Defense Security Cooperation University - Research Grants

DSCU NFO HQ003423NFOEASD17

NOTICE OF FUNDING OPPORTUNITY
DEPARTMENT OF DEFENSE
DEFENSE SECURITY COOPERATION UNIVERSITY – RESEARCH GRANTS
ANNOUNCEMENT TYPE: Initial Announcement
FUNDING OPPORTUNITY NUMBER: HQ003423NFOEASD17
ASSISTANCE LISTING: 12.024 Defense Security Cooperation University -
Research Grants
KEY DATES: This NFO is a continuously open announcement.
Amendments to this Notice of Funding Opportunity
(NFO) will be posted to Grants.gov if they occur. Select
white paper submissions will be invited to submit a full
application.
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CONTENTS
I. PROGRAM DESCRIPTION ..................................................................................................................... 4
A. BACKGROUND .................................................................................................................................. 4
B. FUNDING PRIORITIES ...................................................................................................................... 5
C. AUTHORIZATION .............................................................................................................................. 5
II. FEDERAL AWARD INFORMATION .................................................................................................... 5
A. TYPE OF INSTRUMENT ..................................................................................................................... 5
B. ESTIMATED PROGRAM FUNDING .................................................................................................... 5
C. ANTICIPATED NUMBER OF AWARDS ............................................................................................... 6
D. OTHER .............................................................................................................................................. 6
III. ELIGIBILITY INFORMATION ............................................................................................................ 6
A. ELIGIBLE APPLICANTS .................................................................................................................... 6
B. COST SHARING OR MATCHING ....................................................................................................... 7
C. CONFLICT OF INTEREST .................................................................................................................. 7
D. PROTECTION OF HUMAN SUBJECTS ............................................................................................... 7
IV. APPLICATION AND SUBMISSION INFORMATION ............................................................................ 8
A. APPLICATION PROCEDURES AND REQUIREMENTS ........................................................................ 8
B. SUBMISSION DATE AND TIME .......................................................................................................... 8
C. APPLICATION WITHDRAWAL .......................................................................................................... 9
D. WHITE PAPERS (STAGE ONE) ......................................................................................................... 9
1. WHITE PAPER PACKAGE REQUIREMENTS ................................................................................ 9
2. WHITE PAPER SUBMISSION....................................................................................................... 10
E. TECHNICAL APPLICATION (STAGE TWO)..................................................................................... 10
1. TECHNICAL APPLICATION PACKAGE REQUIREMENTS ........................................................... 10
2. TECHNICAL APPLICATION SUBMISSION ................................................................................... 11
3. PROJECT NARRATIVE FILE ....................................................................................................... 11
4. INITIAL WORK PLAN ................................................................................................................. 15
5. BUDGET JUSTIFICATION ............................................................................................................ 16
V. APPLICATION REVIEW INFORMATION ............................................................................................. 18
A. SELECTION CRITERIA ................................................................................................................... 18
B. REVIEW AND SELECTION PROCESS .............................................................................................. 19
VI. REPORTING REQUIREMENTS ........................................................................................................ 20
A. PERFORMANCE REPORTING ......................................................................................................... 20
B. FINANCIAL REPORTING ................................................................................................................. 20
C. AUDIT REPORTS ............................................................................................................................. 21
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D. PROPERTY REPORTS ...................................................................................................................... 21
E. DOCUMENT SUBMISSION ............................................................................................................... 21
VII. FEDERAL AWARD ADMINISTRATION INFORMATION ................................................................... 21
A. FEDERAL AWARD NOTICES ........................................................................................................... 21
B. NATIONAL POLICY (NP) REQUIREMENTS .................................................................................... 21
VIII. OTHER ADMINISTRATIVE REQUIREMENTS.............................................................................. 29
IX. FEDERAL CONTACTS ..................................................................................................................... 29
X. OTHER INFORMATION ....................................................................................................................... 30
A. SECURITY AND SAFEGUARDING INFORMATION – FEDERAL INFORMATION SECURITY
MANAGEMENT ACT ............................................................................................................................... 30
B. FUNDING RESTRICTIONS ............................................................................................................... 30
XI. APPENDIX ....................................................................................................................................... 30
A. LIST OF ACRONYMS ....................................................................................................................... 30
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I. PROGRAM DESCRIPTION
The Defense Security Cooperation Agency’s (DSCA) Defense Security Cooperation
University (DSCU) promotes access to and production of knowledge on security
cooperation. Security cooperation refers to “all Department of Defense (DoD)
interactions with foreign security establishments that build and develop allied and partner
security capabilities and capacity for self-defense and multinational operations, provide
the Armed Forces of the United States with access to the foreign country during
peacetime or a contingency operation, and build relationships that promote specific
United States security interests” (Joint Publication 3-20, Security Cooperation, 1-2; see
also 10 USC § 16, “Security Cooperation”).
Evidence-, theory, and data-building activities that contribute to the body of knowledge
on security cooperation or irregular warfare, and that result in lessons that can be applied
to practice, are the primary focus of this NFO. Research products sponsored through this
NFO must be unclassified and publicly accessible. DSCU expects awardees to participate
in conferences, seminars, focus groups and events, and to make final research products
and supporting data (if applicable) easily accessible to the public, in order to enhance
dissemination of research findings and facilitate application of lessons learned in areas of
policy, practice, and workforce professionalization.
The DSCU research grant program, conducted pursuant to 10 USC § 4001 and 10 USC §
384(g), is generally open to a broad range of researchers, although individual DSCU
components may have restrictions on who may receive grants. See section III.A for more
details.
In response to this NFO, interested applicants should submit a white paper using an
online form linked below. Based on assessment of the white papers submitted, the Grants
Officer will advise applicants whether their projects were judged competitive for a DSCU
award and, if so, invite the applicant to submit a full technical application for funding
consideration. White papers that fail to address the areas listed in the Program
Description of the NFO will not be evaluated and will not receive an invitation to submit
a full technical application.
A. BACKGROUND
The DSCU mission is to advance the knowledge and practice of security cooperation
through the education, training, and development of the U.S. security cooperation
workforce and through the education, training, and institutional capacity building of
partner nations; and to produce research, analysis, and lessons learned that expand the
intellectual foundations of security cooperation. DSCU components sponsor and
conclude research projects that align substantively with the DoD Learning and
Evaluation Agenda for Partnerships (LEAP) framework and the DSCU Sponsored
Research goals. At DSCU, the BG Charles Young Research, Analysis, and Lessons
Learned Institute (Young Institute) and the Irregular Warfare Center (IWC) currently
offer research grants.
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B. FUNDING PRIORITIES
• Young Institute: Applications will meet standards of scientific rigor and address
the research priorities described in the DSCU Research Agenda at this link:
https://www.dscu.edu/bgcy-ralli/sponsored-research.
• IWC: Applications will be of scholarly quality and generate policy-relevant
empirical or theoretical advances in our understanding of irregular warfare and
gray zone competition, broadly conceived.
C. AUTHORIZATION
The authorization to make awards under this NFO may be found via Assistance
Listing 12.024 at https://sam.gov/content/assistance-listings.
II. FEDERAL AWARD INFORMATION
The award made under this announcement will be governed by the general terms and
conditions in effect at the time of the award that conform to DoD’s implementation of
Office of Management and Budget (OMB) guidance applicable to financial assistance in
2 CFR 200, “Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards.” Additionally, the requirements of the DoD Grant and
Agreement Regulations at 32 CFR Subchapter C are applicable to this award. These
terms and conditions are incorporated by reference in this announcement.
A. TYPE OF INSTRUMENT
The Government intends to award research grants or cooperative agreements. The
Government reserves the right to award other assistance instruments, if deemed in the
best interests of the Government. Grants and cooperative agreements are awarded
based on funding availability and merit.
