overseas laborers and globally located IT workers generate revenue which is used by the DPRK to develop WMD and missile systems in violation of UNSCRs:

DPRK nationals, based both within the DPRK and in third countries, disguise their identities to apply for remote jobs at technology companies around the world.

Non-technology sector DPRK laborers continue to work outside the country under authority of the regime and for its exclusive financial benefit despite the obligation of all UN Member States to repatriate them in compliance with UNSCR 2397 (2017). Information technology, building and public arts construction, and putative medical services are the highest-earning and most common fields in which tens of thousands of DPRK nationals work. ISN/CTR seeks proposals for engaging government bodies, prosecutors, private sector employers, and other relevant audiences to disrupt DPRK remote IT worker employment and continue implementing the global repatriation of DPRK laborers in all sectors, including but not limited to:

• Raising awareness among the tech industry of DPRK IT worker tactics to secure jobs, including interview techniques and application red flags, to prevent revenue generation by DPRK remote IT workers, drawing from the U.S. Government IT workers advisory, published in 2022 and updated in 2023;

• Convening labor and health ministry, immigration, foreign affairs, and law enforcement officials to improve inter-agency collaboration to identify and expel DPRK nationals working abroad on behalf of the DPRK regime, including those whose nationality has been obscured or falsified, or whose visa types have been fraudulently changed to evade deportation;

• Raising awareness among government and media leaders about financial, health, public safety, network security, and further risks associated with employing DPRK laborers, including putative health, public arts, and information technology professionals;

• Working with prosecutors to develop new approaches to disrupt DPRK laborers working abroad on behalf of the DPRK regime where national immigration or related authorities for their expulsion are not in place; and;

• Training immigration and customs personnel in database analysis and relevant open-source research techniques to identify DPRK nationals working abroad on behalf of the DPRK regime in partner countries’ territories.

For FY25, ISN/CTR’s priority countries for this line of effort lie principally in the regions of East Asia and Pacific (EAP), Europe (EUR), Sub-Saharan Africa (AF), South and Central Asia (SCA), and select countries in Europe (EUR) and Western Hemisphere (WHA). Other countries or regions will be considered if a strong nonproliferation and threat reduction justification is supplied.

5. Maritime Sanctions Implementation

The DPRK exploits ship registries to evade UN sanctions on maritime commerce and to generate revenue for the development of WMD: DPRK-linked entities, including trading partners, evade sanctions by using falsified documents to register vessels, disabling ships’ identification/location transponders to conduct dark voyages, registry-hopping to evade enforcement action, and exploiting the sometimes-relaxed documentary requirements for “provisional” registration of commercial vessels. Registries with lax enforcement mechanisms fail to identify, deregister, and report DPRK-linked vessels. ISN/CTR seeks proposals that enhance the ability and motivation of ship registries and maritime authorities to prevent, detect, and halt DPRK sanctions evasion, including but not limited to:

• Training publicly and privately-operated ship registries to conduct proper due diligence to identify, deregister, and report DPRK-linked vessels already on, or applying to, their respective registries;

• Trainings in both bilateral and multilateral settings to help standardize rigorous compliance practices, as well as trainings that find creative opportunities to reach DPRK-linked registries ISN/CTR has not yet engaged;

• Assisting countries to conduct audits of their ship registries and deregister DPRK-linked vessels, including training maritime administration staff to conduct their own audits;

• Helping countries to develop stronger registry oversight measures, including requirements for beneficial ownership information and best practices to identify whether ships have been physically altered to avoid sanctions evasion detection or have undertaken suspicious activities at sea such as turning off automatic identification systems (AIS) and loitering in known ship-to-ship transfer zones;

• Encouraging and training ship registry personnel, when deregistering or denying DPRK-linked applications, to comply with information-sharing and reporting agreements with other ship registries, the United Nations, the U.S., and the wider maritime community;

• Engaging the International Maritime Organization (IMO) secretariat and/or IMO member states on improving resources for DPRK-related sanctions compliance in international databases;

• Engaging countries that outsource ship registry management to a private entity how best to design their ship registry management contract, conduct oversight of the private entity, and ensure sanctions compliance.

