Rev. Securing Emerging Technologies _Their Supply Chains.pdf

ISN-ECC FY23 NOFO SAMS Domestic 1

NOTICE of FUNDING OPPORTUNITY Bureau of International Security and Nonproliferation (ISN)

Office of Export Control Cooperation (ECC) U.S. Department of State

Announcement Type: Cooperative Agreement Funding Opportunity Title: Securing Emerging Technologies and Their Supply

Chains Funding Opportunity Number: SFOP0009314

Catalog of Federal Domestic Assistance Number: 19.901 Funding Amount: $6,500,000 Approximate Number of Awards: Up to 7 Expected Period of Performance: 24 months Key Dates: 1. Applications must be submitted by

April 14, 2023 at 5:00 pm EST

2. Submit all questions by March 10, 2023 at 5:00 pm EST

3. Application review and selection expected in

September 2023

EXECUTIVE SUMMARY

The Department of State’s Bureau of International Security and Nonproliferation, Office of Export Control Cooperation (ISN/ECC) is pleased to announce a new funding opportunity through this Notice of Funding Opportunity (NOFO). Under this NOFO, ISN/ECC seeks proposals to advance U.S. foreign policy and national security priorities by supporting initiatives that make decision-making structures and processes in fragile, conflict, or crisis-affected contexts more reflective of and responsive to the needs and perspectives of partner states to ensure strategic trade control systems meet international standards and by engaging on bilateral, regional, and multilateral levels with foreign governments to aid in the establishment of independent capabilities to regulate transfers of weapons of mass destruction, WMD-related items, conventional arms, and related dual-use items, and to detect, interdict, investigate, and prosecute illicit transfers of such items.

ISN/ECC invites U.S. non-profit organizations, Domestic & Foreign For-Profit Organizations (must waive fee/profit), U.S. and foreign educational institutions, international NGOs, and Public International Organizations to submit cooperative agreement proposals. ISN/ECC has approximately $6,500,000 available to fund this

NOFO.

ISN-ECC FY23 NOFO SAMS Domestic 2

Organizations that submit an application in response to this NOFO announcement acknowledge and accept all the requirements contained herein. The submission in response to this announcement is voluntary and does not obligate the Department of State to fund the proposal or proposal preparation costs. Please note: Receipt of this NOFO requesting a full application should not be construed as a guarantee of funding. All awards are subject to the availability of funds and the negotiation and finalization of the approved budget and award package.

Cooperative Agreements not-to-exceed the amount of $6,500,000 in FY 2022/2023 Nonproliferation, Antiterrorism, Demining, and Related Programs (NADR-EXBS) funding will be awarded under this NOFO with individual project ceilings denoted below. The initial period of performance will be for 24 months. Funding authority rests in the Foreign Assistance Act of 1961, as amended. All applicants should be familiar with 2 CFR Part 200 and 600.

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

• 2 CFR 25 - UNIVERSAL IDENTIFIER AND SYSTEM FOR AWARD

MANAGEMENT

• 2 CFR 170 - REPORTING SUBAWARD AND EXECUTIVE

COMPENSATION INFORMATION

• 2 CFR 175 - AWARD TERM FOR TRAFFICKING IN PERSONS

• 2 CFR 182 - GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE

WORKPLACE (FINANCIAL ASSISTANCE)

• 2 CFR 183 - NEVER CONTRACT WITH THE ENEMY

• 2 CFR 600 – DEPARTMENT OF STATE REQUIREMENTS

In accordance with the Office of Management and Budget’s guidance located at 2 CFR part 200, all applicable Federal laws, and relevant Executive guidance, the Department of State will review and consider applications for funding, as applicable to specific programs, pursuant to this notice of funding opportunity in accordance with the following:

• Guidance for Grants and Agreements in Title 2 of the Code of Federal Regulations (2 CFR), as updated in the Federal Register’s 85 FR 49506 on August 13, 2020, particularly on:

o Selecting recipients most likely to be successful in delivering results based on the program objectives through an objective process of evaluating Federal award applications (2 CFR part 200.205), o Prohibiting the purchase of certain telecommunication and video surveillance services or equipment in alignment with section 889 of the National Defense Authorization Act of 2019 (Pub. L. No. 115—232) (2 CFR part 200.216), https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.25&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.25&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.170&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.170&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.175&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.182&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.182&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.183&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&tpl=/ecfrbrowse/Title02/2chapterVI.tpl https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.200&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=81a5f41de81c46a9844617d93a9db081&mc=true&node=pt2.1.200&rgn=div5

ISN-ECC FY23 NOFO SAMS Domestic 3 o Promoting the freedom of speech and religious liberty in alignment with Promoting Free Speech and Religious Liberty (E.O. 13798) and Improving Free Inquiry, Transparency, and Accountability at Colleges and Universities (E.O. 13864) (§§ 200.300, 200.303, 200.339, and 200.341), o Providing a preference, to the extent permitted by law, to maximize use of goods, products, and materials produced in the United States (2 CFR part 200.322), and o Terminating agreements in whole or in part to the greatest extent authorized by law, if an award no longer effectuates the program goals or agency priorities (2 CFR part 200.340).