• Young Institute: Grant amounts, ranging up to $800,000 per year, are set at levels
considered appropriate to research scope and outcomes, and matched to agency
needs and priorities. Young Institute projects must be completed within 24 months
unless exceptions are granted per contract with the government.
• IWC: IWC projects must be completed within 12 months (exceptions may be
granted on a case-by-case basis).
DSCU may work with other Federal agencies, quasi-government agencies, university-
affiliated research centers (UARCs), other government partners, or contractors to
evaluate white papers and technical applications and to administer grants and
cooperative agreements.
B. ESTIMATED PROGRAM FUNDING
The Federal Government (DoD) anticipates funding $21,600,000 toward multiple
grants and/or cooperative agreements, distributed across five fiscal years. The
anticipated federal program funding, broken out by Fiscal Year (FY), is:
Fiscal Year FY24 FY25 FY26 FY27 FY28 Total Estimated Amount
Federal $2.7M $4.5M $4.8M $5.1M $5.5M $21.6M
Contribution/Funding
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Subject to the availability of funds, the total value of this effort may also be
augmented by Congress or by other federal government agencies.
C. ANTICIPATED NUMBER OF AWARDS
The Government reserves the right to make multiple awards or no award as a result of
this NFO. Multiple awards are anticipated.
D. OTHER
All materials created or produced under this award must include the following:
• Acknowledgment of Support and Disclaimer: The Recipient is responsible for
assuring that an acknowledgment of DSCU support is made in any publication
(including World Wide Web pages) of any material based on or developed under
this project, in the following terms: “This material is based upon work supported
by the Defense Security Cooperation University research program under
Grant/Cooperative Agreement No. <Insert Award No.>. The views expressed in
written materials or publications, and/or made by speakers, moderators, and
presenters, do not necessarily reflect the official policies of the Department of
Defense nor does mention of trade names, commercial practices, or organizations
imply endorsement by the U.S. Government.”
• Review for Sensitive Information: Prior to the public release of these materials,
the Recipient is responsible for assuring that the Technical Representative is
provided access to an electronic version of every publication of material based on
or developed under this award, clearly labeled with the award number and other
appropriate identifying information, so that the content can be assessed for proper
release of sensitive information.
• Copies for DSCU: Promptly after publication, the Recipient will provide the
Technical Representative access to an electronic version of every publication of
material based on or developed under this award, clearly labeled with the award
number and acknowledgement of support (see above).
III. ELIGIBILITY INFORMATION
A. ELIGIBLE APPLICANTS
• Young Institute: open to individual researchers or research teams with or without
an affiliation; professional military education (PME) and civilian academic
institutions; U.S. and international research and think thank institutions; federally
funded research and development centers (FFRDCs); U.S. interagency security
cooperation communities of interest; and the security cooperation workforce (as
defined by 10 USC § 384).
• IWC: open to individual researchers or research teams with or without an
affiliation; professional military education (PME) and civilian academic
institutions; U.S. and international research and think thank institutions; federally
funded research and development centers (FFRDCs); and the U.S. interagency
irregular warfare communities of interest.
Applicants (principal investigators) may submit only one proposal at a time. Proposed
formal collaborators (co-principal investigators) or sub-recipients, however, may
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team on multiple proposals. Current and past awardees from this initiative, or
previous versions of this initiative, are eligible to submit white papers/applications
under this NFO. UARCs are eligible to submit white papers and applications under
this NFO, unless precluded from doing so by their Department of Defense UARC
contract.
B. COST SHARING OR MATCHING
Cost sharing is not required but, if offered, voluntary cost sharing may be considered
as a demonstration of a research teams’ commitment to their proposed project. If cost
sharing is used, the source of all current and pending funding support for the
proposed project must be declared (see Additional Documentation requirement in
Section IV.E “Technical Application”).
C. CONFLICT OF INTEREST
Within the white paper submission and technical application, the applicant, and any
formal collaborators or sub-recipients, must disclose any potential or actual scientific,
nonscientific or organizational conflict(s) of interest to the Government, including but
not limited to collaborative research or funding relationships that could have a
qualitative impact on the research findings. If an applicant, or any formal
collaborators or sub-recipients, has an actual or potential scientific, nonscientific, or
organizational conflict of interest, their application must identify the conflict of
interest and the mitigation plan to address it using ADAP Form 209.506-1. Silence on
this topic in an application will be understood to mean there is no conflict of interest.
The Government or Grants Officer reserves the right to clarify any conflict(s) of
interest, if needed. At the Government and/or Grants Officer’s discretion, the
Government and/or Grants Officer may ask the applicant, and any formal
collaborators or sub-recipients, for a conflict-of-interest mitigation plan after
submission of the application. The mitigation plan is subject to Government and/or
Grants Officer approval. Applicants, formal collaborators or sub-recipients with
conflicts of interest that are not mitigated will be ineligible for award.
D. PROTECTION OF HUMAN SUBJECTS
You must protect the rights and welfare of individuals who participate as human
subjects in research under this award, and comply with the requirements of the DoD
Instruction 3216.02, Protection of Human Subjects and Adherence to Ethical
Standards in DoD-Supported Research (2020).
For proposals containing activities that include research involving human subjects as
defined in DoDI 3216.02, after award, the Applicant must submit documentation as
requested by a DoD Human Research Protection Official (HRPO), outlined in the
DoDI 3216.02. Research involving human subjects must not commence until a HRPO
has reviewed and approved the proposed human subject research. Additional
information can be found below in Section VII.B.Article III.
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*NOTE: Institutional Review Board (IRB) approval isn’t required for the Technical
Application. However, upon notification of the award, applicants should start the
process for IRB approval. Applicants selected for award must obtain an approved IRB
90 days after the start of the award and submit the IRB to HRPO. This includes IRB
approved Human Research exemptions. Non-approval of an IRB will be subject to
the Prohibition of Use of Human Subjects which will delay the start of the grant.
IV. APPLICATION AND SUBMISSION INFORMATION
A. APPLICATION PROCEDURES AND REQUIREMENTS
Proposals submitted shall be in accordance with this announcement. Applicants
should be alert for any amendments to this NFO that may adjust submission dates or
other submission requirements. All proposals must reference this announcement
number. All submissions must be unclassified.
This NFO application process is implemented in two stages:
1. Applicants must submit a white paper. White papers are a MANDATORY
component of a two-part submission process.
2. Based on assessment of the white paper, the Grants Officer will invite selected
applicants to submit a technical application. Technical applicants will be
evaluated in accordance with the evaluation criteria stated herein (see Section
V.A)
For non-competitive grants and cooperative agreements, the Government may, at its
discretion, limit the application requirements to a single stage based on the Technical
Application stage described at Section IV.E.
The Government reminds applicants that only warranted Grants Officers can bind or
otherwise commit contractually the Government. The cost of preparing proposals in
response to this announcement is not an allowable direct charge to any resulting
agreement (or any other federal award/contract).
B. SUBMISSION DATE AND TIME
The Young Institute and IWC consider white papers on a rolling basis. Those
applicants that are invited to submit technical applications will be designated a
deadline for submission of the technical application. Technical applications submitted
after the posted deadline may not be evaluated for funding consideration.
Applicants are responsible for submitting their technical applications in sufficient
time to allow them to reach Grants.gov by the date and time specified as the deadline
for receipt. It is strongly recommended that applications be uploaded at least two days
before the closing date and time. This will help avoid problems caused by high
system usage or any potential technical and/or input problems involving the
applicant’s own equipment. It will also allow any application errors detected by
Grants.gov to be corrected in time for the application to be resubmitted. If the
application is received by Grants.gov after the exact time and date specified as the
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deadline for receipt, it will be considered “late” and may not be considered for
review.