DPRK uses ship-to-ship transfers to export coal and import refined petroleum in violation of UN sanctions: Despite robust UNSCR and U.S. sanctions, DPRK continues to conduct illicit ship-to-ship transfers of refined petroleum and coal, including by obfuscating its connection to this activity and to various commercial stakeholders involved in the supply chain. ISN/CTR seeks proposals that enable and incentivize global commodity trading, supplier, and brokering companies, financial institutions, insurers, shipping industry associations, ship owners, operators, and charterers, shipyard owners, port managers, classification societies, vessel captains and crewing companies, and other commercial stakeholders to proactively identify and report clients that facilitate potential DPRK-linked ship-to-ship transfers. CTR also seeks to engage policy and law enforcement stakeholders to generate interest and motivation to investigate commodity smuggling networks through activities such as:

• Training law enforcement agencies to identify DPRK-linked smuggling networks involved in the illicit transfer of coal and oil in East and Southeast Asia and to investigate these networks;

• Building private sector capabilities to identify and report DPRK oil and coal shipping activities, ship-to-ship transfers, and attempts to obtain access to additional vessels;

• Training port authorities on proper sanctions compliance and vessel inspection practices, with the aim to prevent the sale or transfer of sanctioned or missile-related, proliferation-sensitive technology;

• Training larger private sector institutions to adopt and standardize advanced due diligence practices in their respective sectors as documented in numerous U.S. Government advisories, and to showcase this work to smaller institutions with weaker compliance systems;

• Workshops that facilitate information sharing and coordination across sectors and stakeholders involved in the oil/coal supply chain to identify and disrupt potential links to DPRK-associated activities.

6. Open-Source Research

Open-source information on continually evolving sanctions evasion is key to informing ISN/CTR programming: The DPRK employs an evolving network of witting and unwitting individuals, corporate entities, maritime vessels, and diplomatic missions to conduct and conceal its sanctions evasion activities.

ISN/CTR seeks to produce reporting based on rigorous collection and analysis of open source and commercially available information for the purpose of providing unclassified information to foreign governments to make them aware of, and assist their investigations into, DPRK sanctions-evasion activity. CTR is seeking investigative projects that span domains including block chain analytics, regional virtual asset activity (transfer and withdrawal) trends, cyber supply chain vulnerabilities, DPRK IT worker indicators, and illicit maritime trade.

Iran operates a diverse procurement network involving procurement agents, brokers, and front companies, exploits the international financial system, and utilizes vessels and aircraft to move the raw and manufactured materials, items, and commodities it acquires to Iran to support the regime’s ballistic missile, UAS, and nuclear programs. ISN/CTR seeks proposals to identify and provide in-depth insight into these activities, as well as to provide quick-turn, actionable, unclassified data for capacity-building purposes in response to ISN/CTR requests.

ISN/CTR also seeks proposals that investigate Iranian procurement and import trends, particularly on products that violate US sanctions and that support Iran’s nuclear advancements. CTR also seeks proposals that identify and map ownership networks, structures, and personnel involved with known or suspected front companies and procurement activities for the Iranian Revolutionary Guard Corps (IRGC). ISN/CTR is especially interested in activities and networks involving or impacting entities within the jurisdiction of U.S. foreign partners.

ISN/CTR is interested in deliverables that provide immediate, actionable information on specific entities or activities to this end, and that serve as case studies to be included in capacity-building programming. ISN/CTR does not seek to build an in-house open-source analytical capability and does not seek to fund the development of new analytical tools, nor does ISN/CTR seek for its time-constrained staff to be trained in the use of such tools.

For FY25, ISN/CTR’s priority countries for this line of effort lie in the following geographic regions, as defined by the U.S. Department of State: East Asia and Pacific (EAP), South and Central Asia (SCA), Sub-Saharan Africa (AF), and selected countries in the Western Hemisphere (WHA), Middle East/North Africa (NEA) and Europe and Eurasia (EUR).

A.5. Expected Outcomes

Improved foreign partner awareness of and capacity to disrupt DPRK and Iranian sanctions evasion activities.

A.6. Performance Indicators

All proposals will measure partner capacity before and after training and engagement, with the expectation that skills, procedures, and abilities have increased due to ISN/CTR support.

ISN/CTR uses multiple indicators across all lines of effort to demonstrate our partner countries are making progress towards achieving self-sustaining, proliferation-resistant security culture that reduces the threat posed by proliferator states seeking the means by which to obtain WMD and delivery systems for the purposes of threatening the United States and related interests. Please identify how your proposed projects will contribute to the larger effort.

