[Federal Register Volume 69, Number 22 (Tuesday, February 3, 2004)]
[Notices]
[Pages 5232-5236]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-2153]


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DEPARTMENT OF STATE

[Public Notice 4602]


Request for Proposals: Program for Research and Training on 
Eastern Europe and the Independent States of the Former Soviet Union 
(Title VIII)

SUMMARY: The Department of State invites organizations with substantial 
experience in conducting research and training to serve as 
intermediaries administering nationwide competitive

[[Page 5233]]

programs for individuals and institutions concerning research and 
training on the countries of Southeast Europe and Eurasia. U.S.-based 
public and private non-profit organizations and educational 
institutions may submit proposals that sustain and support American 
expertise on the countries of Eurasia and Southeast Europe. The grants 
will be awarded through an open competition among applicant 
organizations. The purpose of this request for proposals is to inform 
potential applicant organizations of programmatic, procedural and 
funding information for submission of proposals for awards in fiscal 
year 2004, under a program administered by the Department of State.

    Important Note: This Request for Proposals contains new 
instructions in the ``Shipment and Deadline for Proposals,'' 
``Eligible Countries,'' and ``New OMB Requirement'' sections. Please 
pay special attention to procedural changes as outlined.

    Interested applicants should read the complete Federal Register 
announcement before addressing inquiries to the Title VIII Program 
Office or submitting a proposal. Once the proposal submission deadline 
has passed, Title VIII Program staff may not discuss this competition 
with applicants until after the proposal review process has been 
completed.
    This notice contains three parts. Part I addresses Shipment and 
Deadline for Proposals. Part II consists of a Statement of Purpose and 
Program Priorities. Part III provides Funding Information for the 
program.

    Authority: Grantmaking authority for the Program for Research 
and Training on Eastern Europe and the Independent States of the 
Former Soviet Union (Title VIII) is contained in the Soviet-Eastern 
European Research and Training Act of 1983 (22 U.S.C. 4501-4508, as 
amended) and is funded through the FREEDOM Support Act (FSA) and 
Support for East European Democracy (SEED) Act. The purpose of the 
program is to build and sustain U.S. expertise on the study of 
Eastern Europe and Eurasia. The Department of State brings this 
expertise to the service of the U.S. Government.

Part I

    Shipping and Deadline for Proposals: In light of heightened 
security measures, proposals may not be sent by regular U.S. Mail, and 
must be sent via a nationally recognized overnight delivery service 
(i.e., DHL, Federal Express, UPS, Airborne Express, or USPS Express 
Mail, etc.) or hand-delivered.
    Proposals sent by USPS Express Mail or overnight delivery service 
must have a postmark or invoice dated by Friday, April 2, 2004, and 
must be received within seven (7) days after the deadline. Hand-
delivered proposals must be submitted no later than 4 p.m. on April 2, 
2004. Faxed documents will not be accepted at any time. Late 
applications will not be considered. It is the applicant's 
responsibility to ensure that proposals are delivered on time.
    Address proposals to: Susie Baker, Title VIII Program Officer, U.S. 
Department of State, INR/RES, Room 2251, 2201 C Street, NW., 
Washington, DC 20520-6510.
    Applications Delivered by Hand: Hand-delivered proposals will be 
accepted between 9 a.m. and 4 p.m. est daily, except Saturdays, Sundays 
and Federal holidays. Proposals must be brought to the State 
Department's 21st Street entrance, just north of the intersection with 
C Street, NW. From the 21st Street lobby telephone, contact Maria Seda-
Gaztambide at (202) 736-4572 or Susie Baker at (202) 647-0243 for pick 
up.

