NOFO Responsible Approaches to AI.docx

U.S. DEPARTMENT OF STATE

BUREAU OF CYBERSPACE AND DIGITAL POLICY (CDP)

Notice of Funding Opportunity (NOFO): Building Capacity for Responsible, Inclusive, and Rights-Respecting Approaches to AI

This is the announcement of funding opportunity number DFOP0016683

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

Type of Solicitation: Open Competition

Deadline for Applications: 11:59 PM EDT on 10 August 2024

Total Funding: $3,000,000.00 USD

Funding Type : FY23 Countering PRC Influence Fund (CPIF) Economic Support Fund (ESF)

FADR Data Element: Global/E.G. 8.2

Anticipated Number of Awards: 1

Type of Award: Cooperative Agreement

Period of Performance: 36 months

Anticipated Time to Award: August 2024

Deadline for Questions: 11:59 PM EST on 11 July 2024

Eligibility Category:

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

· Public International Organizations (PIOs) or Foreign Public Entities (FPE)

· Foreign-based non-profit organizations/nongovernment organizations (NGO)

· For-profit organizations or businesses.

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

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

This notice is subject to availability of funding.

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

Pending the availability of funds, CDP anticipates awarding one [1] cooperative agreement of up to $3,000,000.00 USD. CDP reserves the right to award more or less funding or make no award as is in the best interest of the US Government.

Project implementation will be carried out globally. Target beneficiaries will be identified in collaboration with CDP.

A1. Background Recognizing the growing role of technology as a cross-cutting national security issue, the State Department created the Bureau of Cyberspace and Digital Policy (CDP) in April 2022 to lead and coordinate U.S. diplomacy on cyber and digital policy. The bureau addresses the national security challenges and economic opportunities presented by cyberspace and digital technologies and promotes standards and norms that are fair, transparent, and support the rights-respecting use of technology. Through robust engagement in multilateral organizations, bilateral diplomacy with partners round the world, and encouragement of responsible state behavior in cyberspace, CDP empowers U.S. leadership in cyber, digital, and technology diplomacy.

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

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

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

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

This program seeks to further advance programming, diplomatic efforts, and other initiatives related to the U.S. International Cyberspace and Digital Policy Strategy: Towards an Innovative, Secure, and Rights-Respecting Digital Future; Executive Order 14110 on the “Safe, Secure, and Trustworthy Development and Use of Artificial Intelligence”; the NIST AI Risk Management Framework; and the United Nations (UN) General Assembly resolution on “Seizing the Opportunities of Safe, Secure and Trustworthy Artificial Intelligence Systems for Sustainable Development.”

The project seeks to support engagement with target / priority countries in, at, and around UN fora and events to support responsible, inclusive, and rights-respecting development, deployment, use, and governance of AI technologies. The project will seek to leverage existing work underway in the UN system and with partner countries, including but not limited to UNESCO’s Recommendation on the Ethics of AI, Readiness Assessment Methodology (RAM), and Ethical Impact Assessment (EIA); Office of the United Nations High Commissioner for Human Rights (OHCHR) initiatives such as B-Tech; International Telecommunication Union’s (ITU) AI for Good Global Summit; United Nations Development Programme’s (UNDP) readiness assessment initiative; and USAID’s activities on AI capacity building, including support for the Global Index on Responsible AI. As the UN system increasingly becomes engaged in AI discussions, including through the Global Digital Compact and the Secretary General's High-Level Advisory Body on AI, US leadership is important to support these initiatives across the UN system, including at UN specialized agencies who will be key players in these discussions.

By working with and alongside UN institutions’ existing activities intended to support developing countries in their national approaches to AI, including by developing countries’ governments, civil society, private sector, academia, and marginalized groups, the United States can promote safe, secure, and trustworthy AI development, use, and governance approaches. As a guiding approach, the project will use and build on the NetMundial+20 Multistakeholder statement, including its principles and implementation guidance for the promotion of multistakeholder approaches to the governance of technology and engagement in digital policy processes.

A2. Strategic Program Goals and Objectives This project should contribute to the following CDP strategic goals and objectives outlined in the Functional Bureau Strategy, and four DCCP Pillars.

