G03 DSCU NFO HQ003423NFOEASD17 20230808.pdf

NOTICE OF FUNDING OPPORTUNITY

DEPARTMENT OF DEFENSE (DoD)

Federal Awarding Agency Defense Security Cooperation University (DSCU)

Funding Opportunity Title Defense Security Cooperation University - Research Grants - Notice of Funding Opportunity

Announcement Type Initial Announcement

Notice Of Funding Opportunity (NFO) Number

HQ003423NFOEASD17

Assistance Listing

12.024 Defense Security Cooperation University - Research Grants

Key Dates This NFO is a continuously open announcement. Amendments to this NFO will be posted to Grants.gov if they occur. Amendments will detail requirements for white paper submissions, and select white paper submissions will be invited to submit a full application.

Agency Contacts Nathan Toronto

Associate Professor of Research, DSCU

E-mail: nathan.w.toronto.civ@mail.mil

Office: 703-545-9121

Joshua Hastey

Co-Chair of Research, Irregular Warfare Center

Email: joshua.a.hastey.ctr@mail.mil

Office: 703-268-0097 https://sam.gov/fal/9da5e34d95ee4b62ab4274aee1d228e7/view mailto:nathan.w.toronto.civ@mail.mil mailto:joshua.a.hastey.ctr@mail.mil

I. Program Description

A. Short Description of Funding Opportunity The Defense Security Cooperation Agency’s (DSCA) Defense Security Cooperation University (DSCU) promotes access to and production of knowledge on security cooperation, or “all DOD interactions with foreign security establishments that build and develop allied and partner security capabilities and capacity for self-defense and multinational operations, provide the Armed Forces of the United States with access to the foreign country during peacetime or a contingency operation, and build relationships that promote specific United States security interests” (Joint Publication 3-20, Security Cooperation, 1-

2). Evidence-building activities that contribute to the body of knowledge on security cooperation— hereafter “SC research”—are the primary focus of this NFO.

Research projects responding to this NFO ideally result in lessons that can be applied to the practice of security cooperation. In response to this NFO, applicants may be asked for a mandatory white paper submission, emailed to dsca.dscu.grants@mail.mil. Use of the one-page white paper is intended to determine which efforts are of merit preparatory to submission of a full technical application as described in Section IV. Applicants will be selected from the one-page white paper submissions to be invited by the Government to submit a full technical application on Grants.gov for evaluation and possible award consideration. One-page white papers that fail to address the areas listed in the Program

Description of the NFO will not be evaluated and will not receive an invitation to submit a full technical application.

B. Background The DSCU mission is to improve the quality and professionalism of security cooperation through evidence-based research, analysis, and application of lessons learned. DSCU components sponsor and conclude research projects that align substantively with the U.S. Department of Defense (DoD) Learning and Evaluation Agenda for Partnerships (LEAP) framework and the DSCU Research Agenda, in partnership with individual researchers, educational institutions, and policy-focused research organizations.

The DSCU research grant program, conducted pursuant to 10 USC § 4001, is generally open to a broad range of researchers, although individual DSCU components may have restrictions on who may receive grants. The following DSCU components currently offer research grants:

Research and Lessons Learned Institute (RALLI): open to individual researchers (with or without an affiliation); professional military education (PME) and civilian academic institutions; U.S. and international research and think thank institutions; federally funded research and development centers (FFRDCs); U.S. interagency security cooperation communities of interest; and the security cooperation workforce (as defined by 10 USC § 384(h)). DSCU partners may manage or evaluate RALLI grants.

Irregular Warfare Center (IWC): open to individual researchers or research teams affiliated with an accredited college or university, as well as PME and civilian academic institutions.

Management and evaluation of these grants is under IWC purview.

mailto:dsca.dscu.grants@mail.mil https://open.defense.gov/Portals/23/Documents/Security_Cooperation/International_DoD_Learning_and_Evaluation_Agenda_for_Partnerships_(LEAP)_Framework_for_Public_Release_2022.pdf https://open.defense.gov/Portals/23/Documents/Security_Cooperation/International_DoD_Learning_and_Evaluation_Agenda_for_Partnerships_(LEAP)_Framework_for_Public_Release_2022.pdf https://www.dscu.edu/dscu-research-agenda https://www.law.cornell.edu/uscode/text/10/4001 https://www.law.cornell.edu/uscode/text/10/384

DSCU expects awardees to participate in conferences, seminars, focus groups, and events to enhance dissemination of research findings and facilitate application of lessons learned in areas of policy, practice, and workforce professionalization.

C. Topics of Interest Research and Lessons Learned Institute (RALLI): Consult the DSCU Research Agenda at this link:

https://www.dscu.edu/dscu-research-agenda.

Irregular Warfare Center (IWC): Applications for IWC funding will be journal article length and quality and will provide policy-relevant empirical or theoretical advances in our understanding of irregular warfare and gray zone competition broadly conceived. A non-exhaustive list of themes of interest to the center includes: cyber operations; information and influence operations; resistance movements and occupation; proxy warfare; strategic competition below the threshold of war; IW in the cultural and religious landscape; and women, peace, and security.

