CBTS QA 07-28-17.pdf

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U.S. Department of Homeland Security Washington, DC 20528

July 28, 2017

Department of Homeland Security Science & Technology Directorate (DHS/S&T) Cross-Border Threat Screening and Supply Chain Defense (CBTS) Center of Excellence

Center Lead NOFO: DHS-16-ST-061-CBTS-LEAD Center Partner NOFO: DHS-ST-061-CBTS-PARTNER

DHS Grants and Program Offices received the following questions regarding the above referenced Notice of Funding Opportunities (NOFOs). Based on the NOFO published material, the following answers ensure that all interested applicants have the same information. The identity of the institution asking the question will not be provided. Questions have been edited to provide clarity.

Questions may be added in the weeks to come, with the most recent questions listed first.

Question #32: Can a workforce development project period of performance be longer than two years?

Answer:

The average workforce development project lasts about two years. This is based on funding students to complete the project, since most students graduate after two to four years.

Question #31: Which DHS Components have mission/operational areas that are applicable to the scope of the CBTS Center research areas?

Answer:

The overarching Center vision and the DHS Operational environment is described extensively throughout the NOFO, please read these sections in their entirety to better understand the vision and Component mission areas.

Question #30: Page 21 of the Partner NOFO states that the applicant must submit costs per project for two years and forecast the costs for any projects up to five years. Can the budget total for years 1 and 2 be included in the 424 form and the forecasted project budget for years 3-5 be included in the narrative?

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Answer:

Yes, this is acceptable.

Question #29: Is the $500,000 maximum (reference on page 34 of the Partner NOFO) over two years inclusive of direct, indirect/fringe, and any profit fees?

Answer:

Yes, the total budget (including all rates) must not be greater than $500,000 per project over a two year period.

Question #28: Is there a profit fee allowed for this funding opportunity?

Answer:

Direct and indirect rates are requested by the institutions and negotiated with a federal cognizant agency. Lead institutions are responsible for all negotiation of subawards to other academic institutions and commercial partners.

Question #27: Is there a template that DHS prefers that the bio sketches be in?

DHS does not have single template for biosketches. Please reference page 40 of the NOFO for page limits and required information.

Question #26: Page 77 of the NOFO, #9 states, “Papers, presentations, or other documents co-authored by a DHS employee and a COE researcher will be subject to DHS’s publications approval process prior to dissemination of the publication by the authors.” Could you clarify what the publication approval process entails?

Answer:

Please refer to the Review of External Publications published by the Department of Homeland Security, Management Directives System for more information regarding DHS’s publication (where a DHS employee is a co-author) approval process:

https://www.dhs.gov/sites/default/files/publications/mgmt_directive_2260.1_review_of_ external_publications.pdf . For more information regarding the reporting requirements on publications, please refer to the Terms and Conditions section in the NOFO.

Question #25: Are colleges eligible to apply to be a Center Partner?

Yes, Eligible Center Partners include accredited universities and colleges, commercial industry, and/or non-profit organizations. The Center of Excellence Lead must be an accredited U.S. college or university.

Question #24: Are potential applicants required to submit biographical sketches for principal investigators who are not part of the leadership or staff of the Center?

https://www.dhs.gov/sites/default/files/publications/mgmt_directive_2260.1_review_of_external_publications.pdf https://www.dhs.gov/sites/default/files/publications/mgmt_directive_2260.1_review_of_external_publications.pdf

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Yes, according to the Content and Form of Application Submission section of the NOFO, specifically under the subheading D. Research & Related: Senior/ Key Personnel Profile, “Applicants must complete a profile for all principal investigators as well as any other senior key personnel on the project.”

Questions #23: Can non-profit organizations apply to the Partner NOFO?

