APPROVED_ DHS-21-ST-061-ESE-001.pdf

DHS-21-ST-061-ESE-001

Table of Contents

A. Notice of Funding Opportunity (NOFO) Description

Issued By Assistance Listings Number (formerly Catalog of Federal Domestic Assistance

Number) Assistance Listings Title (formerly CFDA Title) Funding Opportunity Title NOFO Number Authorizing Authority for Program Appropriation Authority for Program Announcement Type Program Overview, Objectives, and Priorities

Performance Measures

B. Federal Award Information

Available funding for the NOFO:

Projected number of Awards: 1 (one) Period of Performance: Up to 120 months (10 years) Projected Period of Performance Start Date(s): 07/30/2021 Projected Period of Performance End Date(s): 06/30/2031 Funding Instrument Type:

C. Eligibility Information

Eligible Applicants Applicant Eligibility Criteria Cost Share or Match

D. Application and Submission Information

Key Dates and Times Agreeing to Terms and Conditions of the Award Address to Request Application Package Steps Required to Submit an Application, Unique Entity Identifier, and System for

Award Management (SAM) Electronic Delivery How to Register to Apply through Grants.gov How to Submit an Application to DHS via Grants.gov Timely Receipt Requirements and Proof of Timely Submission Content and Form of Application Submission

Optional Forms Other Submission Requirements Funding Restrictions Allowable Costs

E. Application Review Information

Application Evaluation Criteria

2. Review and Selection Process

I. Evaluation Criteria II. Supplemental Financial Integrity Review

F. Federal Award Administration Information

Notice of Award

2. Administrative and National Policy Requirements

3. Reporting

4. Monitoring and Oversight

G. DHS Awarding Agency Contact Information

H. Additional Information

APPENDIX A: Terms and Conditions

ARTICLE I. ADMINISTRATIVE TERMS AND CONDITIONS

A. RESEARCH PROJECT AND MANAGEMENT AWARD SPECIFIC TERMS AND

CONDITIONS AND/OR RESTRICTIONS

B. DHS PROGRAMMATIC INVOLVEMENT

C. AMENDMENTS AND REVISION

D. EQUIPMENT

E. FINANCIAL REPORTS

F. PAYMENT

G. PERFORMANCE REPORTS

H. PERIOD OF PERFORMANCE

I. PRIOR APPROVAL REQUIRED

ARTICLE II. GENERAL TERMS AND CONDITIONS

A. ACCESS AND RETENTION TO RECORDS

B. COMPLIANCE ASSURANCE PROGRAM OFFICE AND EXPORT CONTROLS GROUP

TERMS AND CONDITIONS

C. TREATY COMPLIANCE FOR BIOLOGICAL AND CHEMICAL DEFENSE EFFORTS

D. REGULATORY COMPLIANCE FOR BIOLOGICAL LABORATORY WORK

E. REGULATORY REQUIREMENTS FOR RESEARCH INVOLVING ANIMALS

F. REGULATORY REQUIREMENTS FOR LIFE SCIENCES DUAL USE RESEARCH OF

CONCERN (DURC)

G. REGULATORY REQUIREMENTS FOR RESEARCH INVOLVING HUMAN SUBJECTS

H. COMPLIANCE WITH U.S. EXPORT CONTROLS

I. CONTROLLED UNCLASSIFIED INFORMATION

J. INTELLECTUAL PROPERTY, PATENT, AND DATA RIGHTS

K. PROGRAM INCOME

L. PUBLICATIONS

M. SITE VISITS

N. TERMINATION

O. TRAVEL

P. GOVERNING PROVISIONS

Q. ORDER OF PRECEDENCE

R. CLASSIFIED SECURITY CONDITION

APPENDIX B: Acronyms

APPENDIX C: End-to-End Approach

APPENDIX D: References for Themes, Topics and Questions

APPENDIX E: Checklist for Applicants

The Department of Homeland Security (DHS) Notice of Funding Opportunity (NOFO)

DHS Science and Technology Directorate (S&T) Engineering Secure Environments from Targeted Attacks Center of

Excellence (COE) – Center Lead

NOTE: If you are going to apply for this funding opportunity and have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), please take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may take 4 weeks or more after you submit your SAM registration before your registration is active in SAM, then an additional 24 hours for Grants.gov to recognize your information. Information on obtaining a DUNS number and registering in SAM is available from Grants.gov at:

http://www.grants.gov/web/grants/register.html. Detailed information regarding DUNS and SAM is also provided in Section D of this NOFO.

http://www.grants.gov/web/grants/register.html

A. Notice of Funding Opportunity (NOFO) Description Issued By

U.S. Department of Homeland Security (DHS) Science and Technology Directorate (S&T)

Assistance Listings Number (formerly Catalog of Federal Domestic Assistance Number) 97.061

Assistance Listings Title (formerly CFDA Title) Centers for Homeland Security

Funding Opportunity Title DHS S&T Engineering Secure Environments from Targeted Attacks (ESE) Center of Excellence (COE) - Lead

NOFO Number

DHS-21-ST-061-ESE-001

Authorizing Authority for Program Homeland Security Act of 2002, Section 308, as amended, P.L. 107-296.