D. Authorization The authorization to make awards under this NFO may be found via Assistance Listing 12.024 at https://sam.gov/content/assistance-listings.

E. Legal Requirements Each grant awarded under this announcement will be governed by the general terms and conditions in effect at the time of the award that conform to the DoD’s implementation of OMB guidance applicable to financial assistance in 2 CFR § 1100 [“Subchapter D—Administrative Requirements Terms and

Conditions for Cost-Type Grants and Cooperative Agreements to Nonprofit and Government Entities”] which are located at https://www.ecfr.gov/current/title-2/subtitle-B/chapter-XI/subchapter-D. These terms and conditions are incorporated by reference in this announcement.

Per 32 CFR 22.310, opportunities arising from this NFO will be competitive in nature. Competitive procedures will be conducted in accordance with the requirements at 32 CFR 22.315, 2 CFR 200, and the requirements outlined in the NFO.

F. Program-Specific Requirements Not applicable.

II. Federal Award Information

RALLI

RALLI may work with other Federal agencies, quasi-government agencies, university-affiliated research centers, or other government partners to administer grants and cooperative agreements. Grant awards are typically made at three different levels (categories A, B, and C), depending on agency needs. RALLI sometimes works with DSCU partners to evaluate one-page white papers and proposals, manage project delivery, and maintain quality control.

Category A Research category A consists of major book-length projects conducted by research teams that advance the field of security cooperation. These projects can receive funding of up to $800,000 per year and must be completed within 24 months (12 months for IWC-funded projects). The expected deliverable is https://www.dscu.edu/dscu-research-agenda https://sam.gov/fal/9da5e34d95ee4b62ab4274aee1d228e7/view https://www.ecfr.gov/current/title-2/subtitle-B/chapter-XI/subchapter-D a book-length report, and researchers are strongly encouraged to present results at the annual Security

Cooperation Conference sponsored by DSCU. These projects produce special long-term research studies that cannot be generated effectively by in-house DSCU researchers.

IWC and RALLI generally expect to fund up to two category A research projects every year, although they may fund none depending on availability of funding and quality of applications.

Category B Research category B produces article-length, peer review-quality research that contributes to improving the quality of security cooperation policy, practice, and professional education. Generally, this research is performed by research teams, but may be conducted by individual researchers (with or without an affiliation) and irregular warfare or security cooperation practitioners with experience, knowledge, and drive to produce quality research, but projects must result in peer review-quality products or scientific databases, or both. This means that researchers will generally have PhD-level research credentials and that projects will often be conducted by research teams. Category B awards are capped at $50,000 per year and must be completed within 18 months (12 months for IWC-funded projects). The expected deliverable is a scientific-quality manuscript submitted to a peer-reviewed journal, and researchers are strongly encouraged to present results at the annual SC Conference sponsored by DSCU.

Successful category B applications for IWC funding will be journal article length and quality and will provide policy-relevant empirical or theoretical advances in our understanding of irregular warfare and gray zone competition broadly conceived. A non-exhaustive list of themes of interest to the center includes: cyber operations; information and influence operations; resistance movements and occupation; proxy warfare; strategic competition below the threshold of war; IW in the cultural and religious landscape; and women, peace, and security.

IWC and RALLI generally expect to fund three to four category B research projects every year, but reserve the right to fund more or fewer projects (even none), depending on availability of funding and quality of applications.

Category C Research in category C is completed by individuals or teams, usually students or other researchers without PhD-level credentials. Projects in this category might contribute to individual student thesis or course requirements, or teams of two to four students might develop short-term research that answers current, relevant questions in the irregular warfare or security cooperation communities. Individual members of the security cooperation workforce or the irregular warfare community may propose research projects with approval of their supervisor as part of continuing education and professionalism, to advance knowledge and generate change within the security cooperation or the irregular warfare communities. Category C awards are capped at $25,000 per project and must be completed within 12 months. The expected deliverable is a conference paper, and researchers are strongly encouraged to present results at the annual SC Conference sponsored by DSCU.

IWC and RALLI generally expect to fund five to ten category C research projects every year, but they reserve the right to fund more or fewer projects (even none), depending on availability of funding and quality of applications. The approval authorities for category C research are the RALLI Director and the

IWC Director, as appropriate.

III. Eligibility Information

A. Eligible Applicants RALLI: Eligible applicants include individual researchers (with or without an affiliation);

professional military education (PME) and civilian academic institutions; U.S. and international research and think thank institutions; federally funded research and development centers

(FFRDCs); U.S. interagency security cooperation communities of interest; the security cooperation workforce; industry; non-profit institutions; state and/or local educational agencies;

or consortia of such institutions and/or industry. Foreign entities may be considered.

IWC: Eligible applicants include individual researchers affiliated with an accredited college or university and professional military education (PME) and civilian academic institutions.

General Current and past awardees from this initiative, or previous versions of this initiative, are eligible to submit white papers/applications under this NFO.