Yes, accredited colleges and universities, commercial industry, and non-profit organizations are eligible to apply to the Partner NOFO. However, nonprofit organizations described in Section 501(c)(4) of the Internal Revenue Code that engage in lobbying activities as defined in Section 3 of the Lobbying Disclosure Act of 1995 are not eligible to apply. Language pertaining to eligibility requirements have been updated in the Partner NOFO to clarify this.

Question #22: The Notice of Funding Opportunity (NOFO) states, “DHS will accept only one application for Center Lead from any single university for review. Proposals must be submitted by an accredited U.S. institution of higher education that along with its chosen partners, has the ability and capacity to conduct the required research." For larger Universities that have different colleges or schools within the overarching system, i.e. School of Business, School of Public Health, etc., can each of these schools that maintain different DUNS numbers submit a unique application to the NOFO – Center Lead?

Answer:

The CBTS NOFO, under the Eligibility Information section, states that “DHS will only accept one application from a given University as the Lead Institution”. DHS recommends Applicants coordinate between interested divisions or schools within the University system to submit one application to the Lead NOFO. Universities and eligible applicants may submit more than one application to the Partner NOFO. In addition to objective, novel science, managing a DHS Center of Excellence requires teaming, coordinated and efficient business functions and legal counsel, flexibility, and innovative and relevant science and technology development and transition processes.

Question #21: Does the proposed scope entail a need for better cybersecurity software as it pertains to operations at ports of entry or land borders?

Answer:

Please refer to the NOFO for the thematic areas and specific research questions that are of interest. The proposed CBTS COE emphasizes the need to better detect, mitigate, prepare for, and respond to biological threats or hazards that DHS operational Components currently face and will presumably face in the future.

Question #20: In the recently released DHS S&T 2018 Budget Overview

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Congressional Justification document, it notes that S&T plans to eliminate a current COE and two planned COEs, one of which is the Cross Border Threat Screening and Supply Chain Defense COE. Should interested applicants still apply to this Notice of Funding Opportunity?

Answer:

If a university does not apply to be a COE lead or partner, DHS cannot consider the institution under this announcement. Fiscal Year (FY) 2018 funding for any individual COE is uncertain, so there are risks for a university or institution either by expending resources on applying, or missing opportunities by not applying. DHS plans in accordance with the Office of University Programs overall budget line contained in the 2018 Congressional Justification, i.e., the President’s Budget. DHS continues to evaluate how much each Center of Excellence should receive in order to address and support DHS missions and administration priorities. The Cross Border Threat Screening and Supply Chain Defense COE NOFO addresses the Administration’s top priority of border security. The final FY 2018 budget may change as the budget continues through the House and Senate appropriations processes and Conference committee. DHS will adjust FY 2018 COE budgets as more information becomes available.

Question #19: Page 16 of the NOFO states, "Selected COE Directors and Research Theme leaders must spend 1-3 months in DHS operational environments early in the research life cycle to understand both the technical and business requirements of DHS Components." How should this be reflected in the proposed budget? Will this entail multiple trips to multiple locations or an extended stay in one? Will the Center be responsible for covering housing costs from its own budget?

Answer:

Potential applicants should include the estimated costs associated with traveling to locations in the budget submitted in the NOFO application. DHS recommends that potential applicants should also become familiar with location(s) and Components that would be most relevant to the research that the University proposes to conduct in response to the NOFO. Understanding the technical and business requirements of DHS Components is essential for successful project implementation and research/technology transition.

Question #18: Page 19 of the NOFO states, “Provide a comprehensive bibliography of their own and others relevant publications.... Applicants should provide a bibliography under 'Other Attachments.'" However, on page 49 a Bibliography & References Cited item is required as Item 9 of the "Research & Related Other Project Information" section. Is there a difference between the two?

For every group of related projects proposed, applicants must provide a comprehensive bibliography of their own and others relevant publications. Omitting these supporting documents may result in DHS dismissing a proposal without review. The reference of a bibliography on page 19 and page 49 are the same, page 49 emphasizes the suggested page formatting. Please submit your bibliography (item 9) entitled “Bibliography & References”. Please note that this section is limited to 5 pages, single-spaced, with 12 point Times New Roman font, and one-inch margins.