C. APPLICATION WITHDRAWAL
An applicant may withdraw an application at any time before award by written notice
or by email. Notice of withdrawal shall be sent to the Grants Officer identified in this
announcement. Withdrawals are effective upon receipt of notice by the Grants
Officer.
D. WHITE PAPERS (STAGE ONE)
1. WHITE PAPER PACKAGE REQUIREMENTS
White papers should include technical information, summary, research concept,
methodology, proposed budget, and researcher bio(s), as described below. Please
limit Project Summary to 100 words, limit word count for the Research Concept
and Methodology prompts to 500 words total, and limit Researcher Biographies to
250 words each.
• Project Information: The project title; name, position and organizational
affiliation (if applicable) of applicant (principal investigator) and of any
formal collaborators (co-principal investigators) and sub-recipients;
administrative points of contact (POCs); topic(s) of interest addressed; and
estimated total cost of the project. Note: Proposals may name only one
principal investigator (who must be the applicant) as the responsible technical
point of contact.
• Project Summary: A summary of the proposed research project that articulates
the merits of the effort. Proposed application to the practice of security
cooperation or irregular warfare must be expressly addressed.
• Research Concept: A description of the proposed research effort and the logic
for how it advances the security cooperation or irregular warfare mission. The
capacities of the applicant, and of any formal collaborators or sub-recipients,
must be discussed as they relate to achieving success in the project. The
narrative should provide answers to the following:
o What is the research question? What hypothesis is/hypotheses are being
tested? For major data-collection efforts, what research questions will this
new data allow us to answer?
o What is the state of existing debate in the literature?
o What does the proposed work aim to contribute to the practice of security
cooperation or irregular warfare?
• Methodology: Articulate the proposed tools to collect, analyze, and report data
in the proposed project. Provide a brief description of the logic behind each
method and data type. Include a brief argument that demonstrates the
feasibility of the project, taking into consideration logistics, access to data and
individuals, and other required resources.
• Proposed Budget: Include a budget estimate showing the annual requested
funding and total project cost. Please include a brief description of anticipated
costs, including direct, indirect, administrative, overhead, salary, travel, and
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sub-contracting costs. Include enough detail to demonstrate how each line
item will support the research effort.
• Researcher Biographies: Biographies(s) for applicant and any formal
collaborators should state relevant experience, publications, and funding
received in the area of interest, and any previous involvement and experience
with DoD. List all previous Federal funding received during the past eight
years including project titles and funding sources.
• Conflict of Interest: The applicant, and any formal collaborators or sub-
recipients, must disclose any potential or actual scientific, nonscientific or
organizational conflict(s) of interest to the Government. For more details see
Section III.C above.
The white paper should provide sufficient information on the research being
proposed to allow for an assessment by a subject matter expert.
2. WHITE PAPER SUBMISSION
White papers must NOT be submitted through Grants.gov but via an online form
(Young Institute: https://forms.osi.apps.mil/r/BcHgNy3QFe, IWC:
https://forms.osi.apps.mil/r/WC4TCJghdJ). Applicants receive an e-mail
confirmation upon submission.
Documents found to be noncompliant with the requirements described below will
not be reviewed. After evaluation of the white paper, the Grants Officer notifies
applicants via email if their project merits an invitation to submit a full technical
application on Grants.gov for further evaluation and possible award consideration.
E. TECHNICAL APPLICATION (STAGE TWO)
1. TECHNICAL APPLICATION PACKAGE REQUIREMENTS
The following forms and attachments are required for the Technical Application
submission:
• Application for Federal Assistance (SF424 - R & R) [V5.0]
• Assurances for Non-Construction Programs (SF-424B - R & R) [V1.1]
• Disclosure of Lobbying Activities (SF-LLL) [V2.0]
• Project Abstract [V1.2] (please limit to 200 words)
• Project Narrative Attachment Form [V1.2] (see instructions below)
• Initial Work Plan (see instructions below)
• Budget Information for Non-Construction Programs (SF-424A) [V1.0]
• Research & Related Budget [V3.0]
o Budget Justification (see instructions below)
• Research and Related Personal Data [V1.2]
• Research and Related Senior/Key Person Profile [V1.2]
See below for further instructions.
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2. TECHNICAL APPLICATION SUBMISSION
Technical applications must be submitted through Grants.gov. Helpful instructions
can be found at https://www.grants.gov/applicants. Applicants who are not
registered with SAM and Grants.gov should allow at least 21 days for completing
these requirements. The process should be started as soon as possible. If the
applicant experiences difficulties with their submission, Grants.gov provides
support via the toll-free number 1-800-518-4726 and email at
support@grants.gov. A ticket number from Grants.gov will allow the DoD to
verify the issue if it cannot be resolved by the application date. The electronic file
name for all documents submitted under this NFO must not exceed 68 characters
in length, including the file name extension.
Applicants or their organizations must have a Unique Entity Identifier (UEI),
active System for Award Management (SAM) registration, and Grants.gov
account to apply for grants and cooperative agreements. The Government may not
make a Federal award until the applicant has complied with all unique entity
identifier and SAM requirements and, if an applicant has not fully complied with
the requirements by the time the Federal awarding agency is ready to make a
Federal award, the Federal awarding agency may determine that the applicant is
not qualified to receive a Federal award and use that determination as a basis for
making a Federal award to another applicant.
The Federal Assistance Certifications Report is an attestation that the entity will
abide by the requirements of the various laws and regulations; therefore, as
applicable, you are still required to submit any documentation, including the SF-
LLL Disclosure of Lobbying Activities (if applicable), and informing DoD of
unpaid delinquent tax liability or a felony conviction under any Federal law. Any
attachment containing additional certifications should be prefaced by the
following statement: “By checking “I Agree” on the SF-424 Block 21 you agree
to abide by the following statement: “By signing this application, I certify (1) to
the statements contained in the list of certifications and (2) that the statements
herein are true, complete and accurate to the best of my knowledge. I also provide
the required assurances and agree to comply with any resulting terms if I accept
an award. I am aware that any false, fictitious, or fraudulent statements or claims
may subject me to criminal, civil, or administrative penalties. (U.S. Code, Title
218, Section 1001)”
3. PROJECT NARRATIVE FILE
The Project Narrative File is a document consisting of the following items:
Project Narrative Page
Item
Component Limit
Cover Page 1
Table of Contents 1
Project Narrative Executive Summary 1
Content Research Concept and Justification 4
Methodology 3
Budget Narrative 1
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Researcher Qualifications 1
Data Management Plan (As Needed) 2
Letters of Support (Optional) None
Conflicts of Interest Disclosures None
Additional Current and Pending Projects and Applications (As Needed) None
Documentation Responsibility 2
Researcher Curriculum Vitae/Resume 2 (per
CV)
Project Narrative Files with items that exceed the specified page limits may not be
evaluated.
Formatting Requirements
• Line spacing: 1.5 or double-spaced lines are acceptable. Single-spaced
documents will not be accepted.
• Font: Minimum font size is 12-point. Times New Roman, preferred.
• Tables/Figures: 10-point fonts may be used for tables/figures and captions.
The Project Narrative File should be submitted through the Project Narrative
Attachment Form as one PDF file with the Project Narrative Content items
followed by the Additional Documentation items.
Project Narrative Content
A complete application requires all below components to be evaluated, unless
explicitly specified “As Needed”:
a) Cover Page – This must include the words “Grant Application” or
“Cooperative Agreement Application.” Using the format below, the following
information must be included:
• Funding opportunity number: HQ003423NFOEASD17;
• Title of application;
• Applicant/Principal Investigator contact: name, title and organizational
affiliation, address, phone, email address (Note: Proposals may name only
one principal investigator [who must be the applicant] as the responsible
technical point of contact);
• Formal Collaborators/Co-Principal Investigators contact (name, title and
organizational affiliation, address, phone, email address), if applicable;
• Administrative/business contact (name, address, phone, email address);
• Proposed period of performance (identify both the base period and any
options, if included); and
• Total proposed budget.
b) Table of Contents – A listing of the sections within the application, including
corresponding page numbers.