University-affiliated research centers (UARC) are eligible to submit white papers and applications under this NFO, unless precluded from doing so by their Department of Defense UARC contract.

B. Cost Sharing or Matching Cost sharing is not required but, if offered, voluntary cost sharing may be considered as a demonstration of an offeror’s commitment to their proposed project.

C. Conflict of Interest To prevent the bias and unfair competitive advantage resulting from conflicting rules, applicants must identify in their application any organizational conflict of interests (OCI) which may exist. If an applicant has an actual or potential OCI, their application must identify the OCI and the mitigation plan to address it using ADAP Form 209.506-1. Silence on this topic in an application will be understood to mean there is no OCI with the applicant.

(1) General Requirement for Disclosure The Applicant, and any additional partners, must disclose any potential or actual scientific or nonscientific conflict of interest(s) to the Government. The Applicant, and any partners, must also disclose any potential or actual conflict(s) of interest for any identified subrecipient included in the application. The Government or Grants Officer reserves the right to clarify any conflicts of interest, if needed.

At the Government and/or Grants Officer’s discretion, the Government and/or Grants Officer may ask the Applicant and/or additional partners for a conflict of interest mitigation plan after submission of the application. The plan is subject to Government and/or Grants Officer approval.

(2) Scientific Conflict of Interest Scientific collaborations on research and development projects are generally the result of close collaboration prior to the submission of applications for support. Accordingly, these collaborations should be considered when considering potential conflicts of interest. The potential conflict is mitigated by the disclosure of these collaborations, and the list of current and pending support the applicant provides for senior and key researchers. Therefore, the applicant must include in their list of current and pending support all collaborators, even if they did not formally provide support.

D. Other The Applicant must include the Acknowledgment of Support and Disclaimer on all materials created or produced under our awards. This language may be found in the Terms and Conditions included in the award documents.

To apply for grants and other funding opportunities the applicant entity must have an active registration in the System for Award Management (SAM). Applications will not be accepted through Grants.gov or other methods unless the entity is registered in SAM. Registration in SAM now includes the acceptance of Certifications and Assurances. SAM may be accessed at: https://www.sam.gov. See https://www.grants.gov/web/grants/grantors/grantor-standard-language.html and “Attachment A:

Registration and Submission Instructions” for details on how to register in SAM, and Grants.gov.

The Federal Assistance Certifications Report is an attestation that the entity will abide by the requirements of the various laws and regulations; therefore, as applicable, the applicant is still required to submit any documentation, including the SF-LLL Disclosure of Lobbying Activities (if applicable), and, if applicable, informing the DoD of unpaid delinquent tax liability or a felony conviction under any

Federal law.

For more information, see “Attachment C: Certifications and Representations.”

IV. Application and Submission Information

A. Submission Date and Time IWC and RALLI consider white papers on a rolling basis, but applicants are required to submit a white paper according to a moving wall depending on the timing and level of expected funding:

Category A projects must be submitted nine months ahead of the expected award date.

Category B projects must be submitted six months ahead of the expected award date.

Category C projects must be submitted three months ahead of the expected award date.

Read the instructions in https://www.grants.gov/web/grants/grantors/grantor-standard-language.html about registering to apply for DoD funds. If the applicant experiences difficulties with their submission, Grants.gov provides support via the toll-free number 1-800-518-4726 and email at support@grants.gov.

A ticket number from Grants.gov will allow the DoD to verify the issue if it cannot be resolved by the application date.

Applicants are required to email the white paper to dsca.dscu.grants@mail.mil with the subject line, “NFO White Paper Submission.” Applicants will be selected from the white paper submissions to be invited by the Government via email to submit a full technical application on Grants.gov for evaluation and possible award consideration.

B. Address to Request Application Package The application package for this NFO is available on Grants.gov. Amendments to this NFO will be posted to the above website when they occur. Interested parties are encouraged to periodically check the above website for updates and amendments.

https://www.sam.gov/ https://www.grants.gov/web/grants/grantors/grantor-standard-language.html https://www.grants.gov/web/grants/grantors/grantor-standard-language.html mailto:support@grants.gov

C. Application Procedures and Requirements

Two-Step Process for Applying Under this NFO This NFO competition is implemented in two stages:

1. Applicants must submit a one-page white paper with relevant CVs. White papers are a

MANDATORY component of a two-part submission process.

2. Based on assessment of the white paper, selected applicants will be invited to submit an application by a designated deadline.

Instructions for Submitting White Papers White papers must NOT be submitted through Grants.gov. Instead, white papers are to be submitted via email to DSCU at dsca.dscu.grants@mail.mil as a PDF file. The subject line of the email shall read “NFO

White Paper Submission.” There is an email size limit of 5 MB per email. Only email submissions will be accepted and reviewed.

DO NOT SEND: Hardcopies (including facsimiles)

DO NOT SEND: ZIP files

DO NOT SEND: Password protected files

White papers are evaluated on a rolling basis. Time of receipt will be determined by the date and time the email is received in the DSCU Grants email inbox. Early submission is encouraged. Submitters may request verification of receipt.