CDP Strategic Goals and Objectives:

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

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

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

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

Objective 1.4: Increase secure and open digital connectivity and access to the Internet.

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

Bureau Goal 2: Integrate and elevate U.S. cyberspace and digital foreign policy through robust communication and collaboration with other elements of the Department and Interagency.

· Objective 2.1: Integrate cyberspace and digital policy knowledge, skills, and strategies throughout the Department of State.

· Objective 2.2: Elevate the State Department’s role within the Interagency to develop and implement U.S. cyberspace and digital foreign policy, assistance, and messaging.

DCCP Pillars:

Pillar 1: Build Connections by promoting investments in secure, diverse, and resilient ICT infrastructure.

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

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

Pillar 4: Enhance Cybersecurity by increasing adoption and implementation of cybersecurity best practices.

A3. Project Goals, Objectives, Expected Outcomes, Activities, Indicators, and Sustainability The section below identifies the project goals and objective and details how the project will achieve its objectives through activities designed to achieve specific outcomes in accordance with overarching program (CDP and DCCP) strategic goals and objectives. In awarding funds for this project, CDP expects that the activities and milestones listed below will be accomplished within the project’s period of performance.

This project should be designed to achieve the following high-level goal: Demonstrate visible U.S. leadership on AI at United Nations institutions and improve partner country awareness of and support for safe, secure, and trustworthy artificial intelligence systems as articulated in Executive Order 14110.

Project Objective 1: Build capacity and expertise of foreign government officials to promote safe, secure, and trustworthy AI systems, and develop responsible national AI policies, regulations, legislation, and best practices through increased U.S. engagement at or alongside UN events or convenings.

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

· Increased U.S. presence and influence at and/or alongside global and regional UN convenings related to AI to ensure that U.S. perspectives are adequately incorporated.

· Development or improvement of responsible national AI policies and governance consistent with respect for human rights and multistakeholder approaches to AI governance. This is expected to also prepare government officials to substantively engage in UN discussions on AI issues.

Activities:

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

· Partner with, enhance, leverage, and/or complement UN entities’ AI capacity building and training for governments, civil society, private sector, and other stakeholders.

· Organize workshops and other trainings during or on the margins of relevant UN events, fora, and/or digital policy processes, such as the Internet Governance Forum, processes related to the World Summit on the Information Society, and other specialized or regional UN events or fora, potentially including but not limited to UNESCO, ITU, UNDP, UNESCAP, etc.

· Organize diplomatic exchanges, workshops, webinars, and conferences offering technical assistance to developing countries’ governments on devising responsible national AI policies, practices, legislation, regulations, and best practices and empowering stakeholders from civil society, academia, the private sector, and marginalized groups to meaningfully engage in these discussions.

Project activities can be directed broadly but should benefit at least between two and four targeted/ priority governments per region (WHA, EUR, SCA, EAP, AF, and NEA). CDP will work with the implementer to identify priority / targeted governments.

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

· provide advisory support on policies, best practices, and education to promote the responsible development, use, and oversight of safe, secure, and trustworthy AI.

· organize training with U.S. government and U.S.-based experts on the NIST AI Risk Management Framework and other relevant risk management practices, including rights-respecting AI risk management practices developed by the U.S. Department of State, to improve countries’ domestic AI risk management capacity.

· provide assistance on trusted infrastructure options and supporting UN entities to more effectively endorse the enabling environment in partner countries.

· build durable partnerships involving universities and research institutions.

· promote rules, regulations, best practices, and protections for intellectual property rights

· conduct human rights assessments related to the use of AI tools and systems.

· Organize a series of workshops for governments to discuss responsible AI development in terms of implementation of UNESCO’s Recommendation on the Ethics of Artificial Intelligence, the Readiness Assessment Methodology (RAM) and / or Ethical Impact Assessment (EIA) in ways consistent with U.S. policy preferences. Showcase USG efforts on promoting rights-based AI governance, including through AI risk management practices and build capacity of foreign government officials.

· Partner with likeminded countries, civil society groups, or UN entities to achieve program objectives.

