H08 DSCU NFO HQ003423NFOEASD17 20240528.pdf

NOTICE OF FUNDING OPPORTUNITY

DEPARTMENT OF DEFENSE

DEFENSE SECURITY COOPERATION UNIVERSITY – RESEARCH GRANTS

ANNOUNCEMENT TYPE: Initial Announcement

FUNDING OPPORTUNITY NUMBER: HQ003423NFOEASD17

ASSISTANCE LISTING: 12.024 Defense Security Cooperation University -

Research Grants

KEY DATES: This NFO is a continuously open announcement.

Amendments to this Notice of Funding Opportunity

(NFO) will be posted to Grants.gov if they occur. Select white paper submissions will be invited to submit a full application.

CONTENTS

I. PROGRAM DESCRIPTION

A. BACKGROUND

B. FUNDING PRIORITIES

C. AUTHORIZATION

II. FEDERAL AWARD INFORMATION

A. TYPE OF INSTRUMENT

B. ESTIMATED PROGRAM FUNDING

C. ANTICIPATED NUMBER OF AWARDS

D. OTHER

III. ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

B. COST SHARING OR MATCHING

C. CONFLICT OF INTEREST

D. PROTECTION OF HUMAN SUBJECTS

IV. APPLICATION AND SUBMISSION INFORMATION

A. APPLICATION PROCEDURES AND REQUIREMENTS

B. SUBMISSION DATE AND TIME

C. APPLICATION WITHDRAWAL

D. WHITE PAPERS (STAGE ONE)

1. WHITE PAPER PACKAGE REQUIREMENTS

2. WHITE PAPER SUBMISSION

E. TECHNICAL APPLICATION (STAGE TWO)

1. TECHNICAL APPLICATION PACKAGE REQUIREMENTS

2. TECHNICAL APPLICATION SUBMISSION

3. PROJECT NARRATIVE FILE

4. INITIAL WORK PLAN

5. BUDGET JUSTIFICATION

V. APPLICATION REVIEW INFORMATION

A. SELECTION CRITERIA

B. REVIEW AND SELECTION PROCESS

VI. REPORTING REQUIREMENTS

A. PERFORMANCE REPORTING

B. FINANCIAL REPORTING

C. AUDIT REPORTS

D. PROPERTY REPORTS

E. DOCUMENT SUBMISSION

VII. FEDERAL AWARD ADMINISTRATION INFORMATION

A. FEDERAL AWARD NOTICES

B. NATIONAL POLICY (NP) REQUIREMENTS

VIII. OTHER ADMINISTRATIVE REQUIREMENTS

IX. FEDERAL CONTACTS

X. OTHER INFORMATION

A. SECURITY AND SAFEGUARDING INFORMATION

B. FUNDING RESTRICTIONS

XI. APPENDIX

A. LIST OF ACRONYMS

I. PROGRAM DESCRIPTION

The Defense Security Cooperation Agency’s (DSCA) Defense Security Cooperation

University (DSCU) promotes access to and production of knowledge on security cooperation.

Security cooperation refers to “all Department of Defense (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; see also 10 USC § 16, “Security Cooperation”).

Evidence-, theory, and data-building activities that contribute to the body of knowledge on security cooperation or irregular warfare, and that result in lessons that can be applied to practice, are the primary focus of this NFO. Research products sponsored through this NFO must be unclassified and publicly accessible. DSCU expects awardees to participate in conferences, seminars, focus groups and events, and to make final research products and supporting data (if applicable) easily accessible to the public, in order to enhance dissemination of research findings and facilitate application of lessons learned in areas of policy, practice, and workforce professionalization.

The DSCU research grant program, conducted pursuant to 10 USC § 4001 and 10 USC §

384(g), is generally open to a broad range of researchers, although individual DSCU components may have restrictions on who may receive grants. See section III.A for more details.

In response to this NFO, interested applicants should submit a white paper using an online form linked below. Based on assessment of the white papers submitted, the Grants Officer will advise applicants whether their projects were judged competitive for a DSCU award and, if so, invite the applicant to submit a full technical application for funding consideration.

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.