Part II

    Program Information: In the Soviet-Eastern European Research and 
Training Act of 1983 (Title VIII), the Congress declared that 
independently verified factual knowledge about the countries of that 
area is ``of utmost importance for the national security of the United 
States, for the furtherance of our national interests in the conduct of 
foreign relations, and for the prudent management of our domestic 
affairs.'' Congress also declared that the development and maintenance 
of such knowledge and expertise ``depends upon the national capability 
for advanced research by highly trained and experienced specialists, 
available for service in and out of Government.'' The Title VIII 
Program provides financial support for advanced research, graduate and 
language training and other related functions on the countries of the 
region. By strengthening and sustaining in the United States a cadre of 
experts on Eastern Europe and Eurasia, the program contributes to the 
overall objectives of the FREEDOM Support and SEED Acts.
    The full purpose of the Act and the eligibility requirements are 
set forth in Pub. L. 98-164, 97 Stat. 1047-50, as amended. Research on 
the following countries is eligible for funding under this request for 
proposals, Albania, Armenia, Azerbaijan, Belarus, Bosnia and 
Herzegovina, Bulgaria, Croatia, Former Yugoslav Republic of Macedonia, 
Georgia, Kazakhstan, Kyrgyzstan, Moldova, Romania, Russia, Serbia 
(including Kosovo and Montenegro), Tajikistan, Turkmenistan, Ukraine 
and Uzbekistan.
    The Act established an Advisory Committee to recommend grant 
policies and recipients. The Deputy Secretary of State, after 
consultation with the Advisory Committee, approves policies and makes 
the final determination on awards.
    Applications for funding under the Title VIII Program are invited 
from U.S. organizations with institutional capacity and experience in 
conducting competitive programs, national in scope, on Southeast Europe 
and Eurasia and related fields. Programs of this nature are those that 
make awards based upon an open, merit-based competition, incorporating 
peer group review mechanisms. Individual recipients of these funds--
those to whom the applicant organizations or institutions propose to 
make awards--must be at the graduate or post-doctoral level, and must 
have demonstrated a likely career commitment to the study of Eastern 
Europe and/or Eurasia.
    Proposals should outline programs that would contribute to the 
development of a stable, long-term, national program of unclassified, 
advanced research and training on the countries of Southeast Europe 
and/or Eurasia.
    Applications proposing innovative, yet realistic, approaches to 
research and training programs, techniques and methods, and more 
productive interaction among U.S. Government agencies, universities and 
non-government organizations (NGOs) are strongly encouraged.
    Applicants should consider the following guidelines when developing 
proposals for funding under the Title VIII Program. Programs should be 
national in scope, and may:
    (1) Award contracts or grants to U.S. institutions of higher 
education or not-for-profit corporations in support of post-doctoral or 
equivalent-level research projects, to be cost-shared with partner 
institutions;
    (2) Offer graduate, post-doctoral and teaching fellowships for 
advanced training on the countries of Southeast Europe and Eurasia, and 
in related studies, including training in the languages of the region, 
to be cost-shared with partner institutions;
    (3) Provide fellowships and other support for American specialists 
enabling them to conduct advanced research on the countries of 
Southeast Europe and Eurasia, and in related studies;
    (4) Facilitate research collaboration among U.S. scholars and 
Government and private specialists on Southeast Europe and Eurasia 
studies;

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    (5) Provide advanced training and research on a reciprocal basis in 
the countries of Southeast Europe and Eurasia by facilitating access 
for American specialists to research facilities and resources in those 
countries;
    (6) Facilitate the dissemination of research findings, methods and 
data among U.S. Government agencies and the public; and
    (7) Strengthen the national capability for advanced research or 
training on the countries of Southeast Europe and Eurasia and/or bring 
Title VIII scholarship to the service of the U.S. Government in ways 
not specified above.

    Note: The Advisory Committee will not consider applications from 
individuals to further their own training or research, or from 
institutions or organizations whose proposals are not for national 
competitive award programs.