Codified at 6 U.S.C. 188

Appropriation Authority for Program Department of Homeland Security Appropriations Act, P.L. 116-6, Title IV, Research, Development, Training, and Services.

Announcement Type Initial

Program Overview, Objectives, and Priorities

a. Program Overview

The DHS S&T Office of University Programs (OUP) is requesting applications from accredited U.S. colleges and universities to lead a consortium of universities for an ESE COE. The DHS COEs are university consortia that work closely with DHS Components to conduct research, develop and transition mission-relevant science and technology, educate the next generation of homeland security technical experts, and train the current workforce in the latest scientific applications. Each COE is led by an accredited U.S. college or university and involves multiple partners for varying lengths of time. COE partners include other academic institutions, commercial industry, DHS Components, Department of Energy National Laboratories and other Federally-Funded Research and Development Centers (FFRDCs), other federal agencies that have homeland security-relevant missions, state, local, tribal, territorial (SLTT) governments, non-profits, and first responder organizations. DHS envisions the COEs as long-term trusted partners that provide an array of resources to help DHS improve operations. OUP maintains both financial assistance and contract mechanisms for DHS to access COE capabilities. The COEs that make up the COE network are listed at https://www.dhs.gov/st-centers-excellence. The new Center will be a fully-integrated component of the COE network and will take advantage of the network's resources to develop mission-critical research, education, and technology transition programs.

b. Priorities and Expectations for a COE

Establishing a COE is a major and expensive effort that involves numerous individuals and organizations. There are important elements of standing up and operating a COE that every applicant should understand prior to applying:

• The overarching research areas that are the focus of all COE NOFOs, are driven by DHS’s critical needs and enduring missions.

• The research topics and questions contained in the NOFO are developed by the DHS Component agencies that have to implement those difficult missions.

• Proposals for re-branded off-the-shelf research or pet projects will not survive DHS’s rigorous review processes. DHS needs use-inspired, results-focused research that generates customized and innovative solutions

• DHS’s expectations for a COE will require university faculty to spend time working with customers in the field to better understand their needs, participate in project teams, execute the work necessary to protect intellectual property, and assess current technology and business markets.

• DHS expects COE research to make a difference. Universities must actively manage COE research from a sound theoretical base, through methods development, data collection, testing and evaluation to operational use (i.e., End-to-End) in close partnership with DHS.

• DHS will manage this COE carefully to provide value to operational users.

• Research outcomes will include analytical methods, technologies, and knowledge products, e.g., best practices, resource guides, and case studies, which can be transitioned to the HSE workforce.

• Applicants must demonstrate a working knowledge of the scientific landscape, the quantitative methods, policies, and findings relevant to the topics in this NOFO through literature reviews, analysis of alternative approaches, and market-based assessments of related/ emerging technology.

Before DHS posts a COE NOFO on grants.gov, DHS subject matter experts (SMEs) identify priority research and workforce development themes, topics, and questions that will be the focus of the COE. Proposals responding to the NOFO are screened for eligibility (see “Eligibility Information”). Ineligible or non-responsive proposals receive no further consideration. Eligible and responsive proposals are reviewed by up to three separate review panels (see “Application Review Information,” for a full description of how DHS reviews, rates and selects COE proposals). Each panel focuses on specific proposal characteristics (e.g., scientific quality, mission relevance, management capability) and provides ratings that determine which, if any, proposals are forwarded to the subsequent review panel. DHS may combine elements from several highly-rated proposals to create a new COE.

It is critical for university applicants to understand the roles and requirements of being a COE lead institution before applying, and to craft a proposal to meet all of the requirements of a DHS COE. The DHS COEs are led by an accredited U.S. based academic institution, with research partners from the commercial sector, national laboratories, and state and local consortia that work closely with each other and with DHS Offices and Components to: conduct research, develop and transition mission-relevant science and technology, educate the next generation of homeland security technical experts, and train the current workforce in the latest scientific applications.

DHS COEs operate using a unique research management approach where researchers work alongside operational and decision-making personnel to find opportunities to use science and technology to enhance homeland security capabilities. The skill sets required to make a COE successful are more extensive than research expertise alone.

COEs need to have the ability and commitment to communicate frequently with a variety of actors from federal staff, to attorneys, to university administrators, to the private sector. The COE team must demonstrate their commitment to develop a long-term trust-based partnership between universities and federal agencies; to do that, a range of skills is essential.