Instructions for Submitting Technical Applications, Unique Entity Identifiers, SAM Registration, and Grants.gov Full technical applications will only be accepted if submitted through Grants.gov. Organizations must have a Unique Entity Identifier (UEI), active System for Award Management (SAM) registration, and

Grants.gov account to apply for grants.

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

Effective April 4, 2022

The UEI, a new, non-proprietary identifier assigned by SAM, has replaced the Data Universal

Numbering System (DUNS) number.

Register in SAM.gov and you will be assigned your UEI within SAM.gov.

You must register with SAM and continue to maintain active SAM registration with current information at all times when you have: an active federal award, an active application, or an active plan under consideration by an agency (unless you are an individual or federal agency that is exempted from those requirements under 2 CFR § 25.110(b) or (c), or you have an exception approved by the agency under 2

CFR § 25.110(d)). For your SAM registration, you must submit a notarized letter appointing the authorized Entity Administrator.

If you are chosen as a recipient, the Government will not make an award until you have complied with all applicable SAM requirements. If you have not fully complied with the requirements by the time the

Government is ready to make an award, you may be deemed not qualified to receive an award, and an award may be made to another applicant.

https://sam.gov/content/home

If you have already completed Grants.gov registration, confirm that the registration is still active and that the Authorized Organization Representative (AOR) has been approved.

The Grants.gov registration process requires information in two separate systems:

System for Award Management (SAM)

(https://www.sam.gov/https://sam.gov/content/home | SAM Knowledge Base)

Grants.gov (http://www.grants.gov/https://www.grants.gov/)

Effective March 3, 2023, individuals assigned a SAM.gov Entity Administrator role must be an employee, officer, or board member, and cannot be a non-employee. This change is to ensure entities are in control of who has permission to control roles within their entity. This means:

Entity Administrators assigning roles to non-employees will only be able to assign a Data Entry role or lower.

Any entities assigning Entity Administrator roles using an Entity Administrator Role Request

Letter (formerly called “notarized letter”) will no longer be able to assign the Entity

Administrator role to a non-employee.

Entity Administrator roles assigned to non-employees will be converted to Data Entry roles.

With a Data Entry role, non-employees can still create and manage entity registration data entry but cannot manage roles.

If you are an entity using a non-employee or if you are a non-employee working with an entity to manage registrations, please read (and share) more about this change on the BUY.GSA.gov to know what to expect.

Full technical application packages must be submitted electronically to Grants.gov no later than the date specified by the Government.

Applicants are responsible for submitting their applications in sufficient time to allow them to reach

Grants.gov by the date and time specified in Government communication in response to the white paper. Applicants can also track the status of their applications at https://www.grants.gov/web/grants/applicants/track-my-application.html.

D. Application Withdrawal An applicant may withdraw an application at any time before award by written notice or by email.

Notice of withdrawal shall be sent to the grants officer identified in this announcement. Withdrawals are effective upon receipt of notice by the grants officer.

E. Intergovernmental Review Not applicable.

F. Content and Format of White Paper and Technical Application White papers are about 500 words in length and should follow the designated template (Section IV) and include a project summary, preliminary research design, rough order of magnitude cost, and expected contribution to security cooperation knowledge (see topics of interest in Section II.C.).

Common formatting requirements across all submitted documents:

Font: 12 point, Times New Roman https://www.sam.gov/ https://www.sam.gov/ https://www.fsd.gov/gsafsd_sp?id=gsa_kb_view2&kb_id=f66d8e6cdb76d4100d73f81d0f9619c6 http://www.grants.gov/ http://www.grants.gov/ https://www.grants.gov/web/grants/applicants/track-my-application.html

Margins: 1 inch on all sides

Paper size: 8½ × 11 inches

Titles given to white papers and full applications should be descriptive of the proposed work and should not be merely a copy of the title of this announcement.

Documentation submitted under this NFO are expected to be unclassified; classified applications are not permitted.

All documents must be submitted in PDF format.

White papers and proposals will be evaluated by Government personnel and/or non-

Government reviewers. Non-Government reviewers may include university faculty and staff researchers or researchers at DSCU partner institutions. Each reviewer is required to sign a conflict of interest and confidentiality statement attesting that the reviewer has no known conflicts of interest, and that application and evaluation information will not be disclosed outside the evaluation panel. The names and affiliations of reviewers are not disclosed.

All submissions will be protected from unauthorized disclosure in accordance with applicable law and DoD regulations. The applicant is expected to appropriately mark each page of their submission that contains proprietary information.

White Paper Content The Government only seeks white papers that are relevant and responsive to the Topics of Interest in

Section I.C. Applicants MUST submit a separate white paper for each NFO award consideration.

Applications that fail to address the areas listed in the Topics of Interest will be rejected and not considered further.