A. BACKGROUND

The DSCU mission is to advance the knowledge and practice of security cooperation through the education, training, and development of the U.S. security cooperation workforce and through the education, training, and institutional capacity building of partner nations; and to produce research, analysis, and lessons learned that expand the intellectual foundations of security cooperation. DSCU components sponsor and conclude research projects that align substantively with the DoD Learning and

Evaluation Agenda for Partnerships (LEAP) framework and the DSCU Sponsored

Research goals. At DSCU, the Research and Lessons Learned Institute (RALLI) and the

Irregular Warfare Center (IWC) currently offer research grants.

B. FUNDING PRIORITIES

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/bgcy-ralli/sponsored-research

• RALLI: Applications will meet standards of scientific rigor and address the research priorities described in the DSCU Research Agenda at this link:

https://www.dscu.edu/bgcy-ralli/sponsored-research.

• IWC: Applications will be of scholarly quality and generate policy-relevant empirical or theoretical advances in our understanding of irregular warfare and gray zone competition, broadly conceived.

C. AUTHORIZATION

The authorization to make awards under this NFO may be found via Assistance Listing

12.024 at https://sam.gov/content/assistance-listings.

II. FEDERAL AWARD INFORMATION

The award made under this announcement will be governed by the general terms and conditions in effect at the time of the award that conform to DoD’s implementation of

Office of Management and Budget (OMB) guidance applicable to financial assistance in

2 CFR 200, “Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards.” Additionally, the requirements of the DoD Grant and

Agreement Regulations at 32 CFR Subchapter C are applicable to this award. These terms and conditions are incorporated by reference in this announcement.

A. TYPE OF INSTRUMENT

The Government intends to award research grants or cooperative agreements. The

Government reserves the right to award other assistance instruments, if deemed in the best interests of the Government. Grants and cooperative agreements are awarded based on funding availability and merit.

• RALLI: Grant amounts, ranging up to $800,000 per year, are set at levels considered appropriate to research scope and outcomes, and matched to agency needs and priorities. RALLI projects must be completed within 24 months unless exceptions are granted per contract with the government.

• IWC: IWC projects must be completed within 12 months (exceptions may be granted on a case-by-case basis).

DSCU may work with other Federal agencies, quasi-government agencies, university-affiliated research centers (UARCs), other government partners, or contractors to evaluate white papers and technical applications and to administer grants and cooperative agreements.

B. ESTIMATED PROGRAM FUNDING

The Federal Government (DoD) anticipates funding $21,600,000 toward multiple grants and/or cooperative agreements, distributed across five fiscal years. The anticipated federal program funding, broken out by Fiscal Year (FY), is:

https://sam.gov/content/assistance-listings

Fiscal Year FY24 FY25 FY26 FY27 FY28 Total Estimated

Amount

Federal

Contribution/

Funding

$2.7M $4.5M $4.8M $5.1M $5.5M $21.6M

Subject to the availability of funds, the total value of this effort may also be augmented by Congress or by other federal government agencies.

C. ANTICIPATED NUMBER OF AWARDS

The Government reserves the right to make multiple awards or no award as a result of this NFO. Multiple awards are anticipated.

D. OTHER

All materials created or produced under this award must include the following:

• Acknowledgment of Support and Disclaimer: The Recipient is responsible for assuring that an acknowledgment of DSCU support is made in any publication

(including World Wide Web pages) of any material based on or developed under this project, in the following terms: “This material is based upon work supported by the

Defense Security Cooperation University research program under Grant/Cooperative

Agreement No. <Insert Award No.>. The views expressed in written materials or publications, and/or made by speakers, moderators, and presenters, do not necessarily reflect the official policies of the Department of Defense nor does mention of trade names, commercial practices, or organizations imply endorsement by the U.S.

Government.”

• Review for Sensitive Information: Prior to the public release of these materials, the

Recipient is responsible for assuring that the Technical Representative is provided access to an electronic version of every publication of material based on or developed under this award, clearly labeled with the award number and other appropriate identifying information, so that the content can be assessed for proper release of sensitive information.

• Copies for DSCU: Promptly after publication, the Recipient will provide the

Technical Representative access to an electronic version of every publication of material based on or developed under this award, clearly labeled with the award number and acknowledgement of support (see above).

III. ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

• RALLI: open to individual researchers or research teams 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).

• IWC: open to individual researchers or research teams 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); and the U.S. interagency irregular warfare communities of interest.