In addition to a multidisciplinary research team, COEs should include experts in finance, project management, education, training, outreach and marketing, intellectual property management, technology development, and technology transfer. Applicants should understand how to translate research to practice including intellectual property issues, licensing, the ability to work with transition partners, and an understanding of federal acquisition.

The COEs collaborate and build relationships over 10-years with DHS and priorities will evolve during that period. DHS expects the COE leadership to end non-performing projects as soon as possible using a customer-focused research and development (R&D) framework, and move on to other priority projects within the scope of the portfolio. Managing a COE as an evolving portfolio of projects gives DHS and the COEs the flexibility to fail fast and adjust to fund new efforts with higher marginal benefit for homeland security.

The Center will be expected to construct a plan and schedule, describing the specific business steps needed to build an effective management team, execute subcontracts, identify data needs and sources of such data, establish intellectual property sharing agreements, and engage customers to refine proposals into a work plan. The Center will be required to have these elements in place within 6 months following award.

The DHS COEs are different from many other federally funded university centers.

Each COE lead institution must:

• Work closely with DHS and others on an on-going basis to formulate research projects so that those efforts are aligned with the most critical knowledge and technology gaps.

• Work with research teams to build appropriate stage-gate plans to manage research including literature reviews/technology scouting, test and evaluation;

intellectual property, market assessment, etc.

• Place faculty and students (limited to U.S. citizens eligible for clearances) in operational agencies early and often, in order to develop solutions appropriate to complex homeland security problems.

• Build a nation-wide or world-wide network of academic and other SMEs in order to be able to access the best experts for each problem in short order.

• Replace researchers whose projects are not progressing as planned, and establish a competitive process at regular intervals or as needed to replace projects that have ended.

• Develop detailed plans for transitioning research results into use, including plans to pursue intellectual property protections and to support the transfer of research to those capable of further developing the technology or service, i.e., commercial, government or FFRDC partners.

DHS funds the COEs through cooperative agreements, which support research for general public purposes, and enable substantial federal agency involvement in COE activities and research. OUP facilitates interactions between researchers, DHS SMEs and customers from the public and private sectors (i.e., homeland security practitioners). The goal of this hands-on management is to develop a trusting, sustained relationship between universities and DHS Components.

The COEs are expected to develop relationships and partnerships with DHS Components and the larger first responder community to provide targeted capabilities and education resources. OUP will work with COE management to formulate each COE’s research and education projects, and to develop communication and transition strategies. Interactions commonly include COE-sponsored workshops that bring together diverse SMEs, industry representatives, and federal managers. DHS believes this frequent interaction is the most effective way to get the federal government’s research investments into operational use by security, intelligence, and emergency response personnel. Only academic institutions that can embrace this type of close working relationship with industry and government security and intelligence agencies should apply for this funding opportunity.

The DHS mission requires that its operational Components [e.g., U.S. Transportation Security Administration (TSA), Cybersecurity and Infrastructure Security Agency (CISA), the U.S. Secret Service (USSS), etc.] be responsive to a wide range of constantly evolving homeland security challenges and threats, both natural and manmade. As a result, DHS priorities and operational challenges may change over the course of a COE’s performance period. Therefore, COE research programs should be flexible enough to adapt to new homeland security challenges and priorities, while at the same time maintaining focus on their core research areas. DHS looks to COE leadership to maintain situational awareness of cutting-edge research to inform the homeland security enterprise (HSE) of research futures, and to identify potential threats arising from, or to be mitigated by, novel technology.

c. Objectives & Overarching Vision of the ESE COE

DHS was founded after the 9/11 attacks with the mission of safeguarding the country from threats, foreign and domestic. Nearly two decades after the attacks, the U.S.

faces an increasingly complex and evolving threat of terrorism and targeted violence.

DHS has a role in leading and supporting diverse efforts to strengthen the security and resilience of the United States, including through preparedness efforts with federal, state, local, tribal, and territorial entities; private and non-profit sectors; and communities and individuals in a “whole of nation” effort to reduce vulnerabilities, minimize consequences, identify and disrupt threats that pose the greatest risk to the security (including economic stability, food and resource security, and public health and safety) of our nation. DHS S&T seeks to establish a university-led consortium that is focused on detecting, deterring, and mitigating targeted violence. This center will research and develop innovative solutions to secure environments that are easily accessible to large numbers of people, such as crowded spaces, built environments, and transportation systems. These environments are often complex and have limited security or protective measures in place, making them vulnerable to attack, which requires the development of next generation tools and methodologies. The complexity of the built environment continues to increase as new technologies are used in this dynamic space. Areas of research are sought that focus on transportation and highly utilized environments by applying advanced methods and technologies in more efficient and cost-effective ways. The ESE COE will conduct a range of activities including basic and applied research and education and training initiatives to support and provide unique solutions to Homeland Security problems.