White papers are evaluated on a rolling basis. White papers should use the following template:

Technical Information (about 50 words): The Funding Opportunity Number, project title, applicant’s institution, technical and administrative points of contact (POCs), proposed title, topic(s) of interest addressed, and estimated total cost of the project.

Summary (about 100 words): A summary of the proposed effort. Proposed public benefit must be expressly addressed.

Technical Concept (about 300 words): A description of the proposed effort and how it advances the security cooperation or irregular warfare mission. The project idea, technical rationale, and approach must identify a problem(s), arguments to substantiate the claims made, and proposed approach to contribute to the security cooperation or irregular warfare knowledge base. The

Applicant’s capacities must be discussed as they relate to achieving success in the project, to include effective program evaluation and sustainability plans. The project must address the

Topics of Interest stated in Section I.C. and provide answers to the following:

o What does the proposed work aim to accomplish or do? If applicable, how are these goals related to and advancing any current outcomes of existing programs?

o What will the impact be if the work is successful?

o How is the project relevant to topic(s) of interest?

Rough Order of Magnitude Cost (about 50 words): White papers shall include a rough order of magnitude cost showing requested funding per year and total cost, and which suggests spending priorities to satisfy Section I.C. This includes, but is not limited to, a rough description of anticipated costs including indirect, direct, administrative, overhead, labor, travel, and sub-contracting costs.

CV Attachment(s) (The CV is not part of the one-page limit; there is a two-page limit per CV):

Each CV should be sent as a separate PDF document. CVs should include relevant experience, publications, and funding received in the area of interest, and any previous involvement and experience with DoD. List all previous DoD funding, including project titles, in the previous eight years.

The white paper and CV attachments should be emailed to dsca.dscu.grants@mail.mil with the subject line, “NFO White Paper Submission.” Applicants will be selected from the white paper submissions to be invited by the Government via email to submit a full technical application on Grants.gov for evaluation and possible award consideration.

Technical Application Content See https://www.grants.gov/web/grants/grantors/grantor-standard-language.html for information on how to complete the application using Workspace on Grants.gov. Applicants must complete the mandatory forms and any optional forms in accordance with the instructions on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document

Form (PDF), except for the Initial Work Plan, and unless otherwise specified in this announcement. The applicant must mark their application with the announcement number. A summary of what is required for a complete application is below.

Technical Application Forms

SF424 (R & R) [V5.0]

Assurances for Non-Construction Programs (SF-424B - R & R) [V1.1]

Disclosure of Lobbying Activities (SF-LLL) [V2.0]

Budget Information for Non-Construction Programs (SF-424A) [V1.0]

Project Abstract Summary [V2.0]

Project Narrative Attachment Form [V1.2]

Research & Related Budget [V3.0]

Research & Related Personal Data [V1.2]

Research & Related Senior/Key Person Profile [V3.0]

Project Narrative Format

The Project Narrative constitutes the main portion of the Technical Application. The Project Narrative appears in the Project Narrative Attachment Form, version 1.2, and is limited to 8,000 words. It is broken out as follows, and as described below:

Cover Page

Table of Contents

Technical Approach and Justification

Metrics and Evaluation

Project Schedule and Milestones

Financial Breakdown

Reports https://www.grants.gov/web/grants/grantors/grantor-standard-language.html

Current and Pending Project and Application Submissions

Principal Investigator Qualifications

Initial Work Plan (see the format provided in the appendix)

Data Management Plan

Project Narratives exceeding the word count may not be evaluated. Appendices are EXCLUDED from the

Project Narrative word count limit. While these appendices are optional, they are strongly recommended, including CVs (limited to two pages each), references/bibliography, and letters of support.

Project Narrative Content

A complete technical application must include all components in the following section, which will be the criteria for how the application will be evaluated (Section V). The application must describe the effort by the following:

Cover Page: This must include the words “Grant Application” or “Cooperative Agreement

Application,” as applicable. Using the format below, the following information must be included:

o Funding Opportunity Number: HQ003423NFOEASD17 o Title of Application o Identity of Lead Organization and complete list of sub-awardees/Consortium Members o Technical Contact (name, address, phone/fax, electronic mail address) o Administrative/Business Contact (name, address, phone/fax, electronic mail address) o Principal Investigator (name, address, phone/fax, electronic mail address) o Proposed Period of Performance (identify both the base period and any options, if included) o Total Proposed Budget

Table of Contents: A listing of the sections within the application, including corresponding page numbers.

Technical Approach and Justification: The application must consist of a clear description of the approach being proposed. The potential security cooperation or irregular warfare relevance and the focus and impact on the Topic(s) of Interest (Section I.C) must be clearly identified and explained. The application should expound on the technical concept and in particular:

o Discuss scientific and technical merits of the application o Discuss the potential to achieve the objectives of the program, including the extent to which the proposed effort would enhance current capabilities o Identify proposed efforts for improving the practice of security cooperation or irregular warfare and/or the potential of the proposed program to professionalize the security cooperation workforce critical to the DoD mission o Discuss increased or enhanced opportunities to disseminate lessons learned on security cooperation or irregular warfare

Metrics and Evaluation: Discuss how the program will be evaluated, specifically what metrics will be collected and what evaluation method(s) will be used. Metrics and evaluation components may include but not be limited to:

o Logic models or learning agenda, and program operating guidelines o Anticipated data collection and results o Data instruments as feasible

Project Schedule and Milestones: A summary of the schedule of events and milestones

Financial Breakdown: The application must include a cost proposal detailing direct labor, administrative and clerical labor, fringe benefits and indirect costs, travel, sub-awards, subcontracts, consultants, materials and supplies, recipient acquired equipment of facilities, and other direct costs.