Applicants (principal investigators) may submit only one proposal at a time. Proposed formal collaborators (co-principal investigators) or sub-recipients, however, may team on multiple proposals. Current and past awardees from this initiative, or previous versions of this initiative, are eligible to submit white papers/applications under this NFO. UARCs 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 a research teams’ commitment to their proposed project. If cost sharing is used, the source of all current and pending funding support for the proposed project must be declared (see Additional Documentation requirement in

Section IV.E “Technical Application”).

C. CONFLICT OF INTEREST

Within the white paper submission and technical application, the applicant, and any formal collaborators or sub-recipients, must disclose any potential or actual scientific, nonscientific or organizational conflict(s) of interest to the Government, including but not limited to collaborative research or funding relationships that could have a qualitative impact on the research findings. If an applicant, or any formal collaborators or sub-recipients, has an actual or potential scientific, nonscientific, or organizational conflict of interest, their application must identify the conflict of interest 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 conflict of interest.

The Government or Grants Officer reserves the right to clarify any conflict(s) of interest, if needed. At the Government and/or Grants Officer’s discretion, the

Government and/or Grants Officer may ask the applicant, and any formal collaborators or sub-recipients, for a conflict-of-interest mitigation plan after submission of the application. The mitigation plan is subject to Government and/or

Grants Officer approval. Applicants, formal collaborators or sub-recipients with conflicts of interest that are not mitigated will be ineligible for award.

D. PROTECTION OF HUMAN SUBJECTS

You must protect the rights and welfare of individuals who participate as human subjects in research under this award, and comply with the requirements of the DoD

Instruction 3216.02, Protection of Human Subjects and Adherence to Ethical

Standards in DoD-Supported Research (2020).

For proposals containing activities that include research involving human subjects as defined in DoDI 3216.02, after award, the Applicant must submit documentation as requested by a DoD Human Research Protection Official (HRPO), outlined in the

DoDI 3216.02. Research involving human subjects must not commence until a HRPO has reviewed and approved the proposed human subject research. Additional information can be found below in Section VII.B.Article III.

*NOTE: Institutional Review Board (IRB) approval isn’t required for the Technical

Application. However, upon notification of the award, applicants should start the process for IRB approval. Applicants selected for award must obtain an approved

IRB 90 days after the start of the award and submit the IRB to HRPO. This includes

IRB approved Human Research exemptions. Non-approval of an IRB will be subject to the Prohibition of Use of Human Subjects which will delay the start of the grant.

IV. APPLICATION AND SUBMISSION INFORMATION

A. APPLICATION PROCEDURES AND REQUIREMENTS

Proposals submitted shall be in accordance with this announcement. Applicants should be alert for any amendments to this NFO that may adjust submission dates or other submission requirements. All proposals must reference this announcement number. All submissions must be unclassified.

This NFO competition is implemented in two stages:

1. Applicants must submit a white paper. White papers are a MANDATORY component of a two-part submission process.

2. Based on assessment of the white paper, the Grants Officer will invite selected applicants to submit a technical application. Technical applicants will be evaluated in accordance with the evaluation criteria stated herein (see Section

V.A)

The Government reminds applicants that only warranted Grants Officers can bind or otherwise commit contractually the Government. The cost of preparing proposals in response to this announcement is not an allowable direct charge to any resulting agreement (or any other federal award/contract).

B. SUBMISSION DATE AND TIME

IWC and RALLI consider white papers on a rolling basis. Those applicants that are invited to submit technical applications will be designated a deadline for submission of the technical application. Technical applications submitted after the posted deadline may not be evaluated for funding consideration.

Applicants are responsible for submitting their technical applications in sufficient time to allow them to reach Grants.gov by the date and time specified as the deadline for receipt. It is strongly recommended that applications be uploaded at least two days before the closing date and time. This will help avoid problems caused by high system usage or any potential technical and/or input problems involving the applicant’s own equipment. It will also allow any application errors detected by

Grants.gov to be corrected in time for the application to be resubmitted. If the application is received by Grants.gov after the exact time and date specified as the deadline for receipt, it will be considered “late” and may not be considered for review.

