SFOP0009900.docx

U.S. Department of State Bureau of International Security and Nonproliferation, Office of Cooperative Threat Reduction Notice of Funding Opportunity

A. PROGRAM DESCRIPTION

The Department of State’s Bureau of International Security and Nonproliferation, Office of Cooperative Threat Reduction (ISN/CTR) is pleased to announce an open competition for assistance awards through this Notice of Funding Opportunity (NOFO). ISN/CTR sponsors foreign assistance activities funded by the Nonproliferation, Antiterrorism, Demining and Related Programs (NADR) account, and focuses on mitigating weapons of mass destruction (WMD) and WMD-related delivery systems proliferation and security threats from non-state actors and proliferator states. An underlying aim of all ISN/CTR’s efforts is long-term sustainability to maximize programmatic impact while minimizing the need for foreign partners to rely on outside financial or technical assistance.

Bolstering Intellectual Property Rights Protections at World Class Research Institutions

Advanced research organizations are vulnerable to theft and loss of intellectual property (IP) that can be leveraged for military end uses by the PRC and other actors. Affiliations and links to military entities are often obfuscated or disguised when establishing research collaborations. Europe is at the front line of these targeted efforts to acquire IP to advance adversary key priorities. The research, IP and technological know-how acquired through these means can be used to enhance the military and WMD capabilities of the PRC. Unmapped linkages between PRC universities and European universities and research centers create security vulnerabilities and lead to the erosion of academic freedom for the EU, individual European countries, and critical NATO allies.

ISN/CTR seeks to build on the results of the China-Europe Academic Engagement Tracker that maps and describes interactions between European academic institutions and PRC entities. The Central European Institute of Asian Studies’ (CEIAS) tracker currently maps Eastern Europe, and this project will expand analysis to the rest of the European continent, with an emphasis on EU member states. The outcome of this project will provide a comprehensive record that details the volume of these interactions with a particular focus on problematic agreements that create links with PRC defense universities and the PRC defense industry and which promote tech transfer that threatens the security of our European allies and partners.

By the end of the award’s period of performance, the recipient will have successfully developed and implemented a project or projects to advance ISN/CTR’s mission by accomplishing at least one or more of the following goals:

· Mapping and analyzing high-tech dual-use research collaborations between European universities and PRC defense entities to expand on the EU-China Academic Engagement Tracker beyond the original 11 countries, to include data on EU members from West and South Europe, UK, Western Balkans, etc.

· Visualizing and explaining the mapping data, including the nature of academic linkages, level of risk, and other key findings, as an expansion of the interactive EU-China Engagement Tracker portal.

· Facilitating multiple workshops and/or bilateral meetings with policymakers, media, academic institutions, and civil society which draw on the research and U.S. experience to communicate the security risks of research collaboration with the PRC.

· Preparing practical recommendations, e.g. in form of model guidelines, or model contracts for international cooperation, based on the principle of protecting academic freedom while preventing technology theft and other illicit and high-risk transfers by design.

· Publishing analyses on cross-cutting, sectoral issues, such as evaluation of current contractual frameworks on protection of intellectual property in academic cooperation with the PRC (or lack thereof).

· Establishing a network of like-minded experts, to act as idea-entrepreneurs, helping to link key players in the U.S. academic security field with their European counterparts.

· Strengthening the ability of higher education institutions and European governments to review agreements with the PRC to protect national interests, ensure research security and integrity, and increase the transparency of research collaborations.

Funding Priorities

ISN/CTR focuses its resources on countries facing the greatest threats from proliferator states and non-state actors with the reasonable potential (e.g., absorptive capacity, diplomatic willingness, etc.) to successfully implement threat reduction activities. Recipients shall leverage relevant subject matter experts within the submitting organization or in partnership with other applicants to develop and implement projects that advance ISN/CTR’s mission. Engaging with inclusive and diverse foreign audiences, leveraging where possible women and minority-focused technology institutions, science, technology, engineering, and mathematics (STEM) organizations, and security organizations, is encouraged but not required.

For fiscal year 2023, ISN/CTR’s priority countries for this project lie within the following geographic region, as defined by the U.S. Department of State: Europe and Eurasia (EUR)

B. FEDERAL AWARD INFORMATION

Length of performance period: 24 months Number of awards anticipated: TBD (dependent on amounts) Award amounts: ISN/CTR anticipates issuing one $600,000 project but may issue multiple projects that cumulatively equal $600,000.

Total available funding: $600,000 Type of Funding: FY22/23 Nonproliferation, Anti-Terrorism, Demining and Related Activities Funds under the Foreign Assistance Act.

Anticipated project start date: October 1, 2023 Funding Instrument Type: Cooperative agreement. Cooperative agreements are different from grants in that bureau staff are more actively involved in the grant implementation Project Performance Period: Proposed projects should be completed in 24 months or less

This notice is subject to availability of funding.