The cost proposal is a narrative explaining and justifying budget figures in enough detail so the government can determine reasonableness. It must include all figures, calculations, and supporting documentation for determining cost allowability, allocability, and reasonableness.

Justifications for costs must be explicitly stated.

Additional information may be requested, if needed. If composite rates are used, provide the calculations used in deriving the composite rates. A Negotiated Indirect Cost Rate Agreement

(NICRA) may be required for an awardee to invoice for indirect costs. If the Offeror does not currently hold a NICRA, describe the current status of the organization’s request for such an agreement with its cognizant agency.

In accordance with 2 CFR § 200.414(f), any non-Federal entity that has never received a negotiated indirect cost rate, except for those non-Federal entities described in Appendix VII to

2 CFR § 200, may elect to charge a de minimis rate of 10% of modified total direct costs (MTDC) which may be used indefinitely.

If subject to Federal Single Audit coverage requirements, the offeror must submit the latest

Single Audit with the application.

NOTE: Failure to adequately provide detailed cost data will require the Grants Officer to contact the proposing organization for the requisite information. All Applicants are required to submit a thoroughly detailed cost breakdown. The Grants Officer must be able to determine that all proposed costs are allowable and reasonable. A detailed budget will facilitate this cost analysis.

Reports: The Applicant must acknowledge that the following reports (more information can be found in Section VII) may be required under a DoD-funded Security Cooperation research effort:

o Quarterly Reports

Interim Research Performance Progress Report (RPPR)

Interim Federal Financial Report (SF 425)

Federal Financial Report (SF 425) o Annual Reports

Annual Research Performance Progress Report

Invention Report o Final Reports

Closeout Report

Final Federal Financial Report (SF 425)

Invention Report o Property Report

Grants do not include the delivery of software, prototypes, and other hardware deliverables.

Current and Pending Project and Application Submissions: Applicants are required to provide information on all current and pending support for ongoing projects and applications, including subsequent funding in the case of continuing contracts, grants, and other assistance agreements. Concurrent submission of an application to other organizations will not prejudice its review by the DoD. Applicants shall provide the following information of any related or complementary application submissions from whatever sources (e.g., DoD, Federal, State, local or foreign government agencies, public or private foundations, industrial or other commercial organizations):

o Title of application and summary o Source and amount of funding (annual direct costs; provide contract and/or grant numbers for current contracts/grants) o Percentage effort devoted to each project o Identity of prime Applicants and complete list of sub-awards, if applicable o Technical contact (name, address, phone/fax, electronic mail address) o Administrative/business contact (name, address, phone/fax, electronic mail address) o Period of performance o The proposed project and all other projects or activities requiring a portion of time of the Project Director/Principal Investigator and other senior personnel must be included, even if they receive no salary support from the project(s) o The total award amount for the entire award period covered (including indirect costs) must be shown as well as the number of person-months or labor hours per year to be devoted to the project, regardless of source of support o State how projects are related to the proposed effort and indicate degree of overlap

Principal Investigator Qualifications: A discussion of the qualifications of the proposed Project

Director/Principal Investigator and any other key personnel. Include resumes or curricula vitae for the Project Director/Principal Investigator and other key personnel. The resumes/curricula vitae shall be attached to the application and must be limited to two (2) pages each.

Initial Work Plan: Applicants must submit an Initial Work Plan following the format in Section XI of this NFO. The Work Plan will become part of the resulting award if the application is selected to be funded. Please fill in the information for the blank portions and include all of the verbiage from these sections: Acknowledgement of Support, Review for Sensitive Information, Copies for

DSCU, and Reporting Requirements. A completed Work Plan is required for a selected application to receive funding.

Data Management Plan: The Data Management Plan will describe the data that is collected through the course of the proposed research and information on how the data will be shared, organized, and preserved. In instances where this is not possible, The Data Management Plan must explain why it is not possible or scientifically appropriate. The Data Management Plan should not exceed two pages and included under the generic “Other Attachments,” Information on the Data Management Plan can be found in DoDI 3200.12, Section 3.c. of Enclosure 3.

(https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/320012p.pdf?ver=2019-

04-30-073122-220).