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c) Executive Summary – An Executive Summary is requested and may be
constructed in any manner in which the applicant feels summarizes the entire
application.
d) Research Concept and Justification – The application must consist of a
clear description of the research effort being proposed. The potential security
cooperation or irregular warfare relevance and the focus and impact on the
Topic(s) of Interest (Section I.A.) must be clearly identified and explained.
The application should expound on the research concept and in particular:
• Identify the research question and the hypotheses that will be tested. For
major data-collection efforts, what research questions will this new data
allow us to answer?
• Discuss scientific merits of the application, including a review of literature
and the scientific knowledge gap the project fills.
• Identify implications of the research for the practice of security
cooperation or irregular warfare.
e) Methodology – Discuss how research questions, hypotheses, and evidence
will be evaluated, specifically what metrics will be collected and what
evaluation method(s) will be used, including (but not limited to):
• The method for theory and hypothesis development
• The method for hypothesis testing (including data collection)
f) Budget Narrative – A narrative summary of the cost proposal, as detailed in
the Research & Related Budget form and its Budget Justification attachment.
Describe what you are requesting funds for.
g) Researcher Qualifications – A discussion of the qualifications of the
applicant, and any formal collaborators or sub-recipients, for the proposed
research. Past performance with federal awards may be discussed here. As
part of its application evaluation and review process, the Government will
consult the past performance information available in systems such as the
Federal Awardee Performance and Integrity Information System (FAPIIS), the
Contractor Performance Assessment Reporting System (CPARS), and the
System for Award Management (SAM)’s Responsibility and Qualification
database.
h) Data Management Plan (As Needed) – The Data Management Plan will
describe the data that is collected through the course of the proposed research
and information on how the data will be shared, organized, and preserved. In
instances where this is not possible, The Data Management Plan must explain
why it is not possible or scientifically appropriate. Information on the Data
Management Plan can be found in DoDI 3200.12, Section 3.c. of Enclosure 3.
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Additional Documentation
A complete application also requires the components listed below, unless
specified “Optional” or “As Needed”:
a) Letter(s) of Support (Optional) – Letters of support should be printed on
organizational letterhead, offering supporting commitment to the project by
appropriate representatives. Commitment may include (but is not limited to)
funding, technical advisement, and organizational or infrastructure support.
The letter(s) can include any, and all commitments and investments made by
the representative towards the applicant or formal collaborators.
b) Conflicts of Interest Disclosures – The applicant, and any formal
collaborators or sub-recipients, must disclose any potential or actual scientific,
nonscientific or organizational conflict(s) of interest to the Government. For
more details see Section III.C above.
c) Current and Pending Projects and Applications (As Needed) – The
applicant and any formal collaborators, are required to provide information on
all past, current, pending and requested support for ongoing and proposed
projects, including for the project proposed in this application. (Note:
concurrent submission of an application to other organizations will not
prejudice its review by the DoD). This information is required for any projects
requiring a portion of time of the applicant and any formal collaborator, even
if they receive no salary support from the project(s).
For the project proposed in this application, applicants shall provide the
following information if there is past, current, pending or requested support
from any source (e.g., DoD, Federal, State, local or foreign government
agencies, public or private foundations, industrial or other commercial
organizations):
• Source of funding and the amount of funding received, pending and
proposed (provide contract and/or grant or assistance agreement numbers
for current contracts and/or grants/assistance agreements).
For other ongoing and proposed project with past, current, pending or
requested support from any source, applicants shall provide the following
information:
• Name of the researcher (from this application) who is/will be working on
the other project
• Title of the project and one-paragraph summary;
• Source of funding and the amount of funding received, pending and
proposed (provide contract and/or grant or assistance agreement numbers
for current contracts and/or grants/assistance agreements);
• Percentage of research time devoted/expected to be devoted to the project,
and the (month/year) time period of the project;
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• State how the other project is related to the proposed research project and
indicate degree of overlap;
• Contact information for the principal investigator on the project (name,
address, phone, email address);
• Administrative/business contact (name, address, phone, email address).
d) Responsibility – Applicants must provide the following information to the
DoD to assist in the DoD’s evaluation of the applicant’s responsibility:
• Describe how you have adequate resources or the ability to obtain such
capability as required to complete the activities proposed;
• Describe how you have the ability to comply with the agreement
conditions, taking into account all existing and currently prospective
commitments of the applicant, nongovernmental and governmental;
• Describe your performance history; specifically, your record in managing
Federal awards and the extent to which any previously awarded amounts
will be expended prior to future awards;
• Describe your record of integrity and business ethics;
• Describe qualifications and eligibility to receive an award under
applicable laws and regulations; and
• Describe your organization, experience, accounting, and operational
controls and technical skills, or the ability to obtain them (including as
appropriate such elements as property control systems, quality assurance
measures, and safety programs applicable to the services to be performed).
e) Researcher Curriculum Vitae/Resume – The curriculum vitae/resume for
the applicant and any formal collaborators shall be attached to the application
and must be limited to two (2) pages each.
4. INITIAL WORK PLAN
Applicants are required to submit an initial Work Plan. The Work Plan is a
summary of interim and final outcomes (“milestones”) for the project (e.g., major
research steps completed, written documents produced, events held) with an
associated timeline. Applicants may specify the substance and timing of their
milestones (after the completed Work Plan) and may include any number of
interim milestones, but the Work Plan must describe at least the following three
milestones:
• Completed Work Plan (due within 30 days after award)
• Initial Findings (must be completed within one year of award)
• Final Products
Applicants should specify, for all milestones after the completed Work Plan, what
outcomes each milestone involve, the timing of each milestone, and how much
funding is needed to complete each milestone. The work plan should only cover
the fiscal years that are supported by the budget included in the application.
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The initial Work Plan will become part of the resulting award if the application is
selected to be funded. A completed Work Plan will be required for selected
applications to receive funding.
In addition to producing substantive outcomes, Applicants will be required to
submit a Federal Financial Report (SF 425) with each completed milestone after
the completed Work Plan (see Section VI on Reporting Requirements for further
information).
5. BUDGET JUSTIFICATION
A separate document should be included as an attachment to the Research and
Related Budget form that provides explanation and appropriate justification for
each element of cost proposed. This document should include enough detail so the
government can determine reasonableness. It must include all figures,
calculations, and supporting documentation for determining cost allowability,
allocability, and reasonableness. Justifications for costs must be explicitly stated.
This document should be organized consistent with the Research and Related
Budget form so that it is clear how elements in the budget justification relate to
itemizations in the Research and Related Budget form. The document shall be
attached under Section L. “Budget Justification” of the Research and Related
Budget form. Click “Add Attachment” to attach.