In accordance with the Executive Order on Advancing Racial Equity and Underserved Communities, proposals should demonstrate how the program advances equity with respect to race, ethnicity, religion, income, geography, gender identity, sexual orientation, and disability. The proposal should also demonstrate how the program will further engagement in underserved communities and with individuals from underserved communities. Proposals should demonstrate how addressing racial equity and underserved communities will enhance the program’s goals and objectives, as well as the experience of participants.

The support of underserved communities will be part of the review criteria for this opportunity. Therefore, proposals should clearly demonstrate how the program will support and advance equity and engage underserved communities in program administration, design, and implementation.

Due to the determination made under the Trafficking Victims Protection Act (TVPA) for FY 2021, assistance that benefits the governments of the following countries may be subject to a restriction under the TVPA. The Department of State determines on a case-by-case basis what constitutes assistance to a government; the general principles listed below apply.

Assistance to the government includes:

• All branches of government (executive, legislative, judicial) at all levels (national, regional, local);

• Public schools, universities, hospitals, and state-owned enterprises, as well as government employees;

• Training, equipment, services, or other assistance provided directly to the government, assistance provided to an NGO or other implementer for the benefit of the government, and assistance to government employees.

- Applications that do not meet the eligibility criteria and do not contain all required information will not be considered.

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ISN-ECC FY23 NOFO SAMS Domestic 4

A. BACKGROUND & PROJECT DESCRIPTION

ISN/ECC administers the Export Control and Related Border Security (EXBS) Program.

The EXBS Program’s mission is to enhance U.S. national security by preventing proliferation of WMD and illicit trade in conventional weapons, and to strengthen partner countries’ capabilities to comply with international strategic trade control norms and enforcement best practices. EXBS trains border security personnel and law enforcement officials to detect, interdict, investigate, and prosecute illicit transfers of conventional weapons and to ensure that international ports of entry have adequate equipment to screen suspicious cargo. EXBS also assists partner countries in the establishment of independent strategic trade control authorities to regulate transfers of technologies and material that could be used for WMD, related delivery systems, or advanced conventional weapons. To strengthen compliance with international strategic trade control norms and U.N. sanctions resolutions, EXBS also conducts outreach to the private sector to help industry better understand its nonproliferation obligations.

EXBS further strengthens foreign partners’ capacities through activities such as research, training, workshops and seminars, targeted industry outreach, technical consultations, and individual mentorship, as appropriate, to encourage adoption, implementation, and enforcement of measures for the protection of sensitive technologies, advanced technology industry, academic research, and critical infrastructure from foreign interference and exploitation. Malign state actors are actively working to circumvent strategic trade control norms and eschew internationally agreed upon standards for technology control. Technology industries, critical infrastructure, and national security-related sensitive technology and know-how are increasingly subject to exploitation and foreign influence, especially through the People’s Republic of China’s (PRC) Military- Civil Fusion (MCF) Strategy. Targeted theft or forced transfer of sensitive military, dual-use, and other emerging technologies and intellectual property is visible across the world’s high-tech manufacturing and research sectors. Academic and financial sectors are also experiencing significant degrees of coercive foreign influence. Countries require additional resources to implement effective controls on technology transfers, investment screening mechanisms, and critical asset protection, and seek tools and technical assistance to improve their capacity to effectively and safely engage in the global market.

The purpose of this NOFO is to address national security deficiencies in partner nations’ export controls, related technology protection controls, public procurement, investment screening, and critical infrastructure protection measures, as well as build the corresponding institutional capabilities in customs and border enforcement. EXBS seeks to fund implementers to deliver tangible, measurable capacity development and technical assistance programming that helps address these regulatory and institutional weaknesses and facilitate private sector and academia’s compliance with international nonproliferation norms. Proposals should reflect a clear understanding of the problem set, as well as efforts to deconflict with existing, ongoing programming and assistance in a region of application to meet the relevant EXBS Program goals. As denoted further within each project description below, EXBS-sponsored efforts may include research, training, workshops and seminars, targeted industry outreach, technical consultations, and

ISN-ECC FY23 NOFO SAMS Domestic 5 individual mentorship. As appropriate, ISN/ECC may supplement implementers’ subject matter expertise with USG experts from the Departments of State, Commerce, Energy, Treasury, Homeland Security, and others. Their participation and travel will be covered separately. Further details on program objectives and assistance projects are provided below.