Targeted violence is goal-oriented, predatory, and directed towards specific individual(s), or places. Compared to impulsive violence, targeted violence is calculated, usually the result from a perceived grievance, and often follows a pattern of violence escalation. These threats result in lasting devastating effects on the individual, group and societal level to the American population to include physical, psychological and financial injuries. These targeted attacks frequently concentrate on high density, unsecured spaces, maximizing chance for success, severity of losses, and public attention to the act itself.

As used in this document, the term “protection” includes measures to safeguard the homeland against acts of targeted violence. It is focused on actions to protect the citizens, residents, visitors, and critical assets, systems, and networks against the greatest risks to our Nation in a manner that allows our interests, aspirations, and way of life to thrive. Protection is enhanced through cooperation and collaboration with all sectors of society. Protection capabilities include access control and identification;

interdiction and disruption; physical protective measures to reduce or mitigate risks, including actions targeted at threats, vulnerabilities, and/or consequences; screening, search, and detection; and supply chain integrity and security (securing and making resilient key nodes, methods of transport between nodes, and materials in transit).

As used in this document, the term "mitigation" refers to those capabilities necessary to reduce loss of life and property by lessening the impact of targeted violence/attacks. Mitigation capabilities include, but are not limited to, community-wide risk reduction projects; efforts to improve the resilience of vital systems and assets; long-term risk reduction for specific vulnerabilities; and resilience-building initiatives to reduce future risks after an attack has occurred.

Public spaces in America can be challenging to secure and are evolving over time. By 2050, the percentage of the total U.S. population residing in urban environments is projected to increase from 82% to 89%; a shift of 73 million residents to urban environments1. DHS strives to maintain a strategic focus to protect all environments under possible threat and is seeking to develop increased capability to secure heavily utilized and populated spaces likely to be selected by threat actors, thus minimizing the derived value from mass casualty events to an actor. Because resources are limited, pursuing more cost effective, impactful and innovative approaches to securing these spaces is important. Similarly, enhancing collaboration between public and private entities is an increasing priority to maintain security and economic prosperity of these environments, and the health and safety of the public who frequent these locations.

Technological advancements and their applications are increasingly complex and integrated into everyday processes. As cities grow larger and density increases across people, buildings, and infrastructure, a potential increase in the frequency or severity of targeted attack from foreign and domestic terrorism is a legitimate concern. The U.S. must adapt to the ever-evolving landscape, including addressing the security challenges of an aging infrastructure. Aging infrastructure will require a new wave of capital investment in the next decade to simply maintain their current capabilities, let alone defend it against attack. To mitigate the impact from potential targeted attacks and build in resiliency, DHS is seeking new approaches to strengthen the security of crowded spaces and transportation modalities.

Public and private ownership of U.S. transportation and built environments vary widely. State and local governments own the majority of the transportation systems, whereas built environments consist of a mix of commercial, private and public ownership. Since 1991, the States’ and localities’ share of total transit funding has remained around 75 percent ($15.7 billion in 2000)2. The Federal Government assumes a regulatory and advisory role over these entities to help safeguard the American population from foreign, domestic, and natural threats within despite this complex variety of ownership. The ESE COE is envisioned to improve collaboration across public and private entities, which will further enhance security by providing quicker and increased access to critical information and technologies that identify, 1 Our World in Data. Urban and rural population projected to 2050, World, 1500 to 2050. Accessed on September 29, 2020 at https://ourworldindata.org/grapher/urban-and-rural-population-2050 2 Public Transit in the United States Accessed on September 29, 2020 at https://www.transit.dot.gov/regulations-and-guidance/environmental-programs/public-transit-united-states https://ourworldindata.org/grapher/urban-and-rural-population-2050 https://www.transit.dot.gov/regulations-and-guidance/environmental-programs/public-transit-united-states https://www.transit.dot.gov/regulations-and-guidance/environmental-programs/public-transit-united-states detect, and respond to targeted attacks.

Designed for safety, retrofitted for security, aging American infrastructure is not ideally situated to protect itself from malicious threat actors. The Department is seeking novel design concepts that maximizes the net benefit from new public infrastructure investments. The ESE COE can help DHS continue to foster a culture of “security by design” to provide intentional and flexibility architecture solutions to thwart an adaptive adversary. Proposals should describe how to integrate concepts, technologies and capabilities into DHS operations to detect, deter, mitigate and respond to targeted attacks. Potential approaches include utilizing innovative technologies that crowded spaces and transportation environments, improve collaboration across public and private entities, and develop new engineering approaches to securing crowded places with novel design concepts.