The Research and Related Budget form and Budget Justification attachment
should include direct and indirect costs, including rates and quantities. The
following should be considered:
1. Direct Labor – Individual labor categories or persons, with associated labor
hours and unburdened salary rates. Provide escalation rates for out years.
a. Administrative and Clerical Support – Salaries of administrative and
clerical staff are normally indirect costs (and included in an indirect cost
rate). Direct charging of these costs may be appropriate when a major
project requires an extensive amount of administrative or clerical support
significantly greater than normal and routine levels of support. Budgets
proposing direct charging of administrative or clerical salaries must be
supported with a budget justification which adequately describes the major
project and the administrative and/or clerical work to be performed.
b. Fringe Benefits and Indirect Costs (e.g., Facilities & Administrative
(F&A) Costs, Overhead, General & Administrative (G&A) Costs, etc.) –
The application should show the rates and calculation of the costs for each
rate category. If the rates have been approved/negotiated by a government
agency, provide a copy of the memorandum/agreement. If the rates have
not been approved/negotiated, provide sufficient detail to enable a
determination of allowability, allocability and reasonableness of the
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allocation bases, and how the rates are calculated. Additional information
may be requested, if needed. If composite rates are used, provide the
calculations used in deriving the composite rates.
c. Sub-awards/Subcontracts – Provide a description of, and detailed budget
for, the work to be performed by any subrecipient/subcontractor. For each
sub-award, a detailed budget, including supporting documentation, is
required to be submitted by the subrecipient(s). An application and any
supporting documentation must be received and reviewed before the
Government can complete its cost analysis of the application.
d. Consultants – Provide a breakdown of the consultant’s hours, the hourly
rate proposed, any other proposed consultant costs, a copy of the signed
Consulting Agreement or other documentation supporting the proposed
consultant rate/cost, and a copy of the consultant’s proposed statement of
work if it is not already separately identified in the prime contractor’s
application.
2. Travel – The proposed travel costs must include the following for each trip:
the purpose of the trip, origin and destination if known, approximate duration,
and the number of travelers. Per the definition of travel costs at 2 CFR
200.475, travel costs are the expenses for transportation, lodging, subsistence,
and related items incurred by employees who are in travel status on official
business of the non-Federal entity. Such costs may be charged on an actual
cost basis, on a per diem or mileage basis in lieu of actual costs incurred, or on
a combination of the two, provided the method used is applied to an entire trip
and not to selected days of the trip, and results in charges consistent with
those normally allowed in like circumstances in the non-Federal entity's non-
federally-funded activities and in accordance with non-Federal entity's written
travel reimbursement policies. All awards made under this NFO are required
to conform with the requirements laid out in 2 CFR 200.475, which includes
lodging and subsistence, temporary dependent care, and air travel via
commercial and other than commercial carriers. In the absence of an
acceptable, written non-Federal entity policy regarding travel costs, the rates
and amounts established under 5 U.S.C. 5701–11, (“Travel and Subsistence
Expenses; Mileage Allowances”), or by the Administrator of General
Services, or by the President (or his or her designee) pursuant to any
provisions of such subchapter must apply to travel under Federal awards (48
CFR 31.205–46(a)).
3. Materials & Supplies – Provide an itemized list of all proposed materials and
supplies including quantities, unit prices, and the basis for the estimate (e.g.,
quotes, prior purchases, catalog price lists).
4. Recipient Acquired Equipment or Facilities – Equipment and/or facilities are
normally furnished by the Recipient. If acquisition of equipment and/or
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facilities is proposed, a justification for the purchase of the items must be
provided. Provide an itemized list of all equipment and/or facilities costs and
the basis for the estimate (e.g., quotes, prior purchases, catalog price lists).
Allowable items normally are limited to research equipment not already
available for the project. General purpose equipment (i.e., equipment not used
exclusively for research, scientific or other technical activities, such as
personal computers, laptops, office equipment) should not be requested unless
they will be used primarily or exclusively for the project. For computer/laptop
purchases and other general-purpose equipment, if proposed, include a
statement indicating how each item of equipment will be integrated into the
program or used as an integral part of the research effort.
5. Other Direct Costs – Provide an itemized list of all other proposed other direct
costs such as Graduate Assistant tuition, laboratory fees, report and
publication costs, and the basis for the estimate (e.g., quotes, prior purchases,
catalog price lists).
6. Fee/Profit – Fee/profit is unallowable under assistance agreements at either
the prime or sub-award level but may be permitted on subcontracts issued by
the prime awardee.
Additional information may be requested, if needed. If composite rates are used,
provide the calculations used in deriving the composite rates. A Negotiated
Indirect Cost Rate Agreement (NICRA) may be required in order for an awardee
to invoice for indirect costs. If the applicant does not currently hold a NICRA,
describe the current status of the organization’s request for such an agreement
with its cognizant agency.
According to IAW 2 CFR §200.414(f), any non-Federal entity that has never
received a negotiated indirect cost rate, except for those non-Federal entities
described in Appendix VII to 2 CFR §200, may elect to charge a de minimis rate
of 10% of modified total direct costs (MTDC) which may be used indefinitely.
If subject to Federal Single Audit coverage requirements, the applicant must
submit the latest Single Audit with the application.
NOTE: Failure to adequately provide detailed cost data will require the Grants
Officer to contact the proposing organization for the requisite information. All
applicants are required to submit a thoroughly detailed cost breakdown. The
Grants Officer must be able to determine that all proposed costs are allowable
and reasonable. A detailed budget will facilitate this cost analysis.
V. APPLICATION REVIEW INFORMATION
A. SELECTION CRITERIA
White papers and technical applications will be evaluated under the following
criteria:
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Principal Criteria
• Technical merits of the proposed research: The proposed approach to research,
including theory development, data collection and analysis, as applicable, is
rigorous and appropriate to the research question.
• Relevance of the proposed research: The proposed research seeks to fill a high-
priority knowledge gap in security cooperation or irregular warfare.
• Feasibility of the proposed research: The proposed research can be completed
given the qualifications of, time commitment by, and resources available to
applicant and any formal collaborators or sub-recipients.
Other Criteria
• Cost sharing by the research team: The extent to which the recipient proposes to
share in the cost of the project.
The Principal Criteria are of equal importance and are more important than Other
Criteria. Other Criteria are of equal importance to each other.
All information necessary for the review and evaluation of an application must be
contained in the application itself. No other material will be provided to the panel.
Applications should contain sufficient technical detail to allow for in-depth technical
assessment.
An initial review of the applications will be conducted to ensure compliance with the
requirements of this NFO. Failure to comply with the requirements of the NFO may
result in an application receiving no further consideration for award.
An award under this NFO will be made on the basis of the evaluation criteria listed
above. Be advised that as funds are limited, otherwise meritorious applications may
not be funded.
WHS/AD reserves the right to remove applicants from award consideration if the
parties fail to reach agreement on award terms, conditions, or cost/price within a
reasonable time; or if the applicants fail to provide requested or required additional
information in a timely manner.
B. REVIEW AND SELECTION PROCESS
Each application will be reviewed using merit-based selection criteria rather than
against other applications submitted under this Announcement.
Applicants are advised that employees of commercial firms under contract to the
government may be used to administratively process applications. By submitting an
application, an applicant consents to allowing access to its application(s) by support
contractors. These support contracts include nondisclosure agreements prohibiting
their contractor employees from disclosing any information submitted by applicants.
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In addition to the technical/program review, the DoD does a budget review and a risk
review as directed by 2 CFR 200.206, including a review of the Federal Awardee
Performance and Integrity Information System (FAPIIS). Applicants may review
information in FAPIIS and comment on any information entered into that system.
Comments made by applicants will be taken into account in addition to other
information in considering applicants’ integrity, business ethics, and record of
performance.
Note: At the time of application, there is no additional material to be submitted for
this review. However, there may be additional requests for clarification as these
reviews progress.
Options: The agreement allows for the inclusion and exercise of options via a
modification to the agreement and may allow for award and concurrent execution of
the exercised option-effort alongside ongoing efforts.
Evaluation Panel: Technical details and budgets submitted under this NFO will be
protected from unauthorized disclosure. The cognizant Government Program Officer
and other Government subject matter experts will perform the evaluation of white
papers and technical applications. Each reviewer is required to sign a conflict of
interest and confidentiality statement attesting that the reviewer has no known
conflicts of interest, and that application and evaluation information will not be
disclosed outside the evaluation panel. The names and affiliations of reviewers are not
disclosed. Restrictive notices notwithstanding, one or more support contractors may
be utilized as subject matter experts providing technical support but will not
participate in the evaluation of proposals. Each support contractor employee that has
access to technical and cost applications submitted in response to this NFO will be
required to sign a nondisclosure statement prior to receipt of any application
submissions.