Goals and Objectives

ISN/ECC expects that the activities and outcomes of awards will work towards the following ISN Bureau Goals and EXBS Program Objectives:

ISN Goals

• Advance U.S. Strategic Interests and Protect against Threats from the PRC and Russia o Counter the PRC’s Military-Civil Fusion Strategy o Build Partner Resilience Against Russian Malign Influence and

Exploitation o Promote Global and Regional Stability to Advance U.S. Interests and Those of U.S. Allies and Partners

• Prevent and Respond to Proliferation of WMD, Missiles, and

Destabilizing Conventional Weapons and Technologies o Disrupt or Deter Proliferation by State or Non-State Actors that

Threaten International Security o Strengthen Other States’ Capabilities to Counter Proliferation o Strengthen the Multilateral Export Control Regimes and Promote

Global Nonproliferation Action

• Promote Diversity, Equity, Inclusion, and Accessibility in Bureau

Operations and Programs

EXBS Objectives – Strategic Trade Management

• Increase the number of countries that have adopted strategic trade controls legislation, including penalties

• Increase the number of countries that have implemented control lists

• Increase mechanisms for partner industry outreach

• Improve capacity for trade compliance enforcement, investigations, and prosecutions

• Strengthen partner sanctions implementation, including counter proliferation finance measures

• Improve partner regulation of transit and transshipment of dual-use goods and sensitive technology

• Improve partner inter-agency coordination and information sharing

ISN-ECC FY23 NOFO SAMS Domestic 6

EXBS Objectives – Customs Enforcement

• Improve partner inter-agency coordination and information sharing

• Improve partner enforcement response capability

EXBS Strategic Threats/Matrix Issues

• Malign Russian Influence – Impeding Russia’s malign and destabilizing activities

• People’s Republic of China (PRC) – o Counter the acquisition of strategic technologies via Military-Civil

Fusion (MCF);

o Protect critical trade infrastructure from PRC exploitation.

Deliverables/Activities

1. Substantive and Logistical Support to International Workshops/Conferences:

1.1.Cross-Border Investment Security Workshops:

The approximate amount of funding available for this activity is $495,000.

ISN/ECC proposes to conduct two regionally attended conferences, one in the Indo- Pacific region and the other in Europe, of maximum duration three days each, focused on the national security risks of cross-border investment regarding semiconductors. Each event is expected to be attended by approximately 75 participants (60 of which would be foreign attendees). ISN/ECC does not/not require applicants to support content development; the workshop content will be driven by the U.S. interagency and supplemented by expert speakers from the U.S. interagency, as appropriate. Applicants are expected to provide comprehensive logistical support, including booking the workshop venue and lodging, arranging foreign participant travel, making onsite logistical arrangements, communicating with participants and speakers in support of the workshop attendance, arranging for interpretation and translation, and any additional on-sight conference support to the ISN/ECC team, participants, and presenters.

1.2.India Semiconductor Industry Conference:

The approximate amount of funding available for this activity is $395,000.

ISN/ECC proposes to conduct one conference in India of maximum duration three days, inviting both Indian government and private sector representatives. India is seeking to attract foreign semiconductor manufacturers while capitalizing on areas in which it has technological advantages, such as semiconductor design. To ensure that foreign technology and intellectual property is protected when such investments are made, ISN/ECC intends to host a dialogue with Indian government and private sector representatives. This event is expected to be attended by approximately 150 participants from both India and the United States, including key U.S. Government officials and representatives of U.S. microelectronics industry.

ISN-ECC FY23 NOFO SAMS Domestic 7

ISN/ECC requires the applicants to provide a content development SME. While the conference content will be driven by the U.S. interagency and supplemented by expert speakers from the U.S. interagency, as appropriate, the applicants will be required to generate agenda suggestions and relevant non-USG speakers. Likewise, implementers should demonstrate knowledge of Indian private industry and facilitate attendance of key government and industry leaders, including those identified by the U.S. government, at this event.

In addition, applicants are expected to provide comprehensive logistical support, including booking the venue and lodging, arranging foreign participant travel for those not local to the chosen city, making onsite logistical arrangements, communicating with participants and speakers in support of the workshop attendance, and any additional on-sight conference support to the ISN/ECC team, participants, and presenters. Applications demonstrating robust partnerships with a local Indian industry association, business council, or chamber of commerce in organizing this conference will be considered favorably.

1.3.Latin America Conference on Export Controls:

The approximate amount of funding available for this activity is $345,000.

ISN/ECC proposes to conduct one regionally attended conference in Latin America (applicants should use Panama as the conference location for budgeting purposes) with a maximum duration of three days. The objective of this event is to deepen the understanding of coercive foreign investments in sensitive technology and critical infrastructure sectors. This event is expected to be attended by approximately 100 participants (70 of which would be foreign attendees from the surrounding region).