C. 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.

D. WHITE PAPERS (STAGE ONE)

1. WHITE PAPER PACKAGE REQUIREMENTS

White papers should include technical information, summary, research concept, methodology, proposed budget, and researcher bio(s), as described below. Please limit Summary to 100 words, and limit word count for Research Concept, Methodology and Budget prompts to 500 words total.

• Project Information: The project title; name, position and organizational affiliation (if applicable) of applicant (principal investigator) and of any formal collaborators (co-principal investigators) and sub-recipients;

administrative points of contact (POCs); topic(s) of interest addressed; and estimated total cost of the project. Note: Proposals may name only one principal investigator (who must be the applicant) as the responsible technical point of contact.

• Summary: A summary of the proposed research project that articulates the merits of the effort. Proposed application to the practice of security cooperation or irregular warfare must be expressly addressed.

• Research Concept: A description of the proposed research effort and the logic for how it advances the security cooperation or irregular warfare mission. The capacities of the applicant, and of any formal collaborators or sub-recipients, must be discussed as they relate to achieving success in the project. The narrative should provide answers to the following:

o What is the research question? What hypothesis is/hypotheses are being tested? For major data-collection efforts, what research questions will this new data allow us to answer?

o What is the state of existing debate in the literature?

o What does the proposed work aim to contribute to the practice of security cooperation or irregular warfare?

• Methodology: Articulate the proposed tools to collect, analyze, and report data in the proposed project. Provide a brief description of the logic behind each method and data type. Include a brief argument that demonstrates the feasibility of the project, taking into consideration logistics, access to data and individuals, and other required resources.

• Proposed Budget: Include a budget estimate showing the annual requested funding and total project cost. Please include a brief description of anticipated costs, including direct, indirect, administrative, overhead, salary, travel, and sub-contracting costs. Include enough detail to demonstrate how each line item will support the research effort.

• Researcher Bios: Bio(s) for applicant and any formal collaborators should state relevant experience, publications, and funding received in the area of interest, and any previous involvement and experience with DoD. List all previous Federal funding received during the past eight years including project titles and funding sources.

• Conflict of Interest: The applicant, and any formal collaborators or sub-recipients, must disclose any potential or actual scientific, nonscientific or organizational conflict(s) of interest to the Government. For more details see Section III.C above.

The white paper should provide sufficient information on the research being proposed to allow for an assessment by a subject matter expert.

2. WHITE PAPER SUBMISSION

White papers must NOT be submitted through Grants.gov but via an online form

(RALLI: https://forms.osi.apps.mil/r/BcHgNy3QFe, IWC:

https://forms.osi.apps.mil/r/WC4TCJghdJ). Applicants receive an e-mail confirmation upon submission.

Documents found to be noncompliant with the requirements described below will not be reviewed. After evaluation of the white paper, the Grants Officer notifies applicants via email if their project merits an invitation to submit a full technical application on Grants.gov for further evaluation and possible award consideration.

E. TECHNICAL APPLICATION (STAGE TWO)

1. TECHNICAL APPLICATION PACKAGE REQUIREMENTS

https://forms.osi.apps.mil/r/BcHgNy3QFe https://forms.osi.apps.mil/r/WC4TCJghdJ

The following forms and attachments are required for the Technical Application submission:

• Application for Federal Assistance (SF424 - R & R) [V5.0]

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

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

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

• Project Abstract [V1.2]

• Project Narrative Attachment Form [V1.2] (see instructions below)

• Research & Related Budget [V3.0] o Budget Justification (see instructions below)

• Research and Related Personal Data [V1.2]

• Research and Related Senior/Key Person Profile [V1.2]

• Initial Work Plan (see instructions below)

See below for further instructions.

2. TECHNICAL APPLICATION SUBMISSION

Technical applications must be submitted through Grants.gov. Helpful instructions can be found at https://www.grants.gov/applicants. Applicants who are not registered with SAM and Grant.gov should allow at least 21 days for completing these requirements. The process should be started as soon as possible. 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. The electronic file name for all documents submitted under this

NFO must not exceed 68 characters in length, including the file name extension.

Applicants or their organizations must have a Unique Entity Identifier (UEI), active

System for Award Management (SAM) registration, and Grants.gov account to apply for grants and cooperative agreements. The Government may not make a Federal award until the applicant has complied with all unique entity identifier and SAM requirements and, if an applicant has not fully complied with the requirements by the time the Federal awarding agency is ready to make a Federal award, the Federal awarding agency may determine that the applicant is not qualified to receive a

Federal award and use that determination as a basis for making a Federal award to another applicant.