Debriefs: Applicants who are not selected for award are not entitled to a debrief.
VI. REPORTING REQUIREMENTS
A. PERFORMANCE REPORTING
Performance reporting is required to be submitted with each milestone listed in the
Applicant’s Work Plan. The Grants Officer will notify grantees of their specific
reporting requirements upon receipt of their awards.
B. FINANCIAL REPORTING
A Federal Financial Report (SF 425) is required to be submitted with each milestone
listed in the Applicant’s Work Plan (except for with the completed Work Plan) and
must include in the remarks the location of financial records and a point of contact for
the Government to obtain access to the financial records associated with this
agreement. In the event that more than one milestone falls within the same financial
quarter, only one Federal Financial Report will be required for that quarter. The
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Grants Officer will notify grantees of their specific reporting requirements upon
receipt of their awards.
C. AUDIT REPORTS
The Recipient shall ensure that if an independent auditor is used for this award,
copies of any audits conducted shall be provided to the Government. At a minimum,
the following should be provided a certified statement from the independent auditor
evidencing that Recipient has complied with all requirements of this agreement. Upon
completion or termination of this Grant, the Recipient shall provide a list of all audits
conducted which reviewed expenditures under this Assistance Award.
D. PROPERTY REPORTS
The recipient shall submit annual inventory listing to all equipment in excess of
$5,000 acquired under this Assistance Award.
E. DOCUMENT SUBMISSION
All reporting requirements above shall be sent via email to the Government Technical
Program Point of Contact.
The terms and conditions of the award will provide the specifics on how to submit the
reports and any required sections for those reports.
VII. FEDERAL AWARD ADMINISTRATION INFORMATION
A. FEDERAL AWARD NOTICES
The government will notify the recipient of the award via email. The notification e-
mail regarding a selection is not authorization to commit or expend DoD funds. A
DoD Grants Officer is the only person authorized to obligate and approve the use of
Federal funds. This authorization is in the form of a signed Notice of Award. After
selection but prior to award, the government may request additional information. This
may include representations and certifications, revised budgets or budget
explanations, or other information as applicable to the proposed award. The award
start date will be determined after successfully coordinating all pre-award
requirements.
B. NATIONAL POLICY (NP) REQUIREMENTS
Appendix A to Part 1122—Terms and Conditions for NP Article I,
“Nondiscrimination National Policy Requirements”
NP Article I. Nondiscrimination national policy requirements. (December 2014)
Section A. Cross-cutting nondiscrimination requirements. By signing this award or
accepting funds under this award, you assure that you will comply with applicable
provisions of the national policies prohibiting discrimination:
1. On the basis of race, color, or national origin, in Title VI of the Civil Rights Act of
1964 (42 U.S.C. 2000d et seq.), as implemented by Department of Defense (DoD)
regulations at 32 CFR part 195.
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2. On the basis of gender, blindness, or visual impairment, in Title IX of the
Education Amendments of 1972 (20 U.S.C. 1681 et seq.), as implemented by DoD
regulations at 32 CFR part 196.
3. On the basis of age, in the Age Discrimination Act of 1975 (42 U.S.C. 6101 et
seq.), as implemented by Department of Health and Human Services regulations at 45
CFR part 90.
4. On the basis of disability, in the Rehabilitation Act of 1973 (29 U.S.C. 794), as
implemented by Department of Justice regulations at 28 CFR part 41 and DoD
regulations at 32 CFR part 56.
5. On the basis of disability in the Architectural Barriers Act of 1968 (42 U.S.C. 4151
et seq.) related to physically handicapped persons' ready access to, and use of,
buildings and facilities for which Federal funds are used in design, construction, or
alteration.
Section B. [Reserved]
Appendix B to Part 1122—Terms and Conditions for NP Article II, “Environmental
National Policy Requirements”
NP Article II. Environmental national policy requirements. (December 2014)
Section A. Cross-cutting environmental requirements. You must:
1. You must comply with all applicable Federal environmental laws and regulations.
The laws and regulations identified in this section are not intended to be a complete
list.
2. Comply with applicable provisions of the Clean Air Act (42 U.S.C. 7401, et seq.)
and Clean Water Act (33 U.S.C. 1251, et seq.).
3. Comply with applicable provisions of the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. 4821–4846), as implemented by the Department of Housing and
Urban Development at 24 CFR part 35. The requirements concern lead-based paint in
buildings owned by the Federal Government or housing receiving Federal assistance.
4. Immediately identify to us, as the Federal awarding agency, any potential impact
that you find this award may have on:
a. The quality of the “human environment”, as defined in 40 CFR 1508.14, including
wetlands; and provide any help we may need to comply with the National
Environmental Policy Act (NEPA, at 42 U.S.C. 4321 et seq.), the regulations at 40
CFR 1500–1508, and E.O. 12114, if applicable; and assist us to prepare
Environmental Impact Statements or other environmental documentation. In such
cases, you may take no action that will have an environmental impact (e.g., physical
disturbance of a site such as breaking of ground) or limit the choice of reasonable
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alternatives to the proposed action until we provide written notification of Federal
compliance with NEPA or E.O. 12114.
b. Flood-prone areas and provide any help we may need to comply with the National
Flood Insurance Act of 1968, as amended by the Flood Disaster Protection Act of
1973 (42 U.S.C. 4001 et seq.), which require flood insurance, when available, for
federally assisted construction or acquisition in flood-prone areas.
c. A land or water use or natural resource of a coastal zone that is part of a federally
approved State coastal zone management plan and provide any help we may need to
comply with the Coastal Zone Management Act of 1972 (16 U.S.C. 1451, et seq.)
including preparation of a Federal agency Coastal Consistency Determination.
d. Coastal barriers along the Atlantic and Gulf coasts and Great Lakes' shores and
provide help we may need to comply with the Coastal Barrier Resources Act (16
U.S.C. 3501 et seq.), concerning preservation of barrier resources.
e. Any existing or proposed component of the National Wild and Scenic Rivers
system and provide any help we may need to comply with the Wild and Scenic Rivers
Act of 1968 (16 U.S.C. 1271 et seq.).
f. Underground sources of drinking water in areas that have an aquifer that is the sole
or principal drinking water source and in wellhead protection areas, and provide any
help we may need to comply with the Safe Drinking Water Act (42 U.S.C. 300f et
seq.).
5. You must comply fully with the Endangered Species Act of 1973, as amended
(ESA, at 16 U.S.C. 1531 et seq.), and implementing regulations of the Departments of
the Interior (50 CFR parts 10–24) and Commerce (50 CFR parts 217–227). You also
must provide any help we may need in complying with the consultation requirements
of ESA section 7 (16 U.S.C. 1536) applicable to Federal agencies or any regulatory
authorization we may need based on the award of this grant. This is not in lieu of
responsibilities you have to comply with provisions of the Act that apply directly to
you as a U.S. entity, independent of receiving this award.
6. You must fully comply with the Marine Mammal Protection Act of 1972, as
amended (MMPA, at 16 U.S.C. 1361 et seq.) and provide any assistance we may need
in obtaining any required MMPA permit based on an award of this grant.
Section B. [Reserved]
Appendix C to Part 1122—Terms and Conditions for NP Article III, “National Policy
Requirements Concerning Live Organisms”
NP Article III. National policy requirements concerning live organisms. (December
2014)
Section A. Cross-cutting requirements concerning live organisms.