Please see Appendix D – for the full list of relevant guidance. The following strategic documents guide or partially guide DHS operations and investment:

DHS’s diverse and complex mission requires integration across eight Operational Components, seven Support Components and the Office of the Secretary. The Operational components execute the Department’s operational activities; the Support Components formulate guidance on policy, management, research, training, and intelligence and enable mission execution: and the Office of the Secretary coordinates and oversees the activities of the department. The following strategic documents were referenced in the development of this NOFO and serve as guiding resources to characterize the Department’s current operating environment.

• The DHS Strategic Plan Fiscal Years 2020-2024

• The DHS strategic Framework for Countering Terrorism and Targeted

Violence

• Cybersecurity and Infrastructure Security Agency Strategic Intent - August

• Soft Target-Crowded Places Security Program Implementations

Recommendations

• Soft Target-Crowded Places Resource Guide

• Transportation Systems Sector Activities Progress Report – 2018

• TSA Strategy 2018 – 2026

• National Threat Assessment Center – Mass attacks in Public Spaces - 2018

• Making School Safer Quick Reference Resource Guide

• Protecting America’s Schools – A U.S. Secret Service Analysis of Target

School Violence

• United States Secret Service FY 2018-FY 2022 Strategic Plan

Due to the nature of this COE’s focus, CISA and TSA will serve as principal stakeholders, with the USSS, SLTT First Responders, and other federal agency representatives participating as well due to their equites in this space.

d. Access to Data

Researchers and analysts must be able to obtain access to needed analytical products, relevant data, and open source and publicly available information. They also should anticipate interacting with homeland security partners and stakeholders and other SMEs. Applicants must discuss any needs for unique or government furnished data, testing, or laboratory facilities that will be required to conduct the research, and how the applicant will ensure its researchers can access necessary data and facilities. See Data Acquisition and Management Plan in Appendix A.

e. Application Project Narrative

This NOFO has three sections that align with the evaluation and selection process:

(Section A) NOFO Description, (Section D) Application and Submission Information, and (Section E) Application Review Information.

The below section outlines requirements, and suggested page counts, for the Project Narrative portion of the application package. The Center narrative is limited to 64 single-spaced pages with 12-point font, Times New Roman, and one-inch margins.

For applicants who have previously led a DHS S&T COE, the Center narrative is limited to 71 pages to include a summary of their past performance as a DHS COE (if applicable). Pages in excess of the page limitations will not be reviewed. This page limit is inclusive of tables, charts, illustrations with captions, etc. The below section outlines specific requirements, and suggested page counts, for the Project Narrative portion of the application package.

I. Strategic Approach (3 pages) II. Research Program (35 pages)

III. Workforce and Professional Development Program (8 pages) IV. Leadership (5 pages) V. Transition (8 pages)

VI. Program and Project Evaluation (3 pages) VII. Communications and Integration with the HSE (2 pages)

VIII. Past Performance (7 pages)3

Strategic Approach (suggested: 3 pages) Successful applicants will propose an integrated research and workforce and professional development plan that incorporate new approaches, including theory, methods and data to meet ESE and DHS goals.

Applicants must describe:

• The overall focus including a discussion of the proposed research themes and state of the art scientific approaches relevant to this scope.

3 Only applicants who have previously led a DHS COE must submit a summary of their past performance as a DHS

COE

• The key functions within the Center and how those functions will work together as an integrated system to achieve the vision, mission, and goals

• The key strategic partnerships needed to ensure the successful implementation of the Center’s research and education program and delivery of research outputs, tools, and technologies to customers;

including to develop, test, and evaluate the outcomes of the research. This includes how the individual projects will acquire the necessary data required to execute the proposed efforts

• How the Center will evaluate the project progress, integrate projects into capabilities, and determine the appropriateness of the proposed solutions to the culture and resources of the target users

• How the Center will engage target customers in problem framing and solution testing

• How the Center will maintain situational awareness and managing projects within a portfolio designed to increase responsiveness to emerging events and scientific advancements

Research Program (suggested: 35 pages)

Applicants must identify multidisciplinary, comprehensive approaches to address each of the research themes and a selection of topics outlined below in Section A-9-f “Research and Workforce Development Themes, Topics, and Questions.” Successful proposals must address all themes; however, DHS does not expect or encourage applicants to address every topic within a theme or every question within a topic. Applicants must describe why their projects address the biggest knowledge gaps in each theme and more broadly, why these projects are critically needed for homeland security threat and hazard challenges. The Research Program should describe which projects will be integrated and how the Applicant will integrate projects to form a coherent approach to achieve the Center’s goals. The Research Program should consist of: a) an overview of the research program, b) specific project proposals , and

c) a detailed description of the transition plan and characterization of the stage of maturity for each research effort, including how each effort will advance through discovery, testing, evaluation, development, and transfer to customer utilization.

a. Applicants must address the following in their research program overview:

• Describe a comprehensive approach that explains how the COE’s projects support the vision and goals of the Center. Each theme should have a lead investigator that will monitor projects that relate to the theme and promote efforts that foster collaboration and synergy.