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, you are still required to submit any documentation, including the SF-LLL Disclosure of

Lobbying Activities (if applicable), and informing DoD of unpaid delinquent tax liability or a felony conviction under any Federal law. Any attachment containing additional certifications should be prefaced by the following statement: “By checking

“I Agree” on the SF-424 Block 21 you agree to abide by the following statement: “By signing this application, I certify (1) to the statements contained in the list of certifications and (2) that the statements herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U.S. Code, Title 218, Section 1001)”

3. PROJECT NARRATIVE FILE

The Project Narrative File is a document consisting of the following items:

Project Narrative

Component Item

Page

Limit

Project Narrative

Content

Cover Page 1

Table of Contents 1

Executive Summary 1

Research Concept and Justification 4

Methodology 3

Budget Narrative 2

Researcher Qualifications 1

Data Management Plan (As Needed) 2

Additional

Documentation

Letters of Support (Optional) None

Conflicts of Interest Disclosures None

Current and Pending Projects and Applications (As Needed) None

Responsibility 2

Researcher Curriculum Vitae/Resume 2 (per

CV)

Project Narratives Files with items that exceed the specified page limits may not be evaluated.

Formatting Requirements:

• Line spacing: 1.5 or double-spaced lines are acceptable. Single-spaced documents will not be accepted.

• Font: Minimum font size is 12-point. Times New Roman, preferred.

• Tables/Figures: 10-point fonts may be used for tables/figures and captions.

The Project Narrative File should be submitted through the Project Narrative

Attachment Form as one PDF file with the Project Narrative Content items followed by the Additional Documentation items.

Project Narrative Content

A complete application requires all below components to be evaluated, unless explicitly specified “As Needed”:

a) Cover Page – This must include the words “Grant Application” or

“Cooperative Agreement Application.” Using the format below, the following information must be included:

• Funding opportunity number: HQ003423NFOEASD17;

• Title of application;

• Applicant/Principal Investigator contact:name, title and organizational affiliation, address, phone, email address). Note: Proposals may name only one principal investigator (who must be the applicant) as the responsible technical point of contact.

• Formal Collaborators/Co-Principal Investigators contact (name, title and organizational affiliation, address, phone, email address), if applicable.

• Administrative/business contact (name, address, phone, email address);

• Proposed period of performance (identify both the base period and any options, if included); and

• Total proposed budget.

b) Table of Contents – A listing of the sections within the application, including corresponding page numbers.

c) Executive Summary – An Executive Summary is requested and may be constructed in any manner in which the applicant feels summarizes the entire

d) Research Concept and Justification – The application must consist of a clear description of the research effort being proposed. The potential security cooperation or irregular warfare relevance and the focus and impact on the

Topic(s) of Interest (Section I.A.) must be clearly identified and explained. The application should expound on the research concept and in particular:

• Identify the research question and the hypotheses that will be tested. For major data-collection efforts, what research questions will this new data allow us to answer?

• Discuss scientific merits of the application, including a review of literature and the scientific knowledge gap the project fills.

• Identify implications of the research for the practice of security cooperation or irregular warfare.

e) Methodology – Discuss how research questions, hypotheses, and evidence will be evaluated, specifically what metrics will be collected and what evaluation method(s) will be used, including (but not limited to):

o The method for theory and hypothesis development o The method for hypothesis testing (including data collection)

f) Budget Narrative – A narrative summary of the cost proposal, as detailed in the Research & Related Budget form and its Budget Justification attachment. The budget narrative should cover, as appropriate, direct labor/salary support, administrative and clerical support, fringe benefits and indirect costs, travel, sub-awards, subcontracts, consultants, materials and supplies, recipient acquired equipment of facilities, and other direct costs. See the “Budget Justification” section below for further details.

g) Researcher Qualifications– A discussion of the qualifications of the applicant, and any formal collaborators or sub-recipients, for the proposed research. Past performance with federal awards may be discussed here. As part of its application evaluation and review process, the Government will consult the past performance information available in systems such as the Federal Awardee

Performance and Integrity Information System (FAPIIS), the Contractor

Performance Assessment Reporting System (CPARS), and the System for Award

Management (SAM)’s Responsibility and Qualification database.

h) Data Management Plan (As Needed) – 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. Information on the Data Management Plan can be found in DoDI 3200.12, Section 3.c. of Enclosure 3.