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Question #17: Our University is interested in applying to as a Partner to this NOFO. Is there a site to find out what Universities are interested in applying as potential Leads to better assist us in how to contact them for possible teaming?

DHS does not maintain a list of potential applicants. We encourage you to reach out through your academic networks to gage other Universities’ interest and strategic fit.

Universities that are interested in partnering with the Lead University can apply to the Partner NOFO for that, if successful, DHS will be pair with the successful Lead institution.

Questions #16: Can National Lab staff researchers, who are not designated as federal research personnel, be listed as senior personnel and receive funding from this opportunity? Or does DHS consider National Lab staff researchers federal research personnel, and therefore unable to receive funding from this opportunity?

Answer:

Yes, National Lab staff researchers are Federal research personnel. As stated in the Notice of Funding Opportunity, FFRDC employees are not eligible to serve in a principal leadership role on a grant or cooperative agreement, and may not receive salaries or in other ways augment their agency's appropriations through awards made by this program. National laboratory employees may participate in planning, conducting, and analyzing the research directed by the COE principal investigator, but may not direct projects on behalf of the applicant organization or principal investigator.

Questions #15: The NOFO emphasizes biological threats; however, in the webinar chemical threats seemed to be given equal weight. Should the proposed Center give equal weight to the two or are biothreats the primary concern?

Answer:

DHS will evaluate potential applicants based on the criteria listed in the “Application Criteria” of the NOFO as it pertains to the five research thematic sections listed under the Research Topics section of the NOFO. Please review the research questions under this section in the NOFO for insights into the types of disciplines necessary to address the research questions.

Question #14: Can two universities in different states apply as co-leads?

Answer:

DHS will select a single institution to lead the Center, although DHS has awarded Center Co-leads in the past. Lead institution must be an accredited U.S. based academic institution, with research partners from other universities, the commercial sector, national laboratories, and state and local consortia that work closely with each other and with DHS Offices and Components. DHS will select qualified individual projects from applications received for either the Center Lead NOFO or the Center Partner NOFO, regardless of the institution that is awarded as lead institution.

Question #13: Does DHS S&T have a directory for service consulting firms that specialize in providing consultation services to potential applicants to this NOFO

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Answer:

DHS does not currently maintain a directory of service consulting firms for potential applicants. DHS S&T encourages applicants to utilize existing university resources, consulting firms, or other partners to supplement knowledge gaps.

Question #12: How does Veteran owned businesses partner with potential COE Lead Institutions?

Answer:

Interested businesses should apply to the Partner Notice of Funding Opportunity (NOFO). DHS encourages interested parties to form new partnerships or leverage existing partnerships that can help address the capability gaps described in the NOFO.

DHS will select qualified individual projects from applications received for either the Center Lead NOFO or the Center Partner NOFO, regardless of the institution that is awarded as lead institution.

Question #11: Can a Lead Applicant team up with a small business?

Answer:

Yes. DHS encourages interested parties to form new partnerships or leverage existing partnerships to successfully address the capability gaps described in the NOFO. 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.

COE partners may 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 governments, non-profits, and first responder organizations.

DHS will select qualified individual projects from applications received for either the Center Lead NOFO or the Center Partner NOFO, regardless of the institution that is awarded as lead institution. Interested businesses should apply to the Partner Notice of Funding Opportunity (NOFO). DHS may select qualified individual projects from applications received for either the Center Lead NOFO or the Center Partner NOFO, regardless of the institution that is awarded as lead institution.

Question #10: Do the 3 Partner awards have to be set aside (taken out of) the $3.5 million budget. That is, should a Lead proposal reserve around $750,000 for the 3 Partner awards?