ISN/ECC requires the applicants to provide a content development SME. While the conference content will be driven by the U.S. interagency and supplemented by expert speakers from the U.S. interagency, as appropriate, the applicants will be required to generate agenda suggestions and recommend relevant non-USG speakers. Applicants are also expected to provide comprehensive logistical support, including booking the workshop venue and lodging, arranging participant travel, making onsite logistical arrangements, communicating with participants and speakers in support of the workshop attendance, arranging for Spanish language interpretation and translation, and any additional on-sight conference support to the ISN/ECC team, participants, and presenters.

2. Research and Case Study Development:

2.1.Scoping Study on Cross-Border Semiconductor Investment:

The approximate amount of funding available for this activity is $345,500.

Applicants are asked to identify information about investment flows into semiconductor technologies, particularly involving international investment flows to major semiconductor markets. This scoping study offer insights into the role of various investment instruments (e.g., venture capital, private equity, greenfield investments, joint ventures, etc.) in facilitating access to semiconductor technology and influencing policy, ISN-ECC FY23 NOFO SAMS Domestic 8 technology development, manufacturing, integration, testing, and packaging. A small group of experts may travel to Washington, D.C. (likely at the end of the project) to present results.

2.2.Open-Source Research and Case Study Development:

The approximate amount of funding available for this activity is $1,481,000.

Applicants are asked to utilize tools associated with big data analysis to conduct open-source research regarding the semiconductor supply chain to identify links of concern between PRC-affiliated institutions and companies and academia in EXBS partner countries. This could include collection and enrichment of sources such as commercially sourced trade data and internet-based open-source data that could be enriched using tools such as machine learning and natural language processing. Applicants must produce the following deliverables:

1. Conduct mapping of industries relevant to semiconductor manufacturing in EXBS partner countries (including, design, fabrication, assembly, testing, and packaging of semiconductors as well as supply of products relevant to their production, including industrial machinery, specialty chemicals, crystal growth equipment, and other essential products). The output of this analysis will be a prioritized list of EXBS partners representing major existing or emerging semiconductor technology markets.

a. Applicants may also map related industries, such as mining of rare earth elements, as applicable, in their analysis.

2. For the top 20 EXBS semiconductor technology markets, analyze corporate ownership of companies operating in this sector.

3. Assess capacity of the top 20 EXBS semiconductor technology markets to impose export controls on chipmaking equipment, materials (and related equipment) technology, and semiconductor design software, electronic design automation (EDA) software, and intellectual property, as well as on select leading edge semiconductors.

4. Develop and incorporate clear, open-source, shareable case studies outlining risks and successful mitigation efforts across the semiconductor supply chain to be used as training materials for outreach.

5. Engage national authorities, industry, and R&D institutions in these 20 countries through regional workshops to assess supply chain disruption risks, raise risk awareness, develop appropriate sectoral guidance, and implement due diligence and security measures to protect IP related to semiconductor technology, including, where applicable, measures to safeguard the manufacturing process against efforts to maliciously alter chips or render them defective.

No Government Furnished Information (GFI) will be provided under this line of effort.

ISN-ECC FY23 NOFO SAMS Domestic 9

3. Setting Supply Chain Protection Frameworks:

The approximate amount of funding available for this activity is $1,135,600.

Semiconductors are critical to today’s technology products and those of a rapidly approaching future powered by emerging technologies including AI, machine learning, and quantum computing. ISN/ECC proposes to convene one high-profile international workshop engaging national policymakers, regulators, and industry to identify semiconductor trade compliance standards or voluntary frameworks and principles for protecting semiconductor technology against misuse. This workshop would last no longer than three days, inviting approximately 3 representatives from roughly 30 countries, as well as key microelectronics manufacturers.

This workshop is intended to create a strong foundation for informing policy priorities and security measures to protect semiconductor supply chain with a specific focus on issues relevant to EXBS partners, including preventing exploitative partnerships, preventing technology diversion, and protecting IP rights. Allowing for an exchange of diverse perspectives along the semiconductor supply chain, attendees would also share best practices and exchange information on the ways government and industry can collaborate to strengthen resilience of the semiconductor supply chain globally.

Applicants are asked to develop workshop content focusing on safeguarding know-how and devices, as well as verifying end uses, highlighting concerns about intellectual property (IP) theft and other threats to the supply chain. Drawing on existing U.S. and international initiatives and publications, including National Institutes of Standards and Technology (NIST) paper on setting semiconductor manufacturing standards, Department of Defense Research and Engineering’s Trusted and Assured Microelectronics (T&AM) projects, and other efforts, applicants should develop modules, case studies, scenario-based facilitated discussions, and/or table-top exercises that identify end-uses and actors that pose security, privacy, and ethical concerns.

4. Protecting Sensitive Technology in South Asia:

The approximate amount of funding available for these activities is $963,000.