    In addition to the above guidelines, support for specific 
activities will be guided by the following policies and priorities:
     Support for Transitions and U.S. Assistance 
Goals: The Advisory Committee strongly encourages support for research 
activities that, while building expertise among U.S. specialists on the 
region, also: (1) Promote fundamental goals of U.S. assistance programs 
such as helping establish market economies and promoting democratic 
governance and civil societies, and (2) provide knowledge to both U.S. 
and foreign audiences related to current U.S. policy interests in the 
region, broadly defined. This includes, but is not limited to, such 
topics as resolution of ethnic, religious, and other conflict; 
terrorism; transition economics; access to information; women's issues; 
human rights; and citizen participation in politics and civil society. 
For overseas research, applicants are asked to propose creative means 
through which individual grant recipients' work may complement 
assistance activities in the region. Applicants are strongly encouraged 
to propose programs where grants for overseas work must include a 
service component such as lecturing at a university or participating in 
workshops with host government and parliamentary officials, 
nongovernmental organizations, and other relevant audiences on issues 
related to economic and political transitions.
     Scope: As mentioned above, the Title VIII 
Program provides knowledge to both U.S. and foreign audiences related 
to current U.S. policy interests in the region, broadly defined. 
Historical or cultural research that promotes understanding of current 
events in the region is acceptable if an explicit connection can be 
made to contemporary political and/or economic transitions. Research on 
such topics as musicology and mathematics are not appropriate for 
funding under this program.
     Regional Focus: The Advisory Committee gives 
priority to innovative programs that focus on gaps in knowledge on 
Central Asia, the Caucasus, and the Balkans, especially the former 
Yugoslavia. Since September 2001, the ``greater Central Asia'' region 
has become critical in the global war on terrorism. Also eligible are 
proposals that incorporate a focus on a ``greater Central Asia,'' and 
include specifically the countries of Kazakhstan, Kyrgyzstan, 
Tajikistan, Turkmenistan and/or Uzbekistan, relative to their cross-
border historical, ethnic, linguistic, political, economic and cultural 
ties with such countries as Iraq, Iran, Afghanistan, Pakistan and 
Turkey.
     Balanced National Program: In making its 
recommendations, the Advisory Committee will seek to encourage a 
coherent, long-term and stable effort directed toward developing and 
maintaining a national capability on the countries of Southeast Europe 
and Eurasia. Program proposals can be for the conduct of any of the 
functions enumerated, but in making its recommendations, the Committee 
will concern itself particularly with the development of a balanced 
national effort that will ensure attention to all eligible countries.
     Promoting Federal Service for Title VIII Grant 
Recipients: Although the Title VIII Program does not require a federal 
service commitment for individuals receiving funding, the Advisory 
Committee urges grantees to encourage individuals receiving Title VIII 
funding to pursue U.S. Government career opportunities, internships, or 
short-term sabbaticals after completing their awards. Grant recipient 
organizations are encouraged to: (1) Identify individuals for funding 
who have an interest in pursuing careers in the U.S. Government, and 
(2) provide opportunities for individuals in disciplines with Eurasian 
and/or Southeast Europe studies concentrations to serve on a temporary 
basis as a policy or other expert in U.S. Embassies, U.S. Government 
agencies and/or with NGOs in the region.
     Publications: Funds awarded in this competition 
should not be used to subsidize journals, newsletters and other 
periodical publications except in special circumstances. In such cases, 
funding requests should be directed to one or more of the organizations 
that may receive program funds for such purposes. Proposed publications 
would be competed nationally and evaluated by peer-review selection 
panels against research, fellowship or other proposals for achieving 
the purposes of the grant.
     Conferences: Proposals for conferences should be 
assessed according to their relative contribution to the advancement of 
knowledge and to the professional development of cadres in the fields. 
Therefore, requests for conference funding should be directed to one or 
more of the organizations that may receive program funds for such 
purposes. Proposed conferences would be competed nationally and 
evaluated against research, fellowship or other proposals for achieving 
the purposes of the grant.
     Library Activities: Funds may be used for 
certain library activities that clearly strengthen research and 
training on the countries of Southeast Europe and Eurasia and benefit 
the fields as a whole. Such programs must make awards based upon open, 
national competition, incorporating peer group review mechanisms. Funds 
may not be used for activities such as modernization, acquisition, or 
preservation. Modest, cost-effective proposals to facilitate research, 
by eliminating serious cataloging backlogs or otherwise improving 
access to research materials, will be considered.
     Language Support: The Advisory Committee 
encourages a focus on the non-Russian languages of Eurasia and the 
less-commonly-taught languages of Southeast Europe. For Russian-
language instruction/study, support may be provided only at the 
advanced level. Institutions seeking funding in order to offer language 
instruction are encouraged to apply to one or more of the national 
programs with appropriate peer review and selection mechanisms.
     Support for Non-Americans: The purpose of the 
program is to build and sustain U.S. expertise on the countries of 
Southeast Europe and Eurasia. Therefore, the Advisory Committee has 
determined that highest priority for support always should go to 
American specialists (i.e., U.S. citizens or permanent residents). 
Support for such activities as long-term research fellowships (i.e., 
nine months or longer), should be restricted solely to American 
scholars. Support for short-term activities also should be restricted 
to Americans, except in special instances where the participation of a 
non-American scholar has clear and demonstrable benefits to the U.S.