Performance Indicators:

In addition to project-specific indicators to monitor key milestones and progress to keep the project on track, implementers will report against relevant indicators within the performance management plan CDP established under the auspices of the Digital Connectivity and Cybersecurity Program (DCCP). DCCP indicators for this project will include:

· Indicator 1: DCCP 1.8 “Number of USG supported fora held to convene key stakeholders for technical assistance or to discuss telecom/ICT or digital economy issues or best practices” (including knowledge/skills in promoting multistakeholder models of government, preparing conferences, critical and emerging tech such as AI, digital economy, digital inclusion, wireless tech, spectrum management).

· Indicator 2: DCCP 1.6 Number of people trained in telecom/ICT, digital, or cyber issues with USG support. (including knowledge/skills in promoting multistakeholder models of government, preparing conferences, critical and emerging tech such as AI, digital economy, digital inclusion, wireless tech, spectrum management)

· Indicator 3: DCCP 1.7. “Number of people trained on telecom/ICT or digital economy issues who demonstrate improved knowledge or skill” (including knowledge/skills in promoting multistakeholder models of government, preparing conferences, critical and emerging tech such as AI, digital economy, digital inclusion, wireless tech, spectrum management)

· Indicator 4: DCCP 1.5 “Number of national or sub-national telecom/ICT, internet, expansion of secure networks, digital economy strategies developed or improved with USG assistance (including critical and emerging technology such as AI, digital economy, internet governance or privacy)

· Indicator 5: DCCP 2.2 “Number of telecom/ICT governance policies, laws, or regulations drafted, proposed, adopted, improved, or implemented with USG assistance” (drafted, proposed, and/or implemented, sub-nationally, regionally, and/or internationally).

Project-Specific Indicators:

Upon final award, CDP and the selected partner will meet to discuss a final set of DCCP standard indicators as well as project-specific indicators.

Project Objective 2: Support Capacity of Non-government Stakeholders to Advance Safe, Secure and Trustworthy AI Systems and Rights-Respecting AI Governance Approaches in the UN System Expected Outcomes Achievement of Project Objective 2 is expected to result in the following outcomes:

· Increased non-government stakeholder engagement to promote safe, secure, and trustworthy AI with stakeholders on the sidelines of UN events; including from civil society, academia, the private sector, and marginalized groups; to meaningfully engage in international discussions on AI in the UN system

· Advancement of best practices for AI design, development, deployment, and overall, AI risk management and governance that incorporate human rights considerations as a central component.

· Increased participation of civil society stakeholders at UNGA, AI for Good, AI Ethics Forum, and other multilateral and multistakeholder events relevant to AI in the UN system.

· Stakeholders increased understanding and capacity for AI risk management, including for managing risks related to potential human rights impacts.

· Stakeholders increase understanding on policies, best practices, and education to promote safe, secure, and trustworthy AI.

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

· Organize and/or support for CSOs to attend trainings, workshops, or alongside UN convenings so they can build coalitions and conduct peer learning in person in support of safe, secure, and trustworthy AI.

· Develop coordination and communication mechanisms that enable CSOs to collectively engage effectively on safe, secure, and trustworthy AI in multilateral and multistakeholder processes in the UN system.

· Create linkages between AI experts in other countries aligned with support for safe, secure, and trustworthy AI and the policymakers they are best positioned to influence.

· Organize AI and human rights risk management training and workshops at/alongside UN events to share best practices to promote the safe, secure, and trustworthy AI, potentially including through human rights and readiness assessments aligned with U.S. policy preferences.

Program activities can be directed broadly but should at least benefit non-governmental stakeholders in between two and four priority / targeted countries per region (WHA, EUR, SCA, EAP, AF, and NEA). CDP will work with implementer to identify priority / targeted countries.

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

· Organize a series of regional workshops to convene CSOs and other organizations focused on the UNESCO Readiness Assessment Mechanism (RAM) process to discuss key findings, best practices, and interact to provide opportunities for mutual learning and regional collaboration.

· Partner with UN OHCHR’s B-TECH Project to develop workshops that build off of the best practices for AI risk management that incorporate human rights considerations and OHCHR’s work on potential human rights harms from generative AI.

· Organizing ideathons/hackathons to design and integrate use of privacy-preserving technologies that support an affirmative vision for AI and help safeguard human rights.

· Partner with likeminded countries, civil society groups, or UN entities to achieve program objectives.