4.1.U.S-India Thinktank Partnership:

ISN/ECC welcomes proposals that establish a partnership between the U.S. and Indian public and nongovernmental organizations. This mechanism would fund fellowships for officials representing India’s Attorney General’s Office, Indian National Bar Association, Bar Council of India, or other public, professional, or civic society organizations capable of influencing the draft Indian legislation through information and outreach. The purpose of the fellowship would be to facilitate development of a legal and policy framework to spur innovation in the semiconductor industry while providing appropriate legal measures and enforcement capabilities to ensure compliance with international export control standards, prevent sensitive technology diversion, ensure IP rights protection, and help forestall exploitative technology partnerships. The fellowships should focus in equal measure on developing sufficient knowledge about emerging/semiconductor technologies

ISN-ECC FY23 NOFO SAMS Domestic 10 among legal professionals as on facilitating crafting of specific provisions or legislative building blocks that could be updated, amended, and added into the Indian Code.

In their proposal submission, applicants are asked to:

1. Propose the structure and parameters of the overarching partnership (duration, frequency, location, participant eligibility, and sustainability).

2. Identify relevant entities / institutions for participation.

3. Describe the design of the fellowship, including meetings with U.S. policymakers, legal practitioners, Congressional staff, and private sector representatives, as appropriate.

4. Demonstrate an in-depth understanding of the semiconductor industry and the elements that warrant adoption of standards, policies, and regulations.

4.2.U.S-India “Track 1.5” on Semiconductor Technology Security:

ISN/ECC seeks applications from institutions that can facilitate a “track 1.5” engagement between American and Indian government officials on issues related to semiconductor technology security. The visit should last 3-5 working days and may involve meetings with U.S. policymakers as well as with key U.S. semiconductor manufacturers. The applicant is expected to help facilitate the government-to-government effort below as well as drive the private sector effort to produce deliverables as follows:

• Convene a private sector roundtable comprised of U.S. and Indian microelectronic manufacturers, ideally co-chaired by a U.S. and an Indian Chambers of Commerce. The outcome of the roundtable should be a report with recommendations intended for the Indian government audience on how to accelerate the adoption of legal standards and technical specifications to spur development of semiconductor industry while considering national security concerns, such as technology’s applicability for military-end use, intangible technology and intellectual property transfer, and cybersecurity, The report should also consider India’s social and economic constraints towards such acceleration.

• Primarily leveraging USG experts as speaker, organize a visit for a delegation of Indian officials with influence over legislative issues related to semiconductor manufacturing to the United States. The Indian delegation will represent the Indian commerce, defense, external affairs, and energy ministries and will be no larger than 8-10 individuals. This effort needs to be preceded by a gap assessment of Indian legislative framework with respect to semiconductor security and the provision of a proposed timeline specific to when the GOI can initiate legislative action.

ISN-ECC FY23 NOFO SAMS Domestic 11

5. Addressing Proliferation Challenges Associated with Software:

The approximate amount of funding available for this activity is $592,500.

In recent years, ISN/ECC has focused on improving partner country implementation of intangible technology transfer (ITT) controls. ITT in this context includes software as well as other types of technical information and data. However, software is also distinct from technology as defined by the export control regimes and it is important to account for nuances in how software can be controlled over other forms of technology. For example, certain types of software can be sold to the mass market and can have legitimate education, research, and development uses in addition to uses of concern. Additionally, software often includes user registration and activation which may provide adaptational avenues for ensuring that software is not misused by entities of concern. ISN/ECC invites proposals aimed at identifying good practices for how partner governments can work with software developers to ensure software cannot be misused by WMD or military linked entities of concern. Specifically, proposals should address how to get industry buy in for standards around software registration such that:

1. Cloned software cannot be inadvertently activated due to weak or non-existent software encryption or security;

2. Software must be reactivated periodically (e.g., once per year) and cannot be activated without the end user providing verifiable end user information; and

3. Software cannot be activated from countries of concern or when using VPNs or other location identification masks.

ISN/ECC proposes to launch a pilot project to develop a tool aimed at ensuring software cannot be registered by entities of concern. Applicants should propose development of an app that companies can check when authenticating software license keys that runs the party through sanctions entity lists or other databases.

Indicators

Application proposals must include well-designed indicators that can be used to monitor project progress and measure actual results to assist ISN/ECC assess the success and impact of activities and project outcomes, as well as facilitate effective monitoring and evaluation.

Substantial Involvement

ISN/ECC expects to be substantially involved during implementation of the program.

Examples of substantial involvement may include, but are not limited to the following:

1. Reviewing and approving the engagement outline, draft agenda, and a list of supplemental materials.

2. Reviewing and approving draft course content and any proposed revisions.

3. Reviewing and approving list of proposed participating.

ISN-ECC FY23 NOFO SAMS Domestic 12

4. Reviewing and approving the scheduling and related logistical arrangements for each engagement.

5. Reviewing and approving all final training materials prior to submission.

Risk Assessment

Proposals must include a risk assessment and a plan for monitoring and mitigating the risks identified. Risks to project implementation may include a variety of political, environmental, and other factors. A few examples include outbreak of violent conflict, elections that change government partners, cybersecurity / hacking, misuse of personally identifiable information (PII), and diversion of financial or non-financial support to prohibited parties (terrorist financing).