Additional Documentation

A complete application also requires the components listed below, unless specified

“Optional” or “As Needed”:

a) Letter(s) of Support (Optional) – Letters of support should be printed on organizational letterhead, offering supporting commitment to the project by appropriate representatives. Commitment may include (but is not limited to) funding, technical advisement, and organizational or infrastructure support. The letter(s) can include any, and all commitments and investments made by the representative towards the applicant or formal collaborators.

b) Conflicts of Interest Disclosures – The applicant, and any formal collaborators or sub-recipients, must disclose any potential or actual scientific, nonscientific or organizational conflict(s) of interest to the Government. For more details see Section III.C above.

c) Current and Pending Projects and Applications (As Needed) – The applicant and any formal collaborators, are required to provide information on all past, current, pending and requested support for ongoing and proposed projects, including for the project proposed in this application. (Note: concurrent submission of an application to other organizations will not prejudice its review by the DoD). This information is required for any projects requiring a portion of time of the applicant and any formal collaborator, even if they receive no salary support from the project(s).

For the project proposed in this application, applicants shall provide the following information if there is past, current, pending or requested support from any source

(e.g., DoD, Federal, State, local or foreign government agencies, public or private foundations, industrial or other commercial organizations):

• Source of funding and the amount of funding received, pending and proposed (provide contract and/or grant or assistance agreement numbers for current contracts and/or grants/assistance agreements).

For other ongoing and proposed project with past, current, pending or requested support from any source, applicants shall provide the following information:

• Name of the researcher (from this application) who is/will be working on the other project

• Title of the project and one-paragraph summary;

• Source of funding and the amount of funding received, pending and proposed (provide contract and/or grant or assistance agreement numbers for current contracts and/or grants/assistance agreements);

• Percentage of research time devoted/expected to be devoted to the project, and the (month/year) time period of the project;

• State how the other project is related to the proposed research project and indicate degree of overlap;

• Contact information for the principal investigator on the project (name, address, phone, email address);

• Administrative/business contact (name, address, phone, email address).

d) Responsibility – Applicants must provide the following information to the

DoD to assist in the DoD’s evaluation of the applicant’s responsibility:

• Describe how you have adequate resources or the ability to obtain such capability as required to complete the activities proposed;

• Describe how you have the ability to comply with the agreement conditions, taking into account all existing and currently prospective commitments of the applicant, nongovernmental and governmental;

• Describe your performance history; specifically, your record in managing

Federal awards and the extent to which any previously awarded amounts will be expended prior to future awards;

• Describe your record of integrity and business ethics;

• Describe qualifications and eligibility to receive an award under applicable laws and regulations; and

• Describe your organization, experience, accounting, and operational controls and technical skills, or the ability to obtain them (including as appropriate such elements as property control systems, quality assurance measures, and safety programs applicable to the services to be performed).

e) Researcher Curriculum Vitae/ Resume –The curriculum vitae/resume for the applicant and any formal collaborators shall be attached to the application and must be limited to two (2) pages each.

4. INITIAL WORK PLAN

Applicants are required to submit an initial Work Plan. The Work Plan is a summary of interim and final outcomes (“milestones”) for the project (e.g., major research steps completed, written documents produced, events held) with an associated timeline. Applicants may specify the substance and timing of their milestones (after the completed Work Plan) and may include any number of interim milestones, but the Work Plan must describe at least the following three milestones:

▪ Completed Work Plan (due within 30 days after award)

▪ Initial Findings (must be completed within one year of award)

▪ Final Products

Applicants should specify, for all milestones after the completed Work Plan, what outcomes each milestone involve, the timing of each milestone, and how much funding is needed to complete each milestone. The work plan should only cover the fiscal years that are supported by the budget included in the application.

The initial Work Plan will become part of the resulting award if the application is selected to be funded. A completed Work Plan will be required for selected applications to receive funding.

In addition to producing substantive outcomes, Applicants will be required to submit a Federal Financial Report (SF 425) with each completed milestone after the completed Work Plan (see Section VI on Reporting Requirements for further information).