A.7. Key Considerations

CTR will view the following attributes favorably in the FY25 proposal process:

• Proposals that emphasize train-the-trainer methodologies, build indigenous capacity within a partner country, and establish relationships between partner countries;

• Effective mechanisms for long-term sustainability post-engagement, including follow-up activities every three to six months throughout the period of performance;

• Leveraging champions from local and regional partners to expand CTR’s reach in priority countries, ability to work in difficult environments, and the long-term sustainability of these efforts;

• Proposals that include references to incorporation of best practices that would improve diversity, equity, inclusion, and accessibility in CTR programming;

• Outcomes that go beyond basic samnctions implementation and awareness-raising and address specific challenging threats;

• Proposals that reference the current threat landscape specific to the country of engagement;

• Nonproliferation benefit clearly evidenced by data-driven analysis and targeted approaches to current threat information;

• Multi-phased proposals to scope vulnerabilities and develop country-specific targeted solutions and exercises;

• Proposals tailored to fit local technical capacities as well as the local, country-specific threat environment;

• Financial and/or in-kind cost-sharing, including but not limited to subject matter expertise, facilities, equipment, technology, or other forms of cost-sharing;

• Proposals that leverage multiple implementers together to deliver innovative, technical, and/or logistical solutions; and

• Virtual or web-based activities and low-cost equipping solutions for difficult operating environments that promote participant retention throughout the engagements.

A.8. Substantial Involvement

ISN/CTR will be involved in the project development and planning. ISN/CTR staff will work closely with the implementer to select participants, grant awards, and review event agendas to ensure that they align with the proficiency level, needs and interests of each ISN/CTR partner country audience. ISN/CTR will select foreign participant, advise on training logistical implementation and will consult on all aspects of event logistical planning and all participants including process and lead-time required for obtaining U.S. visas.

SECTION B: FEDERAL AWARD INFORMATION

B.1. Available Funding

This notice is subject to availability of funding. The authority for this funding opportunity is found in the Foreign Assistance Act of 1961, as amended (FAA).

Applicants can submit one application in response to the NOFO. If more than one application is submitted by an organization, only the final application received, and time stamped by grants.gov will be reviewed for eligibility. Each application can include multiple projects that will be evaluated independently.

Organizations may form a consortium and submit a combined proposal. However, only one organization must be designated as the lead applicant, with the remaining organizations designated as sub-awardees. The lead applicant must meet the eligibility criteria listed in Section C.

The Department of State reserves the right to (a) fund any or none of the applications received; (b) reserves the right to reduce, revise, or increase the budget in accordance with bureau proprieties and the availability of funds; (c) accept other than the lowest cost application.

The U.S. government may make award(s) on the basis of 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), however, to enter into 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.

B.2. Award Management

The successful applicant will need to routinely collaborate with ISN/CTR through regular meetings and conference calls to discuss progress, challenges, emerging topics, etc. The successful applicant must ensure that all funds are used in a manner consistent with any applicable restrictions on funding. See D.5 below for funding restrictions.

SECTION C. ELIGIBILITY INFORMATION

C.1 Eligible Applicants

ISN/CTR welcomes applications from U.S.-based non-profit/non-governmental organizations with or without 501(c) (3) status of the U.S. tax code; foreign-based non-profit organizations/nongovernment organizations (NGO); Federally funded research and development centers (FFRDCs); Public International Organizations;

Foreign Public Entities; U.S.-based private, public, or State institutions of higher education; Foreign-based institutions of higher education, and U.S. for-profit organizations or businesses.

Applications submitted by for-profit entities may be subject to additional review following the panel selection process. Additionally, the Department of State prohibits profit to for-profit or commercial organizations under its assistance awards. Profit is defined as any amount in excess of allowable direct and indirect costs. The allowability of costs incurred by commercial organizations is determined in accordance with the provisions of the Federal Acquisition

Regulation (FAR) at 48 CFR 30, Cost Accounting Standards Administration, and 48

CFR 31 Contract Cost Principles and Procedures.

Please see 2 CFR 200.307 for regulations regarding program income.

C.2. Cost-Sharing or Matching

The non-Federal share of costs, frequently called “cost share” or “matching costs”, refers to that portion of the project or program costs not borne by the Federal

Government. This may include cash and third-party in-kind contributions. These costs must reflect the realistic capacity of the applicants and any third-party contributors.