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1. Human subjects.
a. You must protect the rights and welfare of individuals who participate as human
subjects in research under this award and comply with the requirements at 32 CFR
part 219, DoD Instruction (DoDI) 3216.02, 10 U.S.C. 980, and when applicable, Food
and Drug Administration (FDA) regulations.
b. You must not begin performance of research involving human subjects, also known
as human subjects research (HSR), that is covered under 32 CFR part 219, or that
meets exemption criteria under 32 CFR 219.101(b), until you receive a formal
notification of approval from a DoD Human Research Protection Official (HRPO).
Approval to perform HSR under this award is received after the HRPO has performed
a review of your documentation of planned HSR activities and has officially
furnished a concurrence with your determination as presented in the documentation.
c. In order for the HRPO to accomplish this concurrence review, you must provide
sufficient documentation to enable his or her assessment as follows:
i. If the HSR meets an exemption criterion under 32 CFR 219.101(b), the
documentation must include a citation of
the exemption category under 32 CFR 219.101(b) and a rationale statement.
ii. If your activity is determined as “non-exempt research involving human subjects”,
the documentation must include:
(A) Assurance of Compliance (i.e., Department of Health and Human Services Office
for Human Research Protections (OHRP) Federalwide Assurance (FWA)) appropriate
for the scope of work or program plan; and
(B) Institutional Review Board (IRB) approval, as well as all documentation reviewed
by the IRB to make their determination.
d. The HRPO retains final judgment on what activities constitute HSR, whether an
exempt category applies, whether the risk determination is appropriate, and whether
the planned HSR activities comply with the requirements in paragraph 1.a of this
section.
e. You must notify the HRPO immediately of any suspensions or terminations of the
Assurance of Compliance.
f. DoD staff, consultants, and advisory groups may independently review and inspect
your research and research procedures involving human subjects and, based on such
findings, DoD may prohibit research that presents unacceptable hazards or otherwise
fails to comply with DoD requirements.
g. Definitions for terms used in paragraph 1 of this article are found in DoDI 3216.02.
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2. Animals.
a. Prior to initiating any animal work under the award, you must:
i. Register your research, development, test, and evaluation or training facility with
the Secretary of Agriculture in accordance with 7 U.S.C. 2136 and 9 CFR 2.30, unless
otherwise exempt from this requirement by meeting the conditions in 7 U.S.C. 2136
and 9 CFR parts 1–4 for the duration of the activity.
ii. Have your proposed animal use approved in accordance with Department of
Defense Instruction (DoDI) 3216.01, Use of Animals in DoD Programs by a DoD
Component Headquarters Oversight Office.
iii. Furnish evidence of such registration and approval to the grants officer.
b. You must make the animals on which the research is being conducted, and all
premises, facilities, vehicles, equipment, and records that support animal care and use
available during business hours and at other times mutually agreeable to you, the
United States Department of Agriculture Office of Animal and Plant Health
Inspection Service (USDA/APHIS) representative, personnel representing the DoD
component oversight offices, as well as the grants officer, to ascertain that you are
compliant with 7 U.S.C. 2131 et seq., 9 CFR parts 1–4, and DoDI 3216.01.
c. Your care and use of animals must conform with the pertinent laws of the United
States, regulations of the Department of Agriculture, and regulations, policies, and
procedures of the Department of Defense (see 7 U.S.C. 2131 et seq., 9 CFR parts 1–4,
and DoDI 3216.01).
d. You must acquire animals in accordance with DoDI 3216.01.
3. Use of Remedies.
Failure to comply with the applicable requirements in paragraphs 1–2 of this section
may result in the DoD Component's use of remedies, e.g., wholly or partially
terminating or suspending the award, temporarily withholding payment under the
award pending correction of the deficiency, or disallowing all or part of the cost of the
activity or action (including the federal share and any required cost sharing or
matching) that is not in compliance. See OAR Article III.
Section B. [Reserved]
Appendix D to Part 1122—Terms and Conditions for NP Article IV, “Other National
Policy Requirements”
NP Article IV. Other National Policy Requirements. (December 2014)
Section A. Cross-cutting requirements.
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1. Debarment and suspension. You must comply with requirements regarding
debarment and suspension in Subpart C of 2 CFR part 180, as adopted by DoD at 2
CFR part 1125. This includes requirements concerning your principals under this
award, as well as requirements concerning your procurement transactions and
subawards that are implemented in PROC Articles I through III and SUB Article II.
2. Drug-free workplace. You must comply with drug-free workplace requirements in
Subpart B of 2 CFR part 26, which is the DoD implementation of 41 U.S.C. chapter
81, “Drug-Free Workplace.”
3. Lobbying.
a. You must comply with the restrictions on lobbying in 31 U.S.C. 1352, as
implemented by DoD at 32 CFR part 28, and submit all disclosures required by that
statute and regulation.
b. You must comply with the prohibition in 18 U.S.C. 1913 on the use of Federal
funds, absent express Congressional authorization, to pay directly or indirectly for
any service, advertisement or other written matter, telephone communication, or other
device intended to influence at any time a Member of Congress or official of any
government concerning any legislation, law, policy, appropriation, or ratification.
c. If you are a nonprofit organization described in section 501(c)(4) of title 26, United
States Code (the Internal Revenue Code of 1968), you may not engage in lobbying
activities as defined in the Lobbying Disclosure Act of 1995 (2 U.S.C., chapter 26). If
we determine that you have engaged in lobbying activities, we will cease all
payments to you under this and other awards and terminate the awards unilaterally for
material failure to comply with the award terms and conditions.
4. Officials not to benefit. You must comply with the requirement that no member of
Congress shall be admitted to any share or part of this award, or to any benefit arising
from it, in accordance with 41 U.S.C. 6306.
5. Hatch Act. If applicable, you must comply with the provisions of the Hatch Act (5
U.S.C. 1501–1508) concerning political activities of certain State and local
government employees, as implemented by the Office of Personnel Management at 5
CFR part 151, which limits political activity of employees or officers of State or local
governments whose employment is connected to an activity financed in whole or part
with Federal funds.
6. Native American graves protection and repatriation. If you control or possess
Native American remains and associated funerary objects, you must comply with the
requirements of 43 CFR part 10, the Department of the Interior implementation of the
Native American Graves Protection and Repatriation Act of 1990 (25 U.S.C., chapter
32).
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7. Fly America Act. You must comply with the International Air Transportation Fair
Competitive Practices Act of 1974 (49 U.S.C. 40118), commonly referred to as the
“Fly America Act,” and implementing regulations at 41 CFR 301–10.131 through
301–10.143. The law and regulations require that U.S. Government financed
international air travel of passengers and transportation of personal effects or property
must use a U.S. Flag air carrier or be performed under a cost sharing arrangement
with a U.S. carrier, if such service is available.
8. Use of United States-flag vessels. You must comply with the following
requirements of the Department of Transportation at 46 CFR 381.7, in regulations
implementing the Cargo Preference Act of 1954:
a. Pursuant to Public Law 83–664 (46 U.S.C. 55305), at least 50 percent of any
equipment, materials or commodities procured, contracted for or otherwise obtained
with funds under this award, and which may be transported by ocean vessel, must be
transported on privately owned United States-flag commercial vessels, if available.
b. Within 20 days following the date of loading for shipments originating within the
United States or within 30 working days following the date of loading for shipments
originating outside the United States, a legible copy of a rated, “on-board”
commercial ocean bill-of-lading in English for each shipment of cargo described in
paragraph 8.a of this section must be furnished to both our award administrator
(through you in the case of your contractor's bill-of-lading) and to the Division of
National Cargo, Office of Market Development, Maritime Administration,
Washington, DC 20590.