The assessment should also identify risks to staff, implementers, participants, beneficiaries, or their communities. Besides political and environmental factors, risks may include online or in-person potential physical, social, psychological, economic, and/or reputational backlash to beneficiaries as a result of their participation. The proposal should include a participatory needs assessment and explain how its implementers will engage with local actors throughout its lifecycle. Strong proposals will also describe strategies to sustain the activities beyond ISN/ECC funding, or alternatively, how applicants will co-design a responsible exit strategy with local partners and in consultation with beneficiaries.

Action Plan

The Recipient shall submit to ISN/ECC within 30 days of award a draft action plan that includes a description of planned activities and projected timeframes for accomplishing them. ISN/ECC will review the plan in consultation with appropriate U.S. government and partner country officials, then provide feedback to the Recipient detailing necessary revisions/adjustments to the plan.

The Recipient shall revise the plan in accordance with ISN/ECC feedback and provide to ISN/ECC within 15 working days of receiving that feedback.

In-Country Consultations and Training

The Recipient shall consult with the Grants Officer Representative (GOR) and, if applicable, the Program Manager prior to engaging in any consultations with foreign experts, U.S. Government multilateral/international organizations, or EXBS partner government officials.

Logistics

The Recipient will be responsible for providing logistics, including international travel, lodging, per diem, translation and interpretation costs, venue rental and A/V support, and other local logistics costs, as appropriate.

ISN-ECC FY23 NOFO SAMS Domestic 13

Government-Furnished Information (GFI)

ISN/ECC can provide a limited amount of GFI as part of the project if it is determined to be critical towards the success of the project but expects that the Recipient of the Award will utilize publicly available information to create project-related materials.

For additional information on ISN/ECC and the EXBS program, please visit:

https://www.state.gov/export-control-and-related-border-security-program/

B. FEDERAL AWARD INFORMATION

1. Available Funding and Legislative Authority

The source of this funding is Nonproliferation, Anti-terrorism, Demining, and Related Programs-EXBS. Final award is contingent upon the availability of funds.

2. Summary of Award Information Type of Award: Cooperative Agreement Appropriated Fiscal Year of Funds: FY 22/23 Foreign Assistance Act Approximate Total Funding: $6,500,000 Approximate Number of Awards: 7 Anticipated Award Date: September 2023 Anticipated Project Completion Date: 24 months from start

3. Deadline

Deadline for Applications: April 14 , 2023 at 5:00 PM EST

C. ELIGIBILITY INFORMATION

Applicants should be knowledgeable of existing strategic trade control programs and best practices, including programs funded by the U.S. Government in this area, and current international trends and developments, in order to capitalize on ongoing work, and not duplicate efforts.

Applications by organizations, which do not meet the eligibility by the time of the application deadline, will result the application not being reviewed.

1. Eligibility for this NOFO is limited to educational and research institutions and U.S. not-for-profit/non-governmental organizations (NGOs) subject to section 501 (c) (3) of the U.S. tax code, foreign educational and research institutions, Domestic & Foreign For-Profit Organizations (must waive https://www.state.gov/export-control-and-related-border-security-program/

ISN-ECC FY23 NOFO SAMS Domestic 14 fee/profit), and foreign not-for-profits/NGOs and international NGOs and PIOs. For a list of PIOs, visit https://www.usaid.gov/sites/default/files/documents/308maa.pdf

2. Domestic & Foreign For-Profit organizations are eligible to apply. For-profit organizations applying to this NOFO will agree to forgo their profit margins to be eligible for this competition.

3. Cost-Sharing or Matching: Providing cost sharing, matching, or cost participation is not an eligibility requirement for this NOFO. When cost sharing is offered, it is understood and agreed that the applicant must provide the amount of cost sharing as stipulated in its proposal and later included in an approved agreement. Cost sharing may be in the form of allowable direct or indirect costs. For accountability purposes, you must maintain written records to support all costs that are claimed as your contribution, as well as costs to be paid by the Federal government. Such records are subject to audit. The basis for determining the value of cash and in-kind contributions must be in accordance with the Office of Management and Budget’s Circular 2 CFR Parts 200 and 600, entitled the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. In the event you do not provide the minimum amount of cost sharing as stipulated in the approved budget, ISN/ECC’s contribution will be reduced in like proportion.

4. Other: Organizations should have existing, or the capacity to develop, requisite technical expertise, and partnerships with international entities and relevant stakeholders, including foreign government officials with broad expertise in strategic trade controls implementation. Organizations should endeavor to apply DEIA principles in their selection of partners and interpretation of stakeholders or target audience.

5. Organizations may form consortia and submit a combined proposal. However, one organization should be designated as the lead applicant. Organizations should submit separate proposals for each line of effort/sub-section/project identified in the NOFO.