Additional Information Required After Selection but Prior to Award Even if selected, awards are not final until these documents are received and approved:

https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/320012p.pdf?ver=2019-04-30-073122-220 https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/320012p.pdf?ver=2019-04-30-073122-220

Evidence of compliance with DoD Instruction 3216.02, “Protection of Human Subjects and

Adherence to Ethical Standards in DoD-Conducted and -Supported Research”

G. Funding Restrictions

Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment Per 2 CFR § 200.216, funds may not be used to procure telecommunications equipment or video surveillance services or equipment produced by:

Huawei Technologies Company

ZTE Corporation Hytera Communications Corporation

Hangzhou Hikvision Digital Technology Company

Dahua Technology Company

Any subsidiary or affiliate of such entities

Pre-Award Costs Resultant grants will not allow reimbursement of pre-Federal award costs. The DoD will only fund salary, fringe benefits and indirect costs on awards under the announcement. Funds from an award may not be used to attain fee or profit. Allowable costs are governed by 2 CFR § 200.

V. Application Review Information

A. Selection Criteria All information necessary for the review and evaluation of an application must be contained in the application itself. No other material will be provided to the panel. Applications should contain sufficient technical detail to allow for in-depth technical assessment.

An initial review of the applications will be conducted to ensure compliance with the requirements of this NFO. Failure to comply with the requirements of the NFO may result in an application receiving no further consideration for award.

For both white papers and technical applications, per the Department of Defense Grant and Agreement

Regulations (DoDGARs), all competitive research and development awards must use, at a minimum, the following principal selection criteria:

Technical merits of the proposed research and development:

o Feasibility: The proposed research can be completed given the time and resources available.

o Methodology: The proposed approach to data collection, case selection, and analysis provides robust theoretical power (quantitative or qualitative).

Potential relationship of the proposed research and development to Department of Defense missions.

o Purpose: The proposed research seeks to fill a high-priority knowledge gap in security cooperation.

o Clarity: The narrative clarity of the proposed research indicates a link to DoD missions.

If offered, voluntary cost sharing may be considered as a demonstration of an offeror’s commitment to their proposed project. Any proposed cost sharing becomes a binding term of any award. Washington

Headquarters Services Acquisition Directorate (WHS/AD) reserves the right to request and require additional supporting information and documentation after it makes the selection determination.

WHS/AD reserves the right to remove Applicants from award consideration if the parties fail to reach agreement on award terms, conditions, or cost/price within a reasonable time; or if the Applicants fail to provide requested or required additional information in a timely manner.

B. Review and Selection Process Each application will be reviewed based on the selection criteria rather than against other applications submitted under this Announcement.

Applicants are advised that employees of commercial firms under contract to the government may be used to administratively process applications. By submitting an application, an applicant consents to allowing access to its application(s) by support contractors. These support contracts include nondisclosure agreements prohibiting their contractor employees from disclosing any information submitted by applicants.

In addition to the technical/program review, the DoD does a budget review and a risk review as directed by 2 CFR 200.206, including a review of the Federal Awardee Performance and Integrity Information

System (FAPIIS). Applicants may review information in FAPIIS and comment on any information entered into that system. Comments made by applicants will be taken into account in addition to other information in considering applicants’ integrity, business ethics, and record of performance.

At the time of application, there is no additional material to be submitted for this review. However, there may be additional requests for clarification as these reviews progress.

Options: The Government will evaluate options for award purposes by adding the total cost for all options to the total cost for the basic requirement. Evaluation of options will not obligate the

Government to exercise the options during grant performance. The Government may elect to divide any resulting grant award into option periods or may elect to combine proposed option periods at the discretion of the Government.

Evaluation Panel: Technical details and budgets submitted under this NFO will be protected from unauthorized disclosure. The cognizant Program Officer and other Government subject matter experts will perform the evaluation of technical applications. Restrictive notices notwithstanding, one or more support contractors may be utilized as subject matter expert technical consultants. Each support contractor employee that has access to technical and cost applications submitted in response to this NFO will be required to sign a nondisclosure statement prior to receipt of any application submissions.

Note that collaborative applications will be evaluated and selected for funding based on the strength of both applications in combination. As such, the most highly rated collaborative applications will illustrate the vital nature of the collaboration and its likelihood to contribute to more novel and potentially impactful work than could be achieved by a single investigator.

C. Anticipated Announcement and Federal Award Dates Decisions are expected to be announced via email. Award dates will vary based on the projects themselves.

VI. Federal Award Administration Information

A. Award Notices The Applicant whose application is recommended for award may be contacted by a Grants Officer or his/her representative.

The notification e-mail regarding a selection is not authorization to commit or expend DoD funds. A DoD grants officer is the only person authorized to obligate and approve the use of Federal funds. This authorization is in the form of a signed Notice of Award. Applicants whose applications are recommended will be contacted by a DoD grants officer to discuss any additional information required for award. This may include representations and certifications, revised budgets or budget explanations, or other information as applicable to the proposed award. The award start date will be determined at this time.

Applicants who did not receive an award are not entitled to a de-brief.