Performance Indicators:

In addition to project-specific indicators to monitor key milestones and progress to keep the project on track, implementers will report against relevant indicators within the performance management plan CDP established under the auspices of the Digital Connectivity and Cybersecurity Program (DCCP). DCCP indicators for this project will include:

· Indicator 1: DCCP 2.4 “Number of private sectors, civil society, or other non-governmental organizations with improved capacity for advocacy or engagement with national legislatures on national telecom/ICT, internet, or digital economy policies.”

· Indicator 2: DCCP 2.5 “Number of USG-assisted non-government entities that engage in advocacy or legislative proceedings to influence national telecom/ICT, internet, or digital economy policies.” (including critical and emerging technology such as AI, digital economy, internet governance or privacy)

· Indicator 3: DCCP 1.5 “Number of national or sub-national telecom/ICT, internet, expansion of secure networks, digital economy strategies developed or improved with USG assistance (including critical and emerging technology such as AI, digital economy, internet governance or privacy)

· Indicator 4: DCCP 1.6 "Number of people trained in telecom/ICT, digital, or cyber issues with USG support."

· Indicator 5: DCCP 1.7. “Number of people trained on telecom/ICT or digital economy issues who demonstrate improved knowledge or skill” (including knowledge/skills in promoting multistakeholder models of government, preparing conferences, critical and emerging tech such as AI, digital economy, digital inclusion, wireless tech, spectrum management)

· Indicator 6: DCCP 1.8 “Number of USG supported fora held to convene key stakeholders for technical assistance or to discuss telecom/ICT or digital economy issues or best practices” (including knowledge/skills in promoting multistakeholder models of government, preparing conferences, critical and emerging tech such as AI, digital economy, digital inclusion, wireless tech, spectrum management).

Project-Specific Indicators:

· Number of CSO organizations that meaningfully engage in advocacy related to safe, secure, and trustworthy AI and human rights aligned with U.S. policy preferences at the UN system (including but not limited to engagement in the Human Rights Council, UN General Assembly).

Upon final award, CDP and the selected partner will meet to discuss a final set of DCCP standard indicators, project-specific indicators, and between 12 and 24 target / priority countries spanning the six regions of the world.

Sustainability This project is not dependent on other programs and will not require additional installments of funds (though there would be the potential to extend/continue, if desired and future funds were available). This funding will complement projects under DCCP such as AI Connect II and an upcoming project addressing standards related to responsible AI systems. The funds complement USAID and Government of Canada funding and support for the Global Index on Responsible AI, which measures progress on responsible AI in 140 countries. Funding complements IVLP funding for programs related to emerging technology and human rights and the Women in the Digital Economy Fund, supported in partnership with the Gates Foundation. Funds also complement DRL programs which support global civil society representation and engagement. As countries around the globe seek to understand and develop their own approaches to leverage the benefits and address the risks of AI technologies, we expect this project will help build capacity and understanding to promote responsible, inclusive, and rights-respecting AI. The project will advance U.S. goals related to digital solidarity and help targeted/ priority countries develop trust with the United States on technology policy. It will enhance the willingness by partners, including targeted / priority countries’ governments and other stakeholders, to engage with the USG, and other stakeholders to enhance understanding about advancing rights-based multistakeholder approaches to AI governance and policymaking processes. This network of AI practitioners, government and civil society formed by this initiative will continue to exist after the completion of the project and can act as a force multiplier for reinforcing like-minded rights-respecting values/approaches well into the future.

A4. Key Considerations The following list of program considerations is provided to help applicant(s) develop a responsive, robust proposal. Strong preference will be given to applicant(s) that:

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

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

· Demonstrate thoughtful monitoring and evaluation and report results.

· Prove existing, collaborative, and successful partnerships with U.S. and foreign partners on issues and engagements related to cybersecurity and digital policy.

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

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

Section B: Federal Award Information

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

The U.S. government reserves the right to: (a) reject any or all applications, (b) accept other than the lowest cost application, (c) accept more than one application, and (d) waive irregularities in applications received.