D. APPLICATION AND SUBMISSION INFORMATION

1. Address to Request Application Package This NOFO contains all information and links necessary for potential applicants to apply.

This NOFO and all required forms can be accessed through SAMS Domestic

Organizations can submit multiple applications to this NOFO, and each could be awarded, but each application must have a distinct application number

(SAPP000XXXXX)

https://www.usaid.gov/sites/default/files/documents/308maa.pdf

ISN-ECC FY23 NOFO SAMS Domestic 15

Applications must be submitted through SAMS Domestic (https://mygrants.servicenowservices.com)

Both a valid Unique Entity Identifier (formerly DUNS) number and a SAM.gov registration are required prior to submitting an application. Please register with SAM.gov before you apply for this announcement; if your organization is already registered with SAM.gov, please ensure that your account is active.

Organizations should verify that they have a Unique Entity Identifier number or take the steps needed to obtain one as soon as possible. Instructions for obtaining a Unique Entity Identifier number can be found at www.sam.gov.

Applicants will receive a validation email from SAMS Domestic upon successful submission of an application. Additionally, you must save a screenshot of the checklist showing all documents submitted in case any document fails to upload successfully.

Late applications are neither reviewed nor considered unless the ISN/ECC point of contact listed in Section G of the proposal request is contacted prior to the deadline and is provided with evidence of system errors caused by SAMS Domestic that is outside of the applicants’ control and is the sole reason for late submission.

Applicants cannot submit multiple applications in a single entry on SAMS Domestic.

Each application has to be submitted independently.

The applicant should not expect a notification from ISN /ECC upon receipt of their application.

For assistance with SAMS Domestic, please call the ILMS Help Desk at 1-888-313-4567 or email ILMS@state.gov. The ILMS Help Desk is available 24 hours a day, seven days a week, except federal holidays.

For a list of federal holidays visit:

https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/

Application Deadline:

All applications must be submitted by April 14, 2023 at 5:00 p.m. EST. Applications submitted after 5:00 p.m. EST will be ineligible for consideration. We recommend that applicants begin the application process early, as this will allow time to address any technical difficulties that may arise in advance of the deadline. Faxed proposals will not be accepted at any time. Late applications will not be considered. It is the applicant’s responsibility to ensure that proposals are submitted on time.

2. Content and Form of Application Submission Please read the entire NOFO and follow the guidelines for proposal preparation below.

Applicants must include the following in the proposal submission. All submissions must be in English.

https://gcc01.safelinks.protection.outlook.com/?url=https%3A%2F%2Fmygrants.servicenowservices.com%2F&data=02%7C01%7CSilva-CastellanosML%40state.gov%7C2ce2946b8a2e4da9906508d7cf4d3fa6%7C66cf50745afe48d1a691a12b2121f44b%7C0%7C0%7C637205803032673193&sdata=wtRcElX%2Fs1PYDm56tAsu%2BBLrYW6m7kSYXLyDo5LuUDU%3D&reserved=0 mailto:ILMS@state.gov https://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/

ISN-ECC FY23 NOFO SAMS Domestic 16

a. Table of Contents that lists application contents and attachments (if any).

b. Forms: Completed and signed SF-424, SF-424A and SF424B, as directed in

SAMS Domestic. The Certifications and Assurances that your organization is agreeing to in signing the 424 are available at https://www.grants.gov/forms/sf-424-family.html;

c. Mandatory Disclosures: If your organization engages in lobbying activities, a

Disclosure of Lobbying Activities (SF-LLL) form is required.

d. Proposal Narrative (not to exceed 12 pages, single-spaced, 12-point Times New

Roman font in Microsoft Word, at least one-inch margins), following the structure described below. The proposal narrative should identify inputs, outputs, and outcomes of the proposal activities, timelines, and any qualitative or quantitative targets, and impact. A portion of the program should include compiling, analyzing, and disseminating program results and lessons learned. Applicants should outline a learning plan that demonstrates how the program will be monitored and how monitoring will be analyzed to adapt implementation to support effectiveness and avoid unintended consequences. Some form of independent evaluation must be included in proposals responding to this NOFO.

Please elaborate on the type (quasi-experimental, developmental, outcome harvesting, process tracing, etc.). While the type of evaluation is flexible within Department of State guidance, it must be independent.

e. One page Diversity, Equity, Inclusion, and Accessibility (DEIA) Plan DEIA Plans should address the following categories, the pursuit of which should not take precedence over a proposal’s core goals. See Appendix A for definitions of key concepts.

• Support staff DEIA: Consider a diverse pool of potential implementers and sub-implementers to afford employment opportunities to as diverse and inclusive a population as is feasible

• SME DEIA: To the extent possible, consider a diverse population of subject matter experts to deliver training, lead discussions, and present technical information. This may include engaging local and regional experts as trainers.