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scholarly community and/or the U.S. Government. In such special 
instances, the applicant will be required to justify the expenditure. 
Despite this restriction on support for non-Americans, collaborative 
projects are encouraged--where the non-American component is funded 
from other sources--and priority is given to institutions whose 
programs contain such an international component.
     Cost-sharing: Legislation requires that in 
certain cases grantee organizations must include cost-sharing 
provisions in their arrangements with individual and institutional 
recipients. Cost sharing is strongly encouraged in all programs. Cost-
sharing is particularly encouraged for grants to American institutions 
of higher education and not-for-profit corporations in support of: (1) 
Post-doctoral or equivalent-level research projects; and (2) graduate, 
post-doctoral and teaching fellowships for advanced training or 
language studies. Research solely on, and/or travel to, the countries 
of ``greater Central Asia'' or Central and East Europe outside of 
Southeast Europe as outlined in this request for proposals, is not 
eligible for FSA or SEED funding. Proposals may include a plan to 
support research projects on, and travel to, countries eligible and 
ineligible for FSA or SEED funding, to address cross-border issues, 
regional or comparative studies, etc., in which case travel to 
ineligible countries would be cost-shared with funding from other 
sources. Travel to certain countries may be subject to restrictions due 
to unforeseeable world events, a requirement for U.S. embassy approval 
or general security concerns. All proposed cost-sharing should be 
included in the budget request in a separate column, and explained in 
the budget notes.
     Program Data Requirements: Organizations awarded 
grants will be required to provide data on program participants and 
activities in an electronically accessible format for the Title VIII 
Alumni Database. Requested information would include the following: 
Name; Institution; Address; Contact Information; Field(s) of Expertise; 
Location of Research, Fellowship, or other Activity; Research Products/
Titles; Service to the U.S. Government (if applicable); Contribution to 
U.S. Assistance Goals (if applicable); etc.