. C. ELIGILIBITY INFORMATION

1. Eligible Applicants

The following organizations are eligible to apply (both domestic and international):

· Not-for-profit organizations

· Public and private educational institutions

· For-profit organizations

· Federally funded research and development centers

· Public International Organizations

2. 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.

3. Other Eligibility Requirements

In order to be eligible to receive an award, all organizations must have a Unique Entity Identifier (UEI) number issued via www.SAM.gov as well as a valid registration on www.SAM.gov. Please see Section D.3 for more information.

Applicants are only allowed to submit one proposal package per organization. If more than one proposal is submitted from an organization, all proposals from that institution will be considered ineligible for funding.

D. APPLICATION AND SUBMISSION INFORMATION

1. Address to Request Application Package

Application forms required below are available at grants.gov

2. Content and Form of Application Submission Please follow all instructions below. Proposals that do not meet the requirements of this announcement or fail to comply with the stated requirements will be ineligible.

Content of Application Please ensure:

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

· All documents are in English

· All budgets are in U.S. dollars

· 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.

1. The following documents are required:

Mandatory application forms

1. SF-424 (Application for Federal Assistance – organizations)

2. Project Proposal: Please follow the directions to complete the proposal template included in the application package.

3. Consolidated Project List

4. Budget Detail and Summary: See section H. Other Information: Guidelines for Budget Submissions below for further information.

Optional application forms

1. SF-424B (ASSURANCES - NON-CONSTRUCTION PROGRAMS)

2. SF -LLL (DISCLOSURE OF LOBBYING ACTIVITIES)

3. Copy of most recent approved NICRA

4. DEIA standalone document (Separate from DEIA plan information included in project proposal)

2. Unique Entity Identifier and System for Award Management (SAM.gov)

Required Registrations: Note: As of April 2022, a DUNS number is no longer required.

· www.SAM.gov registration which will generate a UEI

· NCAGE/CAGE code

Any applicant with an exclusion in the System for Award Management (SAM) 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.”

The Unique Entity Identifier (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. SAM.gov is the Federal government's primary database for complying with FFATA reporting requirements. OMB designated SAM.gov as the central repository to facilitate applicant and recipient use of a single public website that consolidates data on all federal financial assistance. Under the law, it is mandatory to register in SAM.gov.

Starting April 2022, the UEI will be assigned when an organization registers or renews it’s registration in SAM.gov at www.SAM.gov. To access SAM.gov an organization is required to have a Login.gov account. Organization can create an account at https://login.gov/. As a reminder, organizations need to renew its sam.gov registration annually.

US-based organizations: A CAGE code will be automatically assigned when the U.S. organizations registers in www.sam.gov. CAGE must be renewed every 5 years. Site for CAGE: https://cage.dla.mil/Home/UsageAgree. Grantees may be asked for more information to finalized and must comply.

Non -US based organizations: Must apply for a NCAGE code before registering in SAM.gov. Go to: https://eportal.nspa.nato.int/AC135Public/CageTool/home to apply for a NCAGE code. NCAGE codes must be renewed every 5 years.

It is in the organization’s best interest to check if their CAGE/or NCAGE codes are active. Organizations are required to register/or renew their CAGE or NCAGE codes prior to registering or renewing www.sam.gov . Both registration and renewals for both CAGE and NCAGE can take up to 10 days. Organization’s legal address in NCAGE/CAGE must mirror www. sam.gov.

www.sam.gov requires all entities to renew their registration once a year in order to maintain an active registration status in SAM.gov. It is the responsibility of the applicant to ensure it has an active registration in SAM.gov.

If an organization plans to issue a sub-contract or sub-award, those sub-awardees must also have a unique entity identifier (UEI number). Those entities can register for a UEI only at SAM.gov.

If an organization does not have an active registration in SAM.gov prior to submitting an application, the application will be deemed ineligible. All organizations applying for grants (except individuals) must obtain these registrations, the latter are free of charge.

1. Submission Dates and Times

Applications are due no later than: July 15, 2023, 11:59PM EDT

2. Funding Restrictions

Of note, legal restrictions prevent ISN/CTR from providing assistance to Burma, China, Cuba, Iran, North Korea, South Sudan, Sudan, and Syria.

3. Other Submission Requirements

With the exception of FFRDCs, all application materials must be submitted electronically through www.Grants.gov.

For FFRDCs ONLY, directly submit application to the relevant program team and copy the budget team: ISN-CTR-BUDGET@state.gov

E. APPLICATION REVIEW INFORMATION

1. Criteria

Applicants should note that the following criteria serve as a standard against which all project proposals will be evaluated and identify significant considerations that should be addressed in all proposals. ISN/CTR will award a cooperative agreement to the applicant(s) whose offer represents the best overall value to the government from both a technical and cost perspective.