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.

Voluntary cost-share: Should the applicant choose to contribute voluntary cost-share but does not meet the minimum amount of the voluntary cost-sharing stipulated in the applicant’s budget, DOS’ contribution may be reduced in proportion to the applicant’s contribution.

C.3. Other Eligibility Criteria

Any applicant with an exclusion in the Exclusions section of 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 in the Exclusions section of SAM.gov can participate in any activities under an award. All applicants are strongly encouraged to review the

Exclusions section in Sam.gov to ensure that no ineligible entity or person is included in their application.

SECTION D: APPLICATION AND SUBMISSION INFORMATION

D.1. Address to request Application Package

Applicants can find application forms, kits, or other materials needed to apply on grants.gov under the announcement title “Countering DPRK and Iran’s WMD, UAS, and Missile Proliferation” funding opportunity number “DFOP0016995”. Please contact the ISN/CTR point of contact listed in Section G if requesting reasonable accommodations for persons with disabilities or for security reasons. Please note that reasonable accommodations do not include deadline extensions.

D.2. Content and Form of Application Submission

ISN/CTR is looking for one proposal package per application. Each package can include multiple standalone projects that can each be evaluated independently.

Each proposed project should have a unique set of the following documents:

Project Narrative, Budget Documents, Program Monitoring and Evaluation

Narrative and Plan, and Key Personnel. Each proposal packet will include one of https://sam.gov/ https://sam.gov/ http://www.grants.gov/ the following documents that incorporate information on all proposed projects:

SF-424, SF-424A, SF-424B (Optional), SF-LLL (if Applicable), Cover Page/Executive

Summary, Security Plan, Contingency Plan, Timeline, and Racial Equity and

Underserved Communities Analysis. 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. For all application documents, please ensure:

• All documents are in English, and all costs are in U.S. dollars. If an original document within the application is in another language, an

English translation must be provided (please note the Department of

State, as indicated in 2 CFR 200.111, requires that English is the official language of all award documents). If any document is provided in both English and a foreign language, the English language version is the controlling version;

• All pages are numbered, including budgets and attachments;

• All documents are formatted to 8 ½ x 11 paper; and,

• All documents are single-spaced, 14-point Calibri font, with 1-inch margins. Captions and footnotes may be 10-point Calibri font. Font sizes in charts and tables, including the budget, can be reformatted to fit within 1 page width.

• All application materials must be submitted through www.Grants.gov unless you are a U.S. Government entity applying for Inter-Agency

Agreement (IAA) funding. If you are applying for an IAA please submit proposals to the program team identified in section G.1 and ISN-CTR-

BUDGET@state.gov.

Complete applications must include the following, where applicable:

One document per proposal

1. Completed and signed SF-424 and SF-424A

2. OPTIONAL SF-424B forms (strongly encouraged for FPEs/PIOs) https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.grants.gov%2F&data=05%7C02%7CPattisonTE%40state.gov%7C35e984aeaa6f450d06b508dce47bec4e%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C638636468094971073%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C0%7C%7C%7C&sdata=NCzTw2%2FBzrW4lUl0PnwRlcLma10oDNq%2BS3nOeIj0JaU%3D&reserved=0 mailto:ISN-CTR-BUDGET@state.gov

3. 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).

4. Cover Page/Executive Summary (not to exceed one (1) page, preferably as a

Word document) that includes a table with the organization name, project title, target country/countries, 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 outcomes.

5. Timeline (not to exceed one (1) page, preferably as a Word document or

Excel sheet): The timeline of the overall proposal should include activities, evaluation efforts, and program closeout. Sufficient time should be included to conduct and finalize internal/external evaluations and allow any sub-recipients time for final reporting, as applicable. Please see “Sample

Timeline” included as an attachment to the NOFO.

6. Racial Equity and Underserved Communities Analysis In accordance with the Executive Order on Advancing Racial Equity and Underserved

Communities, proposals must demonstrate how the project advances equity with respect to race, ethnicity, religion, income, geography, gender identity, sexual orientation, and disability. The proposal must also demonstrate how the project 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 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 project will support and advance equity and engage underserved communities in participant outreach and recruitment.