5. BUDGET JUSTIFICATION

A separate document should be included as an attachment to the Research and

Related Budget form that provides explanation and appropriate justification for each element of cost proposed. This document should include 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.

This document should be organized consistent with the Research and Related

Budget form so that it is clear how elements in the budget justification relate to itemizations in the Research and Related Budget form. The document shall be attached under Section L. “Budget Justification” of the Research and Related

Budget form. Click “Add Attachment” to attach.

The Research and Related Budget form and Budget Justification attachment should include direct and indirect costs, including rates and quantities. The following should be considered:

1. Direct Labor – Individual labor categories or persons, with associated labor hours and unburdened salary rates. Provide escalation rates for out years.

a. Administrative and Clerical Support– Salaries of administrative and clerical staff are normally indirect costs (and included in an indirect cost rate). Direct charging of these costs may be appropriate when a major project requires an extensive amount of administrative or clerical support significantly greater than normal and routine levels of support. Budgets proposing direct charging of administrative or clerical salaries must be supported with a budget justification which adequately describes the major project and the administrative and/or clerical work to be performed.

b. Fringe Benefits and Indirect Costs (e.g. Facilities & Administrative Costs

(F&A), Overhead, General & Administrative Costs (G&A), etc.) – The application should show the rates and calculation of the costs for each rate category. If the rates have been approved/negotiated by a government agency, provide a copy of the memorandum/agreement. If the rates have not been approved/negotiated, provide sufficient detail to enable a determination of allowability, allocability and reasonableness of the allocation bases, and how the rates are calculated. Additional information may be requested, if needed. If composite rates are used, provide the calculations used in deriving the composite rates.

c. Sub-awards/Subcontracts – Provide a description of, and detailed budget for, the work to be performed by any subrecipient/subcontractor. For each sub-award, a detailed budget, including supporting documentation, is required to be submitted by the subrecipient(s). An application and any supporting documentation must be received and reviewed before the

Government can complete its cost analysis of the application.

d. Consultants – Provide a breakdown of the consultant’s hours, the hourly rate proposed, any other proposed consultant costs, a copy of the signed

Consulting Agreement or other documentation supporting the proposed consultant rate/cost, and a copy of the consultant’s proposed statement of work if it is not already separately identified in the prime contractor’s

2. Travel – The proposed travel costs must include the following for each trip:

the purpose of the trip, origin and destination if known, approximate duration, and the number of travelers. Per the definition of travel costs at 2 CFR

200.475, travel costs are the expenses for transportation, lodging, subsistence, and related items incurred by employees who are in travel status on official business of the non-Federal entity. Such costs may be charged on an actual cost basis, on a per diem or mileage basis in lieu of actual costs incurred, or on a combination of the two, provided the method used is applied to an entire trip and not to selected days of the trip, and results in charges consistent with those normally allowed in like circumstances in the non-Federal entity's non-federally-funded activities and in accordance with non-Federal entity's written travel reimbursement policies. All awards made under this NFO are required to conform with the requirements laid out in 2 CFR 200.475, which includes lodging and subsistence, temporary dependent care, and air travel via commercial and other than commercial carriers. In the absence of an acceptable, written non-Federal entity policy regarding travel costs, the rates and amounts established under 5 U.S.C. 5701–11, (“Travel and Subsistence

Expenses; Mileage Allowances”), or by the Administrator of General

Services, or by the President (or his or her designee) pursuant to any provisions of such subchapter must apply to travel under Federal awards (48

CFR 31.205–46(a)).

3. Materials & Supplies – Provide an itemized list of all proposed materials and supplies including quantities, unit prices, and the basis for the estimate (e.g., quotes, prior purchases, catalog price lists).

4. Recipient Acquired Equipment or Facilities – Equipment and/or facilities are normally furnished by the Recipient. If acquisition of equipment and/or facilities is proposed, a justification for the purchase of the items must be provided. Provide an itemized list of all equipment and/or facilities costs and the basis for the estimate (e.g., quotes, prior purchases, catalog price lists).

Allowable items normally are limited to research equipment not already available for the project. General purpose equipment (i.e., equipment not used exclusively for research, scientific or other technical activities, such as personal computers, laptops, office equipment) should not be requested unless they will be used primarily or exclusively for the project. For computer/laptop purchases and other general-purpose equipment, if proposed, include a statement indicating how each item of equipment will be integrated into the program or used as an integral part of the research effort.