• Descriptions should address the strategic approach to integrating outputs from individual projects that will form the basis of sustainable and useable capabilities. The Applicant should address how project integration will occur across its network of performers. This will include how intellectual property is identified and managed and the decision-making process required to execute.

• Describe the maturity and state-of-the-art of the respective theories, technologies, and applications of the proposed areas of study to homeland security. The research program overview should describe how individual projects will integrate to formulate the proposed capabilities. Demonstrate that they and/or their partners have a high level of expertise in the areas in which they propose research and in transitioning technology to commercialization entities or directly to customers for field use.

• Demonstrate knowledge of the DHS operational environment for which the outputs of the research are intended. Applicants should describe how screening, detection, and risk assessments are currently performed.

• Describe the current technologies or concepts/procedures in use by the target customers and the technical and programmatic steps that emerging technologies will have to undergo to be field deployable (see transition requirements on stage-gate research management). Describe an interdisciplinary approach that incorporates researchers from a variety of academic disciplines and practices with the goal of producing a more effective comprehensive solution. Either the Center or the individual researchers must include milestones to protect intellectual property and to pursue the transfer of knowledge to entities willing and capable of transitioning the capabilities

• Provide a comprehensive bibliography of their own and others relevant publications. Omitting these supporting documents may result in DHS dismissing a proposal without review. Applicants should provide a bibliography under “Other Attachments.”

• Submit project proposals for the first two years that either end with a discrete output or that describe in detail the continuing steps necessary to develop a final capability useful to DHS. Proposals should be descriptive in detail and include stages of R&D (see pages 20-24). However, note that Center projects are funded in 1-year increments, with future funding dependent on research excellence, progress, relevance, and utility.

• Discuss any unique data, testing, or laboratory facilities that will be required to conduct the research and how the applicant will ensure its researchers can access the data and facilities prior to funding.

b. Applicants must include the following elements for each project Applicants may submit up to ten research projects total.

• Title

• Principal investigator (name, title, school/business/non-profit)

• Other key technical and project personnel supporting intellectual property and administrative tasks (name, title, school/business/non-profit)

• Specifically identify which theme area and topic the project addresses - if a proposed project falls under multiple themes/topics, identify those as primary, secondary, tertiary, etc.

• Project abstract

• Goals and objectives of the research

• Significant partners and their roles

• Technical capability or knowledge gap this project addresses and what

DHS Office aligns with the gap

• How the work builds upon the state-of-the-art of the respective theories, technologies, and applications of the proposed areas of study

• How the work represents an improvement (incremental or fundamental change) to the current operational posture being used

• Theoretical approach, hypothesis to be tested

• Methods for data collection and analysis

• Methods section including study design

• Technical technology performance metrics being tested (e.g. specificity, sensitivity, cost, etc.)

• Expected outputs and outcomes and how those outputs would be used

• Total projected costs per year for two years and forecasted costs for up to five years

• Data access plans should data be needed to execute the project

• Relevant Citations

c. Transition - See “Transition” p 20 of this NOFO for requirements on how to propose projects using the stage-gate methodology.

• Transition pathway from lab to field to include identifying the key technical scientific and development steps necessary to transfer the technology to customers or commercialization partners

• The stages and gates that will be used to evaluate the technical progress and efforts to frame the business environment that the resulting outputs will affect

• A year-by-year description of key milestones and the schedule for the project for the first two years

• Identification of commercial partners with the necessary complementary assets needed to realize the technology/approaches/concepts

Workforce and Professional Development Program (suggested: 8 pages)

Applicants should include a workforce and professional development program. This program should include innovative initiatives to educate students in both theoretical and methodological underpinnings of the relevant disciplines, as well as practical applications for homeland security operations.

As part of this, applicants should describe how they would embed their students and faculty, individually or in teams, with homeland security practitioners to conduct research, and foster opportunities for students to gain practical experience in homeland security-related professions. Applicants should also describe how they would integrate homeland security-related courses of study into existing science, technology, engineering, and mathematics (STEM) degree programs. Additionally, applicants should describe how their Center would provide and enhance technical education and training programs for HSE and DHS professionals, for example, at CISA, FEMA, TSA, SLTT first responders or specific training Centers such as the Federal Law Enforcement Training Center (FLETC), and the Emergency Management Institute.