A Racial Equity and Underserved Community analysis, (not to exceed two

(2) pages, preferably as a Word document) helps consider the different ways https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.whitehouse.gov%2Fbriefing-room%2Fpresidential-actions%2F2021%2F01%2F20%2Fexecutive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government%2F&data=04%7C01%7CReisigAR%40state.gov%7C0dbdd75a0a664b32ef2508d8fb59f8f5%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C637535711126807160%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C1000&sdata=Hk82GX1SCF8LaoHg%2B2vrmdCRK6gGWYwQXU9CB6cLb5E%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.whitehouse.gov%2Fbriefing-room%2Fpresidential-actions%2F2021%2F01%2F20%2Fexecutive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government%2F&data=04%7C01%7CReisigAR%40state.gov%7C0dbdd75a0a664b32ef2508d8fb59f8f5%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C637535711126807160%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C1000&sdata=Hk82GX1SCF8LaoHg%2B2vrmdCRK6gGWYwQXU9CB6cLb5E%3D&reserved=0 in which activities might impact and be impacted by the community, country, and region where activities take place. This analysis should seek to highlight what strategies for integration and inclusion were used to develop the proposed project or projects. Below is an illustrative list of questions to help with the gender and inclusion analysis. Recipients are NOT REQUIRED to respond to every question or duplicate this chart in their proposal.

Findings from the applicants’ analysis should be accounted for at the design phase and integrated throughout proposal documents, as appropriate.

Domain Consideration Cross-Cutting Questions

Laws, Policies, Regulations, and

Institutional

Practices

Are there any laws or policies that address inequality or discrimination, current or past?

How could treatment under the law, and by official policies and institutions in the country, impact engagement with intended audiences?

Have you engaged or consulted with the communities or people with whom you want to work?

What do local equality groups think about the work?

Have they flagged any potential concerns or unintended consequences?

Who would benefit from or be burdened by your proposal? Is anyone better off?

Cultural Norms, Beliefs and Gender

Roles

What is expected of OR what responsibilities are held by different genders?

What stereotypes exist and how do they affect engagement in activities?

How do gender roles and responsibilities, inside and outside the home, impact equitable participation?

Who decides, influences, and exercises control over material, human, intellectual, and financial resources in the family, community and country?

Access to and

Control over

Assets and

Resources

Do men and women have equal control over and the capacity to use resources – assets, income, education, social benefits, services, technology – and information necessary to be an active and productive participant in society?

Are resources accessible to all people regardless of physical, socioeconomical status.

7. Security Plan (not to exceed three (3) pages if proposal includes in person engagements): Addresses any issues involving in-person events and recruitment for said events, and safety for any online programs or communications including independent IT security audits (to include a vulnerability assessment) of any proposed web application or platform.

Organization’s Security Plan should demonstrate consideration of the risks identified in the submitted risk assessment. Costs may also be identified within the budget and budget narrative. Applicants are also encouraged to include contingency plans for in-person or online activities.

8. Contingency Plan (not to exceed three (3) pages): Outlines activities in the event that the originally planned activities are unimplementable. 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 2 CFR

200.433 – Contingency provisions. Plans must not include unallocable or unallowable expenses and must not result in a larger Total Award Value than the identified “competition ceiling.” ISN/CTR requires prior approval by the Grants Officer of the “plan” before any activities can take place, or costs can be incurred against the “plan.”

9. Attachments (if applicable):

o CVs or resumes o List of USG funded awards active in the last twenty-four (24) months with references and award numbers

One document per project (Individual project documents can be combined if you are including multiple projects in your proposal)

10. Project Narrative (not to exceed three (3) pages per project, preferably as a

Word document). Please note the 3-page limit does not include the Cover

Page/Executive Summary, Detailed Budget, Budget Narrative, Key

Personnel, Timeline or Attachments. Applicants are encouraged to combine multiple documents into a single Word document (i.e. Cover Page/Executive

Summary, and Proposal Narrative into one file). The Narrative must include the following:

a. Introduction to the Organization: A description of past and present operations, showing ability to carry out the project, including information on relevant or similar type projects from previous grants from the U.S. Embassy and/or U.S. government agencies.

b. Problem Statement: Clear, concise and well-supported statement of the problem to be addressed and why the proposed program is needed.

c. Project Methods and Design: A description of how the program is expected to work to solve the stated problem and achieve the goal.

d. Program Goal: The goal describes the broader, long-range outcome or concept intended. Goals do not include timelines or methods for achievement. Rather, goals are general statements of a desired result.