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

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

The authority for this funding opportunity is found in the Foreign Assistance Act of 1961 (FAA), as amended. Several funding restrictions apply, to include country restrictions. Project funding is provided via the Department of State, Foreign Operations and Related Programs Appropriations Act, 2023 (Div. K. P.L. 117-328) (FY23 SOFAA).

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

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

· Active participation or collaboration with the recipient in the implementation of the award.

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

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

· Approval of the recipient’s budget or plan of work prior to the award.

· Review participant training program acceptance and rejection letters.

Section C: Eligibility Information

C1. Eligible Applicants

· CDP welcomes applications from U.S.-based non-profit organizations subject to section 501(c)(3) and 501(c)(6) status of the U.S. tax code; Public International Organizations (PIOs) or Foreign Public Entities (FPE); Foreign-based non-profit organizations/nongovernment organizations (NGO); For-profit organizations or businesses.

Applications submitted by for-profit entities may be subject to additional review following the Merit Review Panel selection process. Additionally, the Department of State prohibits profit to for-profit or commercial organizations under its assistance awards. Profit is defined as any amount in excess of allowable direct and indirect costs. The allowability of costs incurred by commercial organizations is determined in accordance with the provisions of the Federal Acquisition Regulation (FAR) at 48 CFR 30, Cost Accounting Standards Administration, and 48 CFR 31 Contract Cost Principles and Procedures.

Please see 2 CFR 200.307 for regulations regarding program income.

C2. Cost Sharing or Matching Providing cost sharing, matching, or cost participation is not an eligibility factor or requirement for this NOFO and providing cost share will not result in a more favorable competitive ranking.

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

C3. Other To be eligible to receive an award, all organizations must have a unique entity identifier (UEI), as well as a valid registration on SAM.gov. Please see Section D3.2 for information on how to obtain these registrations.

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

Applicants must have existing, or the capacity to develop, active partnerships with local in-country partners, entities, and relevant stakeholders and have demonstrable experience in administering successful and preferably similar projects.

Please note, any applicant listed on the Excluded Parties List System in the System for Award Management (SAM.gov) and/or has a current debt to the U.S. government is not eligible to apply for an assistance award in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR,1986 Comp., p. 189) and 12689 (3 CFR,1989 Comp., p. 235), “Debarment and Suspension.” Additionally, no entity or person listed on the Excluded Parties List System in SAM.gov can participate in any activities under an award. All applicants are strongly encouraged to review the Excluded Parties List System in SAM.gov to ensure that no ineligible entity or person is included in their application.

Section D: Application and Submission Information

D1. Address to Request Application Package Application forms, and other required materials are available at Grants.gov (http://www.grants.gov) and MyGrants (https://mygrants.servicenowservices.com) under the announcement title “Building Capacity for Responsible, Inclusive, and Rights-Respecting Approaches to AI,” and funding opportunity number “DFOP0016683”. Once the NOFO deadline has passed, the Department of State may not discuss this competition with any applicant until the proposal review process has been completed. If requesting reasonable accommodations for persons with disabilities or for security reasons, please contact the CDP point of contact listed in Section G. Please note that reasonable accommodations do not include deadline extensions.

D2. Content and Form of Application Submission For all application documents, please ensure:

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

· All documents are in English (original documents that are in another language must be accompanied by an English translation)

· All budgets are in U.S. dollars

· For documents subject to page limitations, all pages are numbered

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

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

· Captions and footnotes may be 10-point Calibri font

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

D2.1 Application Requirements Complete applications must include the following:

1. Completed and signed SF-424, SF-424A, as well as SF-424B, if applicable.

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

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

4. Proposal Narrative (not to exceed seven [7] pages, preferably as a Word Document).

The Proposal Narrative must include the following:

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

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

· Project Goal: The goal describes the larger outcomes intended.

· Statement of Capabilities and Experience: Clear, concise, and well-supported statement that fully describes the applicant’s unique project/approach will address both objectives and support CDP’s Strategic Goals and Objectives. Applicant should describe past experience with Federal contracting and logistics management, industry knowledge and contacts.

· Future Funding or Sustainability: Applicant’s plan for continuing the project beyond the grant period, or the availability of other resources, if applicable. Include ways project activities will ensure sustainability.