The overarching goals of a COE’s workforce and professional development program are to:

• Build universities’ capacity in security focused science, engineering, mathematics and analysis. Analysis includes business administration and policy analysis, as applied to homeland security-related challenges

• Strengthen the science, engineering, and analytical capabilities of the homeland security workforce, both current (professional development) and future (workforce development)

• Diversify the homeland security technical workforce by building homeland security science, engineering, and analysis capacity at Minority Serving Institutions (MSIs)

• Link students and researchers to practitioners in operational settings to develop more robust tools, technologies, and capabilities

• Teach students the business elements of transitioning emerging concepts into the commercial or government markets

• Develop and train existing homeland security professionals in science, engineering, and business administration disciplines for the current and future workforce. Applicants should be familiar with the current methods by which Federal and State employees receive training.

Applicants must propose a plan for an integrated workforce and professional development program across the Center’s core STEM disciplines. DHS encourages proposals that include plans to integrate workforce development initiatives with DHS Components, other federal or state government agencies, and FFRDCs that have homeland security missions.

The introduction to this section must clearly describe how the education initiatives would connect with the research program to support the vision and goals of the Center.

Education and workforce development program activities include:

• Developing undergraduate, graduate or professional career enhancing programs that support the COE’s research program.

• Partnering with the private sector to create internships/co-ops for students in relevant areas to learn the business of managing science and developing products and services.

• Applying existing disciplines to homeland security through development of curricula, concentrations, minors, and certificates within established degree programs.

• Building homeland security capacity at MSIs. Please visit the following link for a list of accredited U.S. post-secondary institutions that meet the statutory criteria for identification as MSIs:

http://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html.

• Offering continuing education opportunities for first responders and homeland security professionals.

• Offering student internship, scholarship, or fellowship programs that provide homeland security research experience.

• Developing community college partnership programs to attract a diverse population of students and teachers into homeland security science and engineering disciplines.

• Offering homeland security related research opportunities to students.

• Embedding students and faculty in research projects at DHS or other operational agencies within the HSE.

Applicants must include the following elements for each project. Applicants may submit up to five workforce and professional development projects total.

• Title

• Principal investigator (name, title, school)

• Specifically identify which theme area and topic the project addresses - if a proposed project falls under multiple themes/topics, identify those as primary, secondary, tertiary, etc.

• Project abstract

• Goals and objectives of the project

• Significance of the proposed project to homeland security

• Capability or knowledge gap this project addresses

• Significant partners and their roles

• Relevant citations to express workforce needs of DHS

• A description of how the project aligns with and integrates into the

Center’s research program

• The stages and gates that will be used to evaluate technical and business/programmatic progress - See “Transition” p 20 of this NOFO for requirements on how to propose projects using the stage-gate methodology.

• A description of how the Center would track specific measures of success, i.e., the number of students who graduate with homeland security relevant degrees; the number of students that participated in homeland security-http://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html related internships or research activities; the number of students that successfully obtained homeland security-related employment; the number of homeland security-related conference presentations given; the number of homeland security-related papers published; and/or the number of homeland security-related awards or prizes received

• A year-by-year description of key milestones for the project for the first two years

• Total projected costs per year for two years

• Letters of support from organizations agreeing to host interns (this may be included in the appendix of the application)

Leadership (suggested: 5 pages)

A DHS COE requires a committed and sustained leadership team that establishes a strategic vision and direction for the Center. The leadership team must clearly communicate the Center’s goals and DHS’s expectations to all partners in its network. The COE must be responsive to DHS requests for information and assistance. Center management teams are responsible for managing, coordinating, and supervising the entire range of Center activities.

The Center must appoint or hire either a full-time Director or Executive Director. OUP’s experience has shown that part-time Directors have difficulty managing all of the demands placed on a COE, as well as their other duties. The Center Director should expect to work closely with the DHS Program Manager and have an effective and dynamic working relationship with DHS. Center Directors are ultimately responsible for managing all Center activities and ensuring they are productive. Center Directors must be U.S. citizens who are eligible for a government security clearance.

DHS expects the Center Director to spend 1-3 months working onsite with DHS operators in the COE’s first year to fully understand the operational environment and requirements necessary for the successful transition of the work performed at the COE.

DHS strongly encourages collaborative research or education projects with existing COEs. COEs must strategically engage to maximize the return from their research and education programs through collaboration and integration both within the COE’s own consortium and across the COE network. COEs are encouraged to form associations with other federal agencies (including the National Laboratories); existing COEs; research laboratories; state and local homeland security and law enforcement agencies; and public and private entities.

Expectations for COE Coordination and Communication

A successful COE fosters relationships and collaborative efforts among its partners and embraces researchers who are committed to the goals of the COE and DHS. Effective Center leadership and communication ensures all partners understand their responsibilities and how their research supports the mission of the COE and DHS. This Center will be a fully integrated component of the network of COEs and will take advantage of the network's resources to develop mission-critical research, education, and transition programs.