ISN/CTR will evaluate proposals against the stated criteria. Criteria are listed in descending order of importance.

· Proposed Activity or Activities: Applicants should clearly describe what they propose to do and how they will do it. The proposed project(s) must directly relate to meeting the specified objectives and applicants should include specific information on how they will systematically meet ISN/CTR’s global threat reduction mission. ISN/CTR will evaluate the project proposal in terms of how well it addresses the issues at hand, relevance and feasibility of the proposed activities, the timeline for completion, and the extent to which the impact of the project will continue beyond the conclusion of the period of performance.

· Organizational Capability: Applicants must demonstrate how their resources, capabilities, and experience will enable them to achieve the stated goals and objectives in an international technical context. The proposal(s) must identify all key partners and organizations that will be involved in implementation of this project.

· Budget: Proposed costs will be evaluated for feasibility, fiscal control practices, and efficiency. ISN/CTR must be able to determine that proposed costs are reasonable, allowable, and allocable to the proposed project activities. ISN/CTR will evaluate the budget to determine if the overall costs are realistic for the work to be performed, if the costs reflect the applicant’s understanding of the allowable cost principles established by 2CFR200, and if the costs are consistent with the program narrative.

· Impactful and Measurable Engagements: Although complex nonproliferation objectives demand persistent engagement with partner countries, discrete projects should individually advance progress toward a particular objective. Proposals should describe the end-state the project aims to achieve, along with specific, measurable, and realistic benchmarks by which to gauge progress toward that end-state. Compelling project proposals will establish milestones to be met during the training period, and describe observable progress in the adoption, implementation, or enhancement of nonproliferation or sanctions enforcement and compliance best practices

· Diversity and Inclusion: ISN/CTR values collaboration and promotes diversity, equity, and inclusion with all stakeholders by creating an environment that is open to equal opportunities without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran or disabled status. Implementers are welcome but not required to submit with their proposal a plan for how the implementer intends to further ISN/CTR’s diversity, equity, inclusion, and accessibility (DEIA) objectives through their programming. Submitted plans will be evaluated separate to the overall evaluation of projects and

· Cyber Security: Implementer shall be required to establish and follow policy and procedures for an effective implementation of security controls using NIST 800-53 (Rev. 5 or higher)), System and Information Integrity Policy (SI-1) as follows:

1. Identification and Authentication: Implement multifactor authentication for network access and local access.

2. Access Controls: Implement security controls for information sharing, remote access and wireless access including:

a. Monitoring, controlling, and protecting remote and wireless access to information by auditing information systems components (e.g., workstations, notebook computers, smartphones, and tablets).

3. Incident Handling: Monitor and report any and all security incidents including breaches to ISN/CTR directly within 48 hours of the incident and include a risk assessment of the security access controls.

2. Federal Awardee Performance & Integrity Information System (FAPIIS)

For any Federal award under a notice of funding opportunity, if the Federal awarding agency anticipates that the total Federal share will be greater than the simplified acquisition threshold on any Federal award under a notice of funding opportunity may include, over the period of performance (see §200.88 Simplified Acquisition Threshold), this section must also inform applicants:

i. That the Federal awarding agency, prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold, is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313);

ii. That an applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM;

iii. That the Federal awarding agency will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in §200.206 Federal awarding agency review of risk posed by applicants.

F. FEDERAL AWARD ADMINISTRATION INFORMATION

1. Federal Award Notices

The cooperative agreement will be written, signed, awarded, and administered by the Grants Officer. The assistance award agreement is the authorizing document, and it will be provided to the recipient for review and signature by email. The recipient may only start incurring project expenses beginning on the start date shown on the grant award document signed by the Grants Officer.

If a proposal is selected for funding, the Department of State has no obligation to provide any additional future funding. Renewal of an award to increase funding or extend the period of performance is at the discretion of the Department of State.

Issuance of this NOFO does not constitute an award commitment on the part of the U.S. government, nor does it commit the U.S. government to pay for costs incurred in the preparation and submission of proposals. Further, the U.S. government reserves the right to reject any or all proposals received.

Anticipated Time to Award: Applicants should expect to be notified of the recommended concepts within 90 days after the submission deadline. Following this initial notification, selected applicants will be expected to submit a full application within 30 days. ISN/CTR staff will provide information at the point of notification about the requirements for the full application, which may include revisions to the activities. The full applications will not be subject to further competition, but must incorporate any suggested changes made by ISN/CTR.

Issuance of this NOFO does not constitute an award commitment on the part of the Government, nor does it commit the Government to pay for costs incurred in the preparation and submission of proposals. Further, the Government reserves the right to reject any or all proposals received.