5. Other Direct Costs – Provide an itemized list of all other proposed other direct costs such as Graduate Assistant tuition, laboratory fees, report and publication costs, and the basis for the estimate (e.g., quotes, prior purchases, catalog price lists).

6. Fee/Profit – Fee/profit is unallowable under assistance agreements at either the prime or sub-award level but may be permitted on subcontracts issued by the prime awardee.

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 in order for an awardee to invoice for indirect costs. If the applicant does not currently hold a NICRA, describe the current status of the organization’s request for such an agreement with its cognizant agency.

According to IAW 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 applicant 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.

V. APPLICATION REVIEW INFORMATION

A. SELECTION CRITERIA

White papers and technical applications will be evaluated under the following criteria:

Principal Criteria

• Technical merits of the proposed research: The proposed approach to research, including theory development, data collection and analysis, as applicable, is rigorous and appropriate to the research question.

• Relevance of the proposed research: The proposed research seeks to fill a high-priority knowledge gap in security cooperation or irregular warfare

• Feasibility of the proposed research: The proposed research can be completed given the qualifications of, time commitment by, and resources available to applicant and any formal collaborators or sub-recipients.

Other Criteria

• Cost sharing by the research team: The extent to which the recipient proposes to share in the cost of the project

The Principal Criteria are of equal importance and are more important than Other

Criteria. Other Criteria are of equal importance to each other.

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.

An award under this NFO will be made on the basis of the evaluation criteria listed above. Be advised that as funds are limited, otherwise meritorious applications may not be funded.

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 using merit-based 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.

Note: 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 agreement allows for the inclusion and exercise of options via a modification to the agreement and may allow for award and concurrent execution of the exercised option-effort alongside ongoing efforts.

Evaluation Panel: Technical details and budgets submitted under this NFO will be protected from unauthorized disclosure. The cognizant Government Program Officer and other Government subject matter experts will perform the evaluation of white papers and technical applications. 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. Restrictive notices notwithstanding, one or more support contractors may be utilized as subject matter experts providing technical support but will not participate in the evaluation of proposals. 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.

VI. REPORTING REQUIREMENTS

A. PERFORMANCE REPORTING

Performance reporting is required to be submitted with each milestone listed in the

Applicant’s Work Plan. The Grants Officer will notify grantees of their specific reporting requirements upon receipt of their awards.

B. FINANCIAL REPORTING

1. Federal Financial Report (SF 425). A Federal Financial Report (SF 425) is required to be submitted with each milestone listed in the Applicant’s Work Plan

(except for with the completed Work Plan) and must include in the remarks the location of financial records and a point of contact for the Government to obtain access to the financial records associated with this agreement. In the event that more than one milestone falls within the same financial quarter, only one Federal

Financial Report will be required for that quarter. The Grants Officer will notify grantees of their specific reporting requirements upon receipt of their awards.

C. AUDIT REPORTS

The Recipient shall ensure that if an independent auditor is used for this award, copies of any audits conducted shall be provided to the Government. At a minimum, the following should be provided a certified statement from the independent auditor evidencing that Recipient has complied with all requirements of this agreement. Upon completion or termination of this Grant, the Recipient shall provide a list of all audits conducted which reviewed expenditures under this Assistance Award.

D. PROPERTY REPORTS

The recipient shall submit annual inventory listing to all equipment in excess of

$5,000 acquired under this Assistance Award.

E. DOCUMENT SUBMISSION

All reporting requirements above shall be sent via email to the Government Technical

Program Point of Contact.

The terms and conditions of the award will provide the specifics on how to submit the reports and any required sections for those reports.

VII. FEDERAL AWARD ADMINISTRATION INFORMATION

A. FEDERAL AWARD NOTICES

The government will notify the recipient of the award via email. 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. After selection but prior to award, the government may request additional information. 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 after successfully coordinating all pre-award requirements.

B. NATIONAL POLICY (NP) REQUIREMENTS

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 part 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 part 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 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 part 41 and DoD regulations at 32 CFR part 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]

NP Article II. Environmental National Policy Requirements. (December 2014)

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

1. Comply with…