Applicants should plan to: (1) integrate proposed work with that of other COEs as feasible, and (2) develop methods to ensure that Center work leverages and complements, and does not duplicate, other COEs’ research or data collection efforts. Applicants should show they can leverage and integrate their efforts with the network and other DHS R&D efforts, while introducing new activities that broaden capabilities and results. For a list of current COEs and their capabilities, go to http://www.dhs.gov/st-centers-excellence.

The Leadership section must include the following elements:

• The organizational structure and charts for the Center management and administration as well as the COE as a whole

• The Center Director and Center staff responsible for each major COE activity (e.g., leadership, management, administration, program/project evaluation, business operations, financial management, resource management, collaboration/integration, communications and outreach, education, research, strategic planning, and technology transfer/transition).

Include a description of the major responsibilities for each member of the leadership and management team. Discuss how team members will work together to ensure successful operation of the Center.

• How the Center will leverage the resources or take advantage of the resources available within the lead institution’s existing complex (e.g., university technology transfer offices, sponsored research offices, communications offices, or other departments that can contribute to business plans, marketing plans, and communications)

• The Center will be expected to construct a plan and schedule describing the specific business steps needed to execute subcontracts, identify data needs and the acquisition of such data, establish intellectual property sharing agreements, and engage customers to refine proposals into a work plan. The Center will be required to have these elements in place within 6 months following award.

• How the COE and the university will make decisions pertaining to transferring intellectual property and under what timeline (see also the requirements under the transition section in this NOFO)

• Any major committees (e.g., steering committees, advisory boards, industry panels, customer working groups) that will be established to guide Center activities and functions. Include a description of committee roles, responsibilities, proposed membership composition, and how http://www.dhs.gov/st-centers-excellence http://www.dhs.gov/st-centers-excellence committee guidance will be implemented by Center management/administration.

• A plan for how the Center will do the following:

o Foster relations and collaborative efforts among all partners;

o Ensure partners adhere to their responsibilities as research partners;

o Disseminate effective internal communications across the Center partners to; promote a common mission and engage stakeholders in Center activities;

o Identify and build upon or complement related work across the existing OUP COE Network.

• Describe any unique partnerships, capabilities or other resources the proposed Center would bring to the COE Network.

Transition (suggested: 8 pages)

As a mission agency, DHS funds projects with the ultimate goal of making homeland security practitioners more effective and efficient. Therefore, COEs are expected to have concrete objectives for how their research efforts will improve processes (e.g., operations, policies, decision-making), as well as impact homeland security (e.g., protect lives, property, and economies).

Transferring and transitioning research into the market requires a systematic understanding of customer needs, process and product design, and product and service development. The success of COEs depends on the ability to identify the needs of customers and quickly develop products and solutions that meet those needs. Delivering value to the customer is not simply a scientific problem, a design problem, or a market problem; it involves specific attention to each of the three general areas noted above.

DHS OUP utilizes a form of the stage-gate methodology to evaluate the performance of the Center and its projects. The stage-gate methodology, known as the industry and government standard, allows for reviewers to conduct evidence-based decision making that mitigates programmatic risk and enables program managers to monitor progress and make decisions.4 At each stage, the Center and program managers evaluate the project status and ensure specific criteria such as: strategic fit, technical feasibility, customer acceptance, market opportunity, and financial opportunity are met before proceeding to the next stage of investment. Figure 1 below is a depiction of a generic form of the stage-gate process.

4 “Innovation Process”. Stage-Gate International. http://www.stage-gate.com/resources_stage-gate.php http://www.stage-gate.com/resources_stage-gate.php

Figure 1: Stage-Gate Process

The Center’s strategy must propose and adhere to this stage-gate methodology shown in Figure 1, and as described in further detail below. The applicant must use this framework to describe the planning and execution of studies and developmental steps and the corresponding market and business steps necessary to complete the effort and transfer program outcomes into use. As a result of using this framework, the Applicant should be able to characterize the proposed research as a function of its technical maturity and market readiness at any given time.

Applicants are required to submit a detailed strategy and framework that the Center will adhere to when developing annual work plans under Section A, item 3 of the Administrative Terms and Conditions, and executing the portfolio of projects. Each project team must utilize this framework in the management of the project. Not all projects will result in outputs for a commercial market; however, at a minimum, all teams should describe how customers can access the program outputs, how the team will protect intellectual property, and what laws and regulations could impact the use of the program outputs.

Example stages of research are:

a) Exploration and Customer Discovery: the stage of research that generates hypotheses or theories through new and refined data analysis, produces observational findings, and creates other sources of research-based information. Efforts to explore customer gaps occurs early in the process.

Projects in this stage should describe existing relevant standards, competing approaches, and provide an initial analysis of market conditions.

b) Planning and Concept Refinement: the stage of research that narrows project requirements. This includes conducting preliminary market and technical assessments, identifying customer needs and developing initial product specifications. Results from this stage of research may be used to inform the design of a study to test the efficacy of an idea/project.