Project Implementation Meeting: The recipient should expect to have a pre-project implementation meeting with ISN/CTR within thirty days after the cooperative agreement is awarded and before any work is performed for the award.

Payment Method: Payments under this award will be made through the U.S. Department of Health and Human Services (HHS) Payment Management System (PMS). Unless otherwise stipulated, the Recipient may request payments on a reimbursement or advance basis. Instructions for requesting payments are available at: https://pms.psc.gov/.

2. Administrative and National Policy Requirements

Before submitting an application, applicants should review all the terms and conditions and required certifications which will apply to this award, 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

· U.S. DEPARTMENT OF STATE STANDARD TERMS AND CONDITIONS

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: NOTE:

· 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:

· 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),

· 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),

· 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),

· 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

· 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).

3. Reporting

Reporting Requirements: As a cooperative agreement, reporting and deliverable requirements for this project exceed those of typical grants. Applicants should pay special attention to these enhanced reporting and deliverable requirements. Specifically:

Using a template provided by ISN/CTR, the Recipient shall submit quarterly progress reports to the designated Grants Officer Representative (GOR), program distribution list, and to the following email address ISN-CTR-BUDGET@state.gov detailing:

· Assistance activities conducted during the reporting period;

· Milestones and successes achieved to date;

· Key assistance activities remaining to be implemented with a projected timetable;

· Details of any problems encountered with proposed solutions; and

· Any other pertinent information requested by ISN/CTR.

· The Recipient shall provide the GOR with copies of all materials developed under this cooperative agreement.

· In addition to regular quarterly reports, the Recipient shall furnish the GOR with ad hoc reports as requested from time to time.

· In addition to the above, the Recipient shall submit quarterly financial reports throughout the project period. Financial reports are due 30 days after the reporting period. Final programmatic and financial reports are due 90 days after the close of the project period

Applicants should be aware of the post award reporting requirements reflected in 2 CFR 200 Appendix XII—Award Term and Condition for Recipient Integrity and Performance Matters.

Foreign Assistance Data Review: As required by Congress, the Department of State must make progress in its efforts to improve tracking and reporting of foreign assistance data through the Foreign Assistance Data Review (FADR). The FADR requires tracking of foreign assistance activity data from budgeting, planning, and allocation through obligation and disbursement. Successful applicants will be required to report and draw down federal funding based on the appropriate FADR Data Elements, indicated within their award documentation. In cases of more than one FADR Data Element, typically program or sector and/or regions or country, the successful applicant will be required to maintain separate accounting records.

G. FEDERAL AWARDING AGENCY CONTACTS

For programmatic questions about this solicitation, please contact:

Counter PRC MCF and Emerging Technologies Team Office of Cooperative Threat Reduction U.S. Department of State Email: ISN-CTR-China-DL@state.gov Phone: (202) 340-4610

Direct any NOFO submission (non-programmatic) questions to:

Office of Cooperative Threat Reduction Budget Team ISN-CTR-BUDGET@state.gov

H. OTHER INFORMATION

Guidelines for Budget Justification Personnel and Fringe Benefits: Describe the wages, salaries, and benefits of temporary or permanent staff who will be working directly for the applicant on the program, and the percentage of their time that will be spent on the program.

Travel: Estimate the costs of travel and per diem for this program, for program staff, consultants or speakers, and participants/beneficiaries. If the program involves international travel, include a brief statement of justification for that travel.

Equipment: Describe any machinery, furniture, or other personal property that is required for the program, which has a useful life of more than one year (or a life longer than the duration of the program), and costs at least $5,000 per unit.

Supplies: List and describe all the items and materials, including any computer devices, that are needed for the program. If an item costs more than $5,000 per unit, then put it in the budget under Equipment.

Contractual: Describe goods and services that the applicant plans to acquire through a contract with a vendor. Also describe any sub-awards to non-profit partners that will help carry out the program activities.

Other Direct Costs: Describe other costs directly associated with the program, which do not fit in the other categories. For example, shipping costs for materials and equipment or applicable taxes. All “Other” or “Miscellaneous” expenses must be itemized and explained.

Indirect Costs: These are costs that cannot be linked directly to the program activities, such as overhead costs needed to help keep the organization operating. If your organization has a Negotiated Indirect Cost Rate (NICRA) and includes NICRA charges in the budget, attach a copy of your latest NICRA. Organizations that have never had a NICRA may request indirect costs of 10% of the modified total direct costs as defined in 2 CFR 200.68.

“Cost Sharing” refers to contributions from the organization or other entities other than the U.S. Embassy. It also includes in-kind contributions such as volunteers’ time and donated venues.

Alcoholic Beverages: Please note that award funds cannot be used for alcoholic beverages.