9. Research misconduct. You must comply with requirements concerning research
misconduct in Enclosure 4 to DoD Instruction 3210.7, “Research Integrity and
Misconduct.” The Instruction implements the Governmentwide research misconduct
policy that the Office of Science and Technology Policy published in the Federal
Register (65 FR 76260, December 6, 2000, available through the U.S. Government
Printing Office website: https://www.federalregister.gov/documents/2000/12/06/00-
30852/executive-office-of-the-president-federal-policy-on-research-misconduct-
preamble-for-research).
10. Requirements for an Institution of Higher Education Concerning Military
Recruiters and Reserve Officers Training Corps (ROTC).
a. As a condition for receiving funds available to the DoD under this award, you agree
that you are not an institution of higher education (as defined in 32 CFR part 216) that
has a policy or practice that either prohibits, or in effect prevents:
i. The Secretary of a Military Department from maintaining, establishing, or operating
a unit of the Senior Reserve Officers Training Corps (ROTC)—in accordance with 10
U.S.C. 654 and other applicable Federal laws—at that institution (or any subelement
of that institution);
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ii. Any student at that institution (or any subelement of that institution) from enrolling
in a unit of the Senior ROTC at another institution of higher education.
iii. The Secretary of a Military Department or Secretary of Homeland Security from
gaining access to campuses, or access to students (who are 17 years of age or older)
on campuses, for purposes of military recruiting in a manner that is at least equal in
quality and scope to the access to campuses and to students that is provided to any
other employer; or
iv. Access by military recruiters for purposes of military recruiting to the names of
students (who are 17 years of age or older and enrolled at that institution or any
subelement of that institution); their addresses, telephone listings, dates and places of
birth, levels of education, academic majors, and degrees received; and the most recent
educational institutions in which they were enrolled.
b. If you are determined, using the procedures in 32 CFR part 216, to be such an
institution of higher education during the period of performance of this award, we:
i. Will cease all payments to you of DoD funds under this award and all other DoD
grants and cooperative agreements; and
ii. May suspend or terminate those awards unilaterally for material failure to comply
with the award terms and conditions.
11. Historic preservation. You must identify to us any:
a. Property listed or eligible for listing on the National Register of Historic Places that
will be affected by this award, and provide any help we may need, with respect to this
award, to comply with Section 106 of the National Historic Preservation Act of 1966
(54 U.S.C. 306108), as implemented by the Advisory Council on Historic
Preservation regulations at 36 CFR part 800 and Executive Order 11593,
“Identification and Protection of Historic Properties,” [3 CFR, 1971–1975 Comp., p.
559]. Impacts to historical properties are included in the definition of “human
environment” that require impact assessment under NEPA (See NP Article II, Section
A).
b. Potential under this award for irreparable loss or destruction of significant
scientific, prehistorical, historical, or archeological data, and provide any help we
may need, with respect to this award, to comply with the Archaeological and Historic
Preservation Act of 1974 (54 U.S.C. chapter 3125).
12. Relocation and real property acquisition. You must comply with applicable
provisions of 49 CFR part 24, which implements the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970 (42 U.S.C. 4601, et seq.) and
provides for fair and equitable treatment of persons displaced by federally assisted
programs or persons whose property is acquired as a result of such programs.
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13. Confidentiality of patient records. You must keep confidential any records that
you maintain of the identity, diagnosis, prognosis, or treatment of any patient in
connection with any program or activity relating to substance abuse education,
prevention, training, treatment, or rehabilitation that is assisted directly or indirectly
under this award, in accordance with 42 U.S.C. 290dd–2.
14. Pro-Children Act.
You must comply with applicable restrictions in the Pro-Children Act of 1994 (Title
20, Chapter 68, subchapter X, Part B of the U.S. Code) on smoking in any indoor
facility:
a. Constructed, operated, or maintained under this award and used for routine or
regular provision of kindergarten, elementary, or secondary education or library
services to children under the age of 18.
b. Owned, leased, or contracted for and used under this award for the routine
provision of federally funded health care, day care, or early childhood development
(Head Start) services to children under the age of 18.
15. Constitution Day. You must comply with Public Law 108–447, Div. J, Title I, Sec.
111 (36 U.S.C. 106 note), which requires each educational institution receiving
Federal funds in a Federal fiscal year to hold an educational program on the United
States Constitution on September 17th during that year for the students served by the
educational institution.
16. Trafficking in persons. You must comply with requirements concerning trafficking
in persons specified in the award term at 2 CFR 175.15(b), as applicable.
17. Whistleblower protections. You must comply with 10 U.S.C. 2409, including the:
a. Prohibition on reprisals against employees disclosing certain types of information
to specified persons or bodies; and
b. Requirement to notify your employees in writing, in the predominant native
language of the workforce, of their rights and protections under that statute.
VIII. OTHER ADMINISTRATIVE REQUIREMENTS
Not applicable.
IX. FEDERAL CONTACTS
For technical subject matter questions, please contact the DSCU grants team at
dsca.dscu.grants@mail.mil.
For all other questions on this NFO, please contact Jonathan Bertsch at
jonathan.e.bertsch.civ@mail.mil.
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X. OTHER INFORMATION
A. SECURITY AND SAFEGUARDING INFORMATION – FEDERAL INFORMATION SECURITY
MANAGEMENT ACT
All information systems, electronic or hard copy which contain Federal data need to
be protected from unauthorized access. This also applies to information associated
with DoD grants and contracts. Congress and the OMB have instituted laws, policies
and directives that govern the creation and implementation of federal information
security practices that pertain specifically to grants and contracts. The current
regulations are pursuant to the Federal Information Security Management Act
(FISMA), 44 U.S.C. 3541 et seq. The applicability of FISMA to NIH recipients
applies only when recipients collect, store, process, transmit or use information on
behalf of HHS or any of its component organizations. In all other cases, FISMA is not
applicable to recipients of grants, including cooperative agreements. The recipient
retains the original data and intellectual property, and is responsible for the security of
this data, subject to all applicable laws protecting security, privacy, and research. If
and when information collected by a recipient is provided to HHS, responsibility for
the protection of the HHS copy of the information is transferred to HHS and it
becomes the agency's responsibility to protect that information and any derivative
copies as required by FISMA.
B. FUNDING RESTRICTIONS
Per 2 CFR § 200.216, funds may not be used to procure telecommunications
equipment or video surveillance services or equipment produced by:
• Huawei Technologies Company,
• ZTE Corporation Hytera Communications Corporation,
• Hangzhou Hikvision Digital Technology Company,
• Dahua Technology Company,
• any subsidiary or affiliate of such entities
XI. APPENDIX
A. LIST OF ACRONYMS
CPARS - Contractor Performance Assessment Reporting System
DoD – Department of Defense
DoDI - DoD Instruction
DSCA – Defense Security Cooperation Agency
DSCU – Defense Security Cooperation University
ESA - Endangered Species Act
FAPIIS - Federal Awardee Performance and Integrity Information System
FDA - Food and Drug Administration
FFRDC - Federally Funded Research and Development Center
FISMA - Federal Information Security Management Act
FWA - Federalwide Assurance
FY - Fiscal Year
HRPO - Human Research Protection Official
HSR - Human Subjects Research
IRB - Institutional Review Board
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IWC – Irregular Warfare Center
LEAP - Learning and Evaluation Agenda for Partnerships
MTDC - Modified Total Direct Costs
NEPA - National Environmental Policy Act
NFO – Notice of Funding Opportunity
NICRA - Negotiated Indirect Cost Rate Agreement
NP - National Policy
OCI - Organizational Conflict of Interest
OHRP - Office for Human Research Protections
OMB – Office of Management and Budget
PDF – Adobe Portable Document Format
PME - Professional Military Education
POC - Point of Contact
ROTC - Reserve Officers Training Corps
SAM - System for Award Management
UARC - University-Affiliated Research Center
UEI - Unique Entity Identifier
USDA/APHIS - United States Department of Agriculture Office of Animal and Plant
Health Inspection Service
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