Answer:

Not necessarily. DHS may allocate up to $250,000 of the $3.5 million per year for the first two years to each selected Partner applicant (up to $750,000), subject to availability of funds. The Center Lead is responsible for administering funding to all DHS-selected projects within the Center’s portfolio. DHS will select individual projects on the basis of

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Question #9: Will cost sharing be a review factor for Partner applications and if so, how much will these be weighted?

Answer:

For more information regarding cost share or match please see section C “Eligibility Information” specifically the Cost Share or Match section.

Question #8: Can a partner apply for a workforce development or professional development project rather than research?

Answer:

Yes, please specify in your proposal submission that you are applying for a workforce or professional development project rather than research. It is important to understand how related training is currently being offered in the market. DHS defines workforce development as the formal training for the next-generation of workforce whereas professional development training refers to how to efforts that support the continued development of existing professionals.

Question #7: Is it advantageous for partner projects to have existing commercial partners in place, and also to have commercial investment as an in-kind match?

Answer:

Please review the evaluation criteria to assess how DHS will evaluate applications. Applicants should have an understanding of how to translate research to practice including licensing, the ability to work with transition partners, and an understanding of federal acquisition. In addition to scientists, COEs may include experts in finance, project management, education, training, outreach and marketing, intellectual property management, technology development, and technology transfer.

For more information on cost share/match, please refer to the eligibility criteria section of the NOFO, specifically section C “Eligibility Information”. A cost match or a cost share is voluntary. However, the ability to extend the reach of DHS funds for research and education in support of its mission is an important consideration for DHS. In-kind contributions demonstrate a university’s commitment to the COE. Identification of university in-kind contributions will result in a higher rating in DHS’s overall proposal review.

Question #6: Can a single institution be lead on more than one DHS COE; either from previously funded Center, or 2 from current call?

Answer:

Universities that are currently the lead of a COE may apply, but the Departments within that university already leading a COE may not. For information on eligibility and evaluation criteria, please see Section E of the NOFO, section I. under “Application Evaluation Criteria.” DHSwill conduct a “Past Performance Review” for applications where the same department at a lead

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Question#5: Are site visits required for partners or only COE lead?

Answer:

The site visit review will only be conducted at the top three COE Lead Institution candidates. Per the Lead NOFO, “The site visit is for proposals that have made it to the third and final review phase. The site visit review team will examine the results of the external and internal reviews and determine the extent to which the applicant’s proposal and any site visit materials address the evaluation criteria listed in the NOFO.

Question #4: The CBTS NOFO focuses on biologicals, chemicals, and counterfeit goods. Is the detection of drugs within the scope of this center?

Answer:

Please read the NOFO carefully for the thematic areas and specific research questions that are of interest to DHS.

Question #3: The CBTS NOFO focuses on biologicals, chemicals, and counterfeit goods. How does this fit among the existing centers?

Answer:

Please read the NOFO carefully for the thematic areas and specific research questions that are of interest. You can review information on the topics of existing COEs on:

https://www.hsuniversityprograms.org/ . The scope of this Center is intended to complement projects and thematic areas at existing and proposed Centers.

Question #2: Is a University that is currently a DHS Center of Excellence eligible to respond to the CBTS Notice of Funding Opportunity?

Universities that are currently the lead of a COE may apply, but the Departments within that university already leading a COE may not. For information on eligibility and evaluation criteria, please see Section E of the NOFO, section I. under “Application Evaluation Criteria.” DHS will conduct a “Past Performance Review” for applications where the same department at a lead university has previously led a DHS Center of Excellence, (i.e., prior COE leads).

Question #1: How can I access the Webinar? Is registration required prior to attending?

Answer:

DHS conducted an informational webinar for interested applicants on March 29, 2017 at 3:00pm [EDT]. During the call, DHS discussed the NOFO and provided an opportunity for interested applicants to ask questions. The webinar was recorded and is posted on www.grants.gov for future reference.

https://www.hsuniversityprograms.org/ http://www.grants.gov/