(Note: applicants should not discuss proposals directly with local partners without the explicit approval of ISN.)

• Audience DEIA: Consider how to engage a diverse, representative cross-section of the target-audience population while taking into account the objectives of the engagement. This might include considering local representation disparities that are not immediately apparent to those from another culture.

• Accessibility: Consider how to actively reduce or eliminate obstacles that would impede participation by people with disabilities.

https://www.grants.gov/forms/sf-424-family.html

ISN-ECC FY23 NOFO SAMS Domestic 17

Plan contents and submission

Applicants may use DEIA Plans to describe how proposals will achieve one or more of the DEIA objectives identified above. Plans need not include specific performance targets, but they should outline any concrete steps or key partners the implementer would leverage to achieve the objectives. Plans may also include information about the applicant’s past performance on DEIA-related metrics, both as an employer and as an implementer, and any country specific gender analysis to be conducted. Plans may consist of two separate elements as noted below;

implementers can submit one or both elements as part of their proposal. The first element is the project-specific DEIA statement, and the second element is the standalone DEIA summary document.

The first element is project specific language to be integrated into their project proposal consistent with the objectives above. This could consist of actions to be completed as part of the project, demographic targets for participants, key partners that will assist with delivery/implementation, and outside any organization to be engaged if the project is funded. Integrated DEIA Plans should be no more 250 words per project. If the applicant chooses to integrate DEIA Plans into their proposals, they should do so in accordance with the template provided as part of the Notice for Funding Opportunity.

The other element is a standalone document (one per proposal). The standalone DEIA Plan should identify proposal-wide actions, highlight past performance, highlight staffing information that will impact the performance of the projects, or articulate examples of previous steps taken consistent with the objectives above.

Standalone document should be no longer than one page on standard letter paper with one-inch margins and 12-point Times New Roman font.

f. Risk Assessment described in section A above.

g. Single –page Scope of Work (includes all proposed program components and links each of these to the specific goal(s) it addresses. This document is not a narrative. It must be in outline form and capture all proposed work to be funded by this project. This includes each proposed program component with a brief statement that links each component to the corresponding goal it supports. SOWs that contain quantitative estimates of expected outputs, outcomes and indicators of success for each component will be considered more competitive.

h. A detailed agenda for engagement and representative sample materials, so that evaluations can be made about course substance. This may be included as an addendum.

i. A list which identifies by name, title, and experience, the subject matter experts it intends to use to implement the projects.

j. Summary and detailed Budget in USD submitted in Excel, budget totals must be rounded up to whole dollars, (not to exceed 6 pages) that includes an

ISN-ECC FY23 NOFO SAMS Domestic 18 explanation for each line item in the spreadsheet, as well as the source and description of all cost. The total budget should not exceed $6,500,000 and applicants are asked to adhere to the budget parameters denoted under individual activities (all of which are subject to change upon availability of funds). The budget must identify the total amount of funding requested, with a breakdown of amounts to be spent in the following budget categories:

Personnel;

Fringe benefits;

Travel;

Equipment;

Supplies;

Consultants/contracts;

Other direct costs; and Indirect costs.

• A budget template may be found here: https://www.state.gov/wp-content/uploads/2019/05/Budget-Guidance-for-Applicants-%E2%80%93- New-Award-Budget-Sample.xlsx

• Travel costs must be further broken down to reflect transportation expenses and per diem, with per diem reflecting correct rates for destination cities. For further information and current foreign per diem rates, please visit:

https://aoprals.state.gov/web920/per_diem.asp

• Applicants must adhere to the requirements of 2 CFR 200.474 when proposing and conducting travel.

• Applicants should budget for lodging site must be at a four-star (or higher) rated hotel within USG per diem rates. ISN/ECC finds Mobil and AAA hotel ratings acceptable. If a four-star hotel is not available within per diem, Implementer may propose a three-star hotel within per diem rates.

If proposing a three-star hotel, implementer must provide accompanying rationale explaining why a four-star hotel is not proposed. The lodging sites should be located convenient to the training locations as well as to local restaurants, etc. (For proposal preparation purposes, Implementer should assume that delegates will arrive the day before the training exchange commences and depart the day after it concludes. The Implementer will be responsible for lodging costs only, with delegates personally responsible for incidental charges such as mini bar, pay television, long distance phone calls, room service, etc.). ISN/ECC strongly prefers that the lodging site be co-located with the training exchange venue. All rooms and hotel facilities shall comply with the current Federal, State, and Local health, fire, and safety regulations and codes.

https://www.state.gov/wp-content/uploads/2019/05/Budget-Guidance-for-Applicants-%E2%80%93-New-Award-Budget-Sample.xlsx https://www.state.gov/wp-content/uploads/2019/05/Budget-Guidance-for-Applicants-%E2%80%93-New-Award-Budget-Sample.xlsx…