Applications

    New OMB Requirement: An OMB policy directive published in the 
Federal Register on Friday, June 27, 2003, requires that all 
organizations applying for Federal grants or cooperative agreements 
must provide a Dun and Bradstreet (D&B) Data Universal Numbering System 
(DUNS) number when applying for all Federal grants or cooperative 
agreements on or after October 1, 2003. The complete OMB policy 
directive can be referenced at: http://www.whitehouse.gov/omb/fedreg/062703_grant_identifier.pdf.
    Organizations can receive a DUNS number at no cost by calling the 
toll-free DUNS Number request line at (866) 705-5711 or by applying 
online at http://www.dnb.com/us/duns_update/.
    To comply with this directive, please include your organization's 
DUNS number in the proposal's ``Executive Summary.''
    Application Format: Applicants must submit 20 copies of the 
proposal (a clearly marked original and 19 copies) in Times New Roman, 
12 point font in the following format: (1) Cover Letter with signature, 
name and title of authorized representative and primary point of 
contact for questions (if different); (2) Executive Summary (one-page, 
single-spaced, with DUNS number); (3) Narrative (not to exceed 20 
double-spaced pages); (4) Budget Presentation with Budget Notes 
explaining each line item; (5) Resumes (one-page, for key professional 
staff); (6) Letters of Support and/or Partnership; and (7) Required 
Certifications. NB: Applicants also should submit the ``Executive 
Summary,'' ``Proposal Narrative'' and ``Budget with Budget Notes'' on a 
PC-formatted disk. Applicants may append other information they 
consider essential, although bulky submissions are discouraged and run 
the risk of not being reviewed fully.
    Budget: Because funds will be appropriated separately for Southeast 
Europe and Eurasia programs, proposals and budgets must indicate how 
the requested funds will be distributed by region, country (to the 
extent possible) and activity. Successful grant recipients will be 
required to report expenditures by region, country and activity.
    Applicants should familiarize themselves with Department of State 
grant regulations contained in 22 CFR 145, ``Grants and Cooperative 
Agreements with Institutions of Higher Education, Hospitals, and Other 
Non-Profit Organizations''; 22 CFR 137, ``Department of State 
Government-wide Debarment and Suspension (Non-Procurement) and 
Government-wide Requirements for Drug-Free Workplace (Grants)''; OMB 
Circular A-110, ``Uniform Administrative Requirements for Grants and 
Agreements with Institutions of Higher Education, Hospitals, and Other 
Non-Profit Organizations''; and OMB Circular A-133, ``Audits of 
Institutions of Higher Learning and Other Non-Profit Institutions.'' 
Applicants must provide the following information:
    (1) Indicate whether the organization falls under OMB Circular No. 
A-21, ``Cost Principles for Educational Institutions,'' or OMB Circular 
No. A-122, ``Cost Principles for Nonprofit Organizations'';
    (2) Submit a detailed, three-column budget, with one column each 
for applicant costs, cost-sharing and total costs. The budget must 
include direct program costs, administrative and indirect costs, and 
total amount requested, clearly identified by program element and by 
region (Eurasia or Southeast Europe). Indirect costs must be listed 
separately for Eurasia and Southeast Europe. The ``Total Amount 
Requested'' should be the sum of the amount requested for Eurasia 
activities plus the amount requested for Southeast Europe activities. 
``Administrative Costs'' should be reflected also as a percentage of 
the total requested funding. NB: Indirect costs are limited to 10 
percent of total direct program costs.
    (3) For applicants requesting funds to supplement a program having 
other sources of funding, submit a current budget for the total program 
and an estimated future budget for it, showing how specific lines in 
the budget would be affected by the allocation of requested grant 
funds. Other funding sources and amounts should be identified.
    (4) Explain the cost-sharing plan in the proposal's budget notes, 
with appropriate details and cross-references to the requested budget.
    (5) Append the most recent audit report (the most recent U.S. 
Government audit report, if available) and the name, address, and point 
of contact of the audit agency.
    (6) Include a prioritized list of proposed programs if funding is 
being requested for more than one program or activity.
    All payments will be made to grant recipients through the U.S. 
Government's Payment Management System (PMS).
    Proposal Narrative: The Applicant must describe fully the proposed 
programs, in no more than 20 double-spaced pages, including the 
benefits of these programs for the Southeast European and Eurasian 
fields, estimates of the types and amounts of anticipated awards, peer 
review and selection procedures and anticipated selection