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

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

· SF-forms listed above

· Cover Page and Executive Summary

· Scope of Work

· Project Design and Logic Model

· Project Performance Monitoring and Evaluation Plan

· Detailed Budget

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

· Timeline

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

· Contingency Plan

· Additional Required Attachments (Audit, NICRA, etc.)

· Optional Sections (if applicable, see page 15)

5. Scope of Work (SOW). Applicants should use the Tab 1 Responsible Approaches to AI Scope of Work Template provided and attached to this NOFO. The SOW should provide a summary of the applicant’s unique approach to the following as indicated in Section 4) Proposal Narrative:

· Project Goal

· Project Objectives

· Project Activities

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

· Sustainability

6. Project Logic Model (preferably as a Word Document). Building out a logic model with an accompanying theory of change can be helpful when planning and designing a program, project or activity. These tools can be used to visually depict or outline how and why a project will work—i.e., the rationale behind your project approach. Detailing how a project’s planned activities lead to certain outcomes can often help applicants understand the assumptions within the approach. Detailing factors outside your control, such as policy shifts, within a logic model can identify areas that should be included within your project’s risk analysis. It details planned activities, the immediate services or product of project activities (outputs), and the expected changes or benefits that occur after activities have been implemented (outcomes). Applicants should specify objectives, identify what resources (inputs) are needed, outline proposed activities (outputs) and beneficiaries, and illustrate how activities lead to desired results in the theory of change. Applicants are encouraged to use the attached Project Design and Logic Model Template but are welcome to use their own templates so long as they provide the requisite information for thorough review of the proposed project. See Tab 2 Responsible Approaches to AI Project Logic Model Template.

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

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

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

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

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

A sample Tab 3 Responsible Approaches to AI Performance Monitoring and Evaluation Plan Template is provided as an attachment to this NOFO. Applicants are encouraged to refer to the Defining M&E Terms in the Project Design and Logic Model template for concise explanations of M&E terms and definitions used by the Department of State. The final will be due 30-60 days post award.

8. Detailed Budget (Excel workbook strongly preferred; please do not provide as a PDF). Include three (3) columns containing the request to CDP, any cost sharing contribution, and the total budget. A Summary Budget should also be included using the OMB-approved budget categories (see SF-424A as a sample) in a separate tab. Costs must be in U.S. Dollars. Detailed line-item budgets for sub-grantees should be included as additional tabs within the Excel workbook (if available at the time of submission). Please see the attached Tab 4 Responsible Approaches to AI Detailed Budget Template for more information.

9. Budget Narrative (preferably as a Word Document). Justify each line-item in the budget and explain how the amounts were derived, consistency with the applicants’ documented policies, as well as the source and description of all proposed costs (and cost-share, if applicable). The narrative should complement the budget rather than repeat information provided in the budget. For example, the narrative should provide details on the purpose of costs, reasonability of costs, cost price analysis, explain allocations, explain any yearly variances, and tie expenses to project activities and/or objectives where appropriate. Sources of all cost-share offered in the application should be identified and explained in the budget narrative. Tab 5 Responsible Approaches to AI Budget Narrative Template for more information.

10. Timeline (not to exceed one [1] page per year of proposed performance period, preferably as a Word Document or Excel Sheet). The timeline of the overall proposal should include activities, and monitoring and evaluation efforts outlined in either a monthly or quarterly format. It should also include sufficient time for project closeout to conduct and finalize internal/external evaluations and allow any sub-recipients time for final reporting.

11. Summary of Key Personnel and Subject Matter Experts (not to exceed two [2] pages, preferably as a Word Document). This can represent staff within your organization or outside of your organization (subgrantee, consultants, contractors), who are integral to the success of the project. Provides names, titles, roles, and bios that highlight relevant experience/qualifications of key personnel involved in the project.

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

13. Additional Required Attachments:

· Audit An audit or an explanation for the lack of an audit is required. Please review the bulleted items below carefully.

· If your organization meets the threshold as defined in 2 CFR 200 Subpart F, then your organization must submit a pdf of its most recent single audit.

· If your organization does not currently meet the 2 CFR 200 requirement and has not had a single audit within its most recent three fiscal years, then your organization must submit its most recent (within the preceding three fiscal years) independent financial audit, preferably a pdf.