Programs generally have one goal that is only one sentence.

e. Program Objective(s): Objectives unlike goals, are brief, clear statements that describe what will be done within a specific timeframe to help achieve or advance a goal. Objectives are applicant focused, and should be SMART:

1. Specific: Detailed and specifies what will be achieved

2. Measurable: have associated metrics or measurements of success

3. Attainable: appropriately challenging, objectives can be reasonably attained given the available resources

4. Relevant: align with the policy/program goal and appropriate within the country or beneficiary audience

5. Time-Bound: achievable within the timeframe of the program

f. Program Activities: Describe how the activities or actions under objective(s) will be carried out. Should be clearly developed and sufficiently explain the resources and time requirements identified

(inputs) and things done or produced (outputs). Where appropriate, identify target areas, or where actions are happening, participant groups or selection criteria for participants; how relevant stakeholders will be engaged; actions taken by consultants, sub-recipients or vendors as appropriate/relevant. Demonstrate how the activity will support and advance equity and engage underserved communities in program administration, design, and implementation.

g. Outcomes: The results or effects of the objective(s). What are the detailed, measurable statements that outline the end results?

Outcomes are target-audience focused. What will the benefitting individuals, countries or audiences have learned, accomplished or be able to do after the project has been completed? Collectively, outcomes advance or further the program goal.

h. Risk Analysis - Identify the 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.

i. Future Funding or Sustainability – Applicants’ plan for continuing the program beyond the grant period, or the availability of other resources, if applicable. Include ways program activities will ensure sustainability.

11. Budget Documents: This is a two (2) component submission requirement.

(1) Detailed Line-Item Budget: Entities and organizations not recognized as

FFRDCs, FPEs, or PIOs are required to submit detailed budget information according to the OMB cost categories (see SF-424A as an example). Budget expenses should be submitted preferably as one Excel workbook and include three (3) columns describing the request to ISN/CTR, any required or voluntary cost sharing, and the total budget. Costs must be in whole U.S.

dollars. The attached Budget Guidance Template is the preferred format for submission. Detailed line-item budgets for sub-grantees should be included as additional tabs within the Excel workbook (if available at the time of submission).

(2) Budget Narrative: Entities and organizations not recognized as FFRDCs, FPEs, or PIOs are required to submit narrative information, preferably as a

Word document, that explain the methodology considerations for each specific line identified in the Excel document. The budget narrative should support the activities described in the proposal and provide additional information that might not be readily apparent in the detailed line-item budget. Do not simply repeat what is represented numerically in the budget, i.e. salaries are for salaries or travel is for travel. If the detailed budget includes sub-awards, please include a separate budget narrative for each sub-award budget. Provide details on the purpose of costs, reasonability of costs, cost price analysis, allocation methodology, explain any yearly variances in unit prices, and tie expenses to program activities and/or objectives where appropriate. Information should describe prices used when costs have been averaged for the purposes of the calculation; when or if there is a reduction in a typical cost due to leveraging other resources;

when costs are inflated due to specific considerations; or when untypical costs are included due to special circumstances. Provide information on considerations such as translations, multi-media approaches as also described in the proposal narrative, procurement by local vendors or the need to import due to unavailability, specific needs of different audiences, costs related to country limitations, etc.

Budget Documents for Foreign Public Entities/Public International

Organizations: Entities and organizations recognized as FFRDCs, FPEs, or

PIOs are not required to submit detailed budget information according to the OMB cost categories. (1) A detailed budget, preferably as an excel document broken down by activity may be provided instead. Costs must be in U.S. dollars. (2) A budget narrative, preferably as an Excel workbook, an activity based detailed budget with information identifying lines associated with labor (inclusive of contractual or consultancy staff), participant support costs, travel, and other activity related expenses as appropriate for each activity identified. While 2 CFR 200, Subpart E—Costs Principles does not apply to FPEs and PIOs, it should be used as a guide to assist in determining reasonableness. Budget narrative information, preferably as a Word document, should explain the methodology considerations for each activity and other cost considerations or special circumstances that are helpful in determining reasonableness.

12. Program Monitoring and Evaluation Narrative and Plan/Tracker: This is a two (2) component submission requirement.

(1) Monitoring and Evaluation Narrative: Preferably a one-page Word document, the narrative outlines how a project’s M&E system will be carried out and by whom. It details how you will track your project’s performance toward its objectives over time and 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).