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committee participants, and detailed information about recruitment 
plans and advertising of program opportunities to eligible individuals 
and/or institutions. The narrative also should address the applicant's 
plan to encourage policy relevant research, methods for dissemination 
of research products, and plans for bringing Title VIII to the service 
of the U.S. Government, where applicable.
    Applicants who have received previous grants from the Title VIII 
Program should provide detailed information on the individual and 
institutional awards made, including, where applicable, names/
affiliations of recipients, and amounts and types of awards. Applicants 
should specify both past and anticipated applicant to award ratios. A 
summary of the applicant's past grants under the Title VIII Program 
also should be included.
    Proposals from national organizations involving language 
instruction programs should provide, for those programs supported in 
the past year, indications of progress achieved by Title VIII-funded 
students, information on the criteria for evaluation, including levels 
of instruction, degrees of intensiveness, facilities, methods for 
measuring language proficiency (including pre- and post-testing), 
instructors' qualifications, and budget information showing estimated 
costs per student.
    Certifications: Applicants must include (1) a description of 
affirmative action policies and practices and (2) certifications of 
compliance with the provisions of: (a) the Drug-Free Workplace Act 
(Pub. L. 100-690), in accordance with Appendix C of 22 CFR 137, Subpart 
F; and (b) Section 319 of the Department of the Interior and Related 
Agencies Appropriations Act (Pub. L. 101-121), in accordance with 
Appendix A of 22 CFR 138, New Restrictions on Lobbying Activities.
    Review Process: All eligible proposals will be reviewed by the 
program office, a grant review panel and the Advisory Committee for 
Studies of Eastern Europe and the Independent States of the Former 
Soviet Union. Proposals also may be reviewed by the Office of the Legal 
Advisor or by other Department elements. Final funding decisions are at 
the discretion of the Department of State's Deputy Secretary. Final 
technical authority for grants resides with the Department of State's 
Grants Officers.
    Review Criteria: Technically eligible proposals will be 
competitively reviewed according to the following criteria:
    (1) Quality of the Program Idea: Proposals should be responsive to 
the guidelines provided in this request for proposals, and should 
exhibit originality, substance, precision, and relevance to the State 
Department's mission, the legislation supporting the Title VIII 
Program, and the FREEDOM Support and SEED Acts.
    (2) Program Planning: Program objectives should be stated clearly. 
Objectives should respond to priorities and address gaps in knowledge 
for particular fields and/or regions. A timeline outlining expected 
achievement of milestones should be included. Responsibilities of 
partner organizations, if any, should be described clearly.
    (3) Institutional Capacity: Proposed personnel and selection 
committees should be adequate and appropriate to achieve the program's 
goals. The proposal should reflect the applicant's expertise and 
knowledge in conducting national competitive award programs of the type 
the applicant proposes on the countries of Southeast Europe and/or 
Eurasia. Past performance of prior recipients and the demonstrated 
potential of new applicants will be considered.
    (4) Cost-Effectiveness and Cost-Sharing: Overhead and 
administrative costs in the proposal budget should be kept to a 
minimum. All other items should be necessary and appropriate. Proposals 
should maximize cost-sharing, including in-kind assistance, through 
contributions from the applicant, partner organizations, as well as 
other private sector support. Cost-sharing should be included as a 
separate column in the budget request. Proposal budgets that do not 
provide cost-sharing will be deemed less competitive in this category.
    (5) Evaluation, Monitoring, Database, Reporting: Proposals should 
include a plan to evaluate and monitor program successes and 
challenges. Methods for linking outcomes to program objectives are 
recommended. The proposal should address the applicant's willingness 
and ability to contribute to the alumni database. Successful applicants 
will be required to submit quarterly financial and program reports.

Part III

    Available Funds: Funding for this program is subject to final 
Congressional action and the appropriation of FY 2004 funds. Funding 
may be available at a level of approximately $5.0 million. In Fiscal 
Year 2003, the program was funded at $5.0 million from the FREEDOM 
Support and SEED Acts, which funded grants to eight national 
organizations. The number of awards may vary each year, depending on 
the level of funding and the quality of the applications submitted.
    The Department legally cannot commit funds that may be appropriated 
in subsequent fiscal years. Thus multi-year projects cannot receive 
assured funding unless such funding is supplied out of a single year's 
appropriation. Grant agreements may permit the expenditure from a 
particular year's grant to be made up to three years after the grant's 
effective date.
    The terms and conditions published in this Request for Proposals 
are binding and may not be modified by any Department representative. 
Issuance of the Request for Proposals does not constitute an award 
commitment on the part of the U.S. Government. The Department reserves 
the right to reduce, revise, or increase proposal budgets in accordance 
with the needs of the program and the availability of funds.

FOR FURTHER INFORMATION CONTACT: For further information or to arrange 
a consultation, contact Susie Baker, Title VIII Program Officer, E-
mail: state.osis.gov">ACsbaker@us-state.osis.gov; Tel: (202) 647-0243, Fax: (202) 736-
4851.

    Dated: January 26, 2004.
Kenneth E. Roberts,
Executive Director, Advisory Committee for Studies of Eastern Europe 
and the Independent States of the Former Soviet Union, Department of 
State.
[FR Doc. 04-2153 Filed 2-2-04; 8:45 am]
BILLING CODE 4710-32-P