· If your organization has not been independently audited within its three most recent fiscal years, then it must explain the reason for the lack of an audit and provide an independent confirmation of the adequacy of its internal controls.

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

· Letters of support or official permission letters from project partners describing the roles and responsibilities of each partner, for any partner or partners identified in the proposal whose role is central to the project achieving its objectives. No letter of support is required for goods or services that are widely available commercially unless an identified provider is offering no-cost or uniquely favorable terms that will not be available commercially.

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

D.2.2 Additional Information Requested for Those Receiving Conditional Notification Letter Successful applicants must submit, after Conditional Notification Letter, but prior to issuance of a federal award:

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

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

· A completed copy of the Department’s Financial Management Survey, if receiving USG funding for the first time.

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

· Other requested information or documents included in the Conditional Notification Letter or subsequent communications prior to issuance of a federal award.

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

D3. Unique Entity Identifier (UEI) and System for Award Management (SAM) All organizations, whether based in the United States or in another country, must have a Unique Entity Identifier (UEI) and an active registration with SAM.gov. A UEI is one of the data elements mandated by Public Law 109-282, the Federal Funding Accountability and Transparency Act (FFATA), for all federal awards.

The 2 CFR 200 requires that sub-grantees obtain a UEI number. Please note the UEI for sub-grantees is not required at the time of application but will be required before an award is processed and/or directed to a sub-grantee.

Note: The process of obtaining or renewing a SAM.gov registration may take anywhere from 4-8 weeks. Please begin your registration as early as possible and advise proposed sub-grantees to do so as well.

· Organizations based in the United States or that pay employees within the United States will need an Employer Identification Number (EIN) from the Internal Revenue Service (IRS) and a UEI number issued through SAM.gov. Once the UEI number is received continue with the remainder of the SAM.gov registration.

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

Organizations based outside of the United States and that DO NOT plan to do business with the DoD should follow the below instructions:

Step 1: Proceed to SAM.gov to obtain a UEI and complete the SAM.gov registration process. SAM.gov registration must be renewed annually.

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

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

Information is included on the SAM.gov website to help international registrations: https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0016380&sys_kb_id=194695221bfe4d983565ed3ce54bcbbb&spa=1

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

Organizations based outside of the United States and that DO plan to do business with the DoD in addition to Department of State should follow the below instructions:

Step 1: Apply for an NCAGE code by following the instructions on the NSPA NATO website linked below:

NCAGE Homepage:

https://eportal.nspa.nato.int/AC135Public/sc/CageList.aspx NCAGE Code Request Tool (NCRT):

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

D3.1 SAM.gov and UEI Exemptions An exemption from the UEI and sam.gov registration requirements may be permitted on a case-by-case basis if:

· An applicant’s identity must be protected due to potential endangerment of their mission, their organization’s status, their employees, or individuals being served by the applicant.

· For an applicant, if the federal awarding agency makes a determination that there are exigent circumstances that prohibit the applicant from receiving a unique entity identifier and completing SAM.gov registration prior to receiving a federal award. In these instances, federal awarding agencies must require the recipient to obtain a unique entity identifier and complete SAM.gov registration within 30 days of the federal award date.

Organizations requesting exemption from UEI or SAM.gov requirements must email the point of contact listed in Section G of the NOFO at least two weeks prior to the deadline in the NOFO providing a justification of their request. Approval for a SAM.gov exemption must come from the warranted Grants Officer before the application can be deemed eligible for review.

D3.2 Registering in MyGrants and Grants.gov All application submissions must be made electronically via Grants.gov or MyGrants (https://mygrants.servicenowservices.com/ilms/). Both systems require registration by the applying organization. Please note that the Grants.gov registration process can take ten (10) business days or longer, even if all registration steps are completed in a timely manner. Instructions for registering and submitting applications in each system are provided below.

MyGrants:

Applicants using MyGrants for the first time should complete their “New Organization Registration.” To register with MyGrants, go to: https://mygrants.servicenowservices.com and click “create an account”.

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

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

MyGrants Help Desk:

For assistance with MyGrants accounts and technical issues related to the system, please contact the ILMS help desk by phone at +1 (888) 313-4567 (toll charges apply for international callers) or through the Self Service…