B. Administrative and National Policy Requirements Each award under this announcement will be governed by the general award terms and conditions in effect at the time of the award that conform to the DoD’s implementation of OMB guidance applicable to financial assistance in 2 CFR § 200, “Uniform Administrative

Requirements, Cost Principles, and Audit Requirements for Federal Awards.” The DoD Research and Development General Terms and Conditions (latest version, January 2023) are located at https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions.

These terms and conditions are incorporated by reference in this announcement.

The applicant must comply with all applicable national policy requirements. The key national policy requirements that may relate to an award under this NFO are included in the terms and conditions specified in https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions.

By electronically signing the SF-424, the applicant affirms its agreement with the following certification:

NP Article I. Nondiscrimination national policy requirements. (December 2014)

Section A. Cross-cutting nondiscrimination requirements. By signing this award or accepting funds under this award, you assure that you will comply with applicable provisions of the national policies prohibiting discrimination:

1. On the basis of race, color, or national origin, in Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.), as implemented by Department of Defense (DoD) regulations at 32 CFR § 195.

2. On the basis of gender, blindness, or visual impairment, in Title IX of the Education Amendments of

1972 (20 U.S.C. 1681 et seq.), as implemented by DoD regulations at 32 CFR § 196.

3. On the basis of age, in the Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.), as implemented by

Department of Health and Human Services regulations at 45 CFR § 90.

https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions https://www.nre.navy.mil/work-with-us/manage-your-award/manage-grant-award/grants-terms-conditions https://www.govinfo.gov/link/uscode/42/2000d https://www.ecfr.gov/current/title-32/part-195 https://www.govinfo.gov/link/uscode/20/1681 https://www.ecfr.gov/current/title-32/part-196 https://www.govinfo.gov/link/uscode/42/6101 https://www.ecfr.gov/current/title-45/part-90

4. On the basis of disability, in the Rehabilitation Act of 1973 (29 U.S.C. 794), as implemented by

Department of Justice regulations at 28 CFR § 41 and DoD regulations at 32 CFR § 56.

5. On the basis of disability in the Architectural Barriers Act of 1968 (42 U.S.C. 4151 et seq.) related to physically handicapped persons' ready access to, and use of, buildings and facilities for which Federal funds are used in design, construction, or alteration.

Section B. [Reserved]

Appendix B to Part 1122—Terms and Conditions for NP Article II, “Environmental National Policy

Requirements”

NP Article II. Environmental national policy requirements. (December 2014)

Section A. Cross-cutting environmental requirements. You must:

1. You must comply with all applicable Federal environmental laws and regulations. The laws and regulations identified in this section are not intended to be a complete list.

2. Comply with applicable provisions of the Clean Air Act (42 U.S.C. 7401, et seq.) and Clean Water Act

(33 U.S.C. 1251, et seq.).

3. Comply with applicable provisions of the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821–

4846), as implemented by the Department of Housing and Urban Development at 24 CFR § 35. The requirements concern lead-based paint in buildings owned by the Federal Government or housing receiving Federal assistance.

4. Immediately identify to us, as the Federal awarding agency, any potential impact that you find this award may have on:

a. The quality of the “human environment”, as defined in 40 CFR 1508.14, including wetlands; and provide any help we may need to comply with the National Environmental Policy Act (NEPA, at 42 U.S.C.

4321 et seq.), the regulations at 40 CFR 1500–1508, and E.O. 12114, if applicable; and assist us to prepare Environmental Impact Statements or other environmental documentation. In such cases, you may take no action that will have an environmental impact (e.g., physical disturbance of a site such as breaking of ground) or limit the choice of reasonable alternatives to the proposed action until we provide written notification of Federal compliance with NEPA or E.O. 12114.

b. Flood-prone areas and provide any help we may need to comply with the National Flood Insurance

Act of 1968, as amended by the Flood Disaster Protection Act of 1973 (42 U.S.C. 4001 et seq.), which require flood insurance, when available, for federally assisted construction or acquisition in flood-prone areas.

c. A land or water use or natural resource of a coastal zone that is part of a federally approved State coastal zone management plan and provide any help we may need to comply with the Coastal Zone

Management Act of 1972 (16 U.S.C. 1451, et seq.) including preparation of a Federal agency Coastal

Consistency Determination.

https://www.govinfo.gov/link/uscode/29/794 https://www.ecfr.gov/current/title-28/part-41 https://www.ecfr.gov/current/title-32/part-56 https://www.govinfo.gov/link/uscode/42/4151 https://www.ecfr.gov/current/title-2/part-1122/appendix-Appendix%20B%20to%20Part%201122 https://www.ecfr.gov/current/title-2/part-1122/appendix-Appendix%20B%20to%20Part%201122 https://www.govinfo.gov/link/uscode/42/7401 https://www.govinfo.gov/link/uscode/33/1251 https://www.govinfo.gov/link/uscode/42/4821 https://www.ecfr.gov/current/title-24/part-35 https://www.ecfr.gov/current/title-40/section-1508.14 https://www.govinfo.gov/link/uscode/42/4321 https://www.govinfo.gov/link/uscode/42/4321 https://www.ecfr.gov/current/title-40/part-1500…