fy 12 bachelor final to fapo- corrected 1-19-12.pdf

Department of Homeland Security (DHS) Funding Opportunity Announcement (FOA): 2012 DHS Scientific Leadership Awards for

Minority Serving Institutions (MSI) Granting Bachelor Degrees

OVERVIEW INFORMATION

Issued By Department of Homeland Security (DHS) Science & Technology Directorate (S&T) Office of University Programs (OUP)

Catalog of Federal Domestic Assistance (CFDA) Number 97.062

CFDA Title Scientific Leadership Awards

Funding Opportunity Announcement Title 2012 DHS Scientific Leadership Awards for Minority Serving Institutions (MSI) Granting Bachelor Degrees

Authorizing Authority for Program 6 U.S.C. 188(b) and 6 U.S.C. 182(10) The Secretary, acting through the Under Secretary for Science and Technology, shall have the responsibility for …. (B) detecting, preventing, protecting against, and responding to terrorist attacks; …(10) supporting United States leadership in science and technology…

Appropriation Authority for Program P.L. 112-74.; HR 2055, Section D, Title IV

FOA Number

DHS-12-ST-062-001

Key Dates and Time Application Start Date: January 27, 2012

Application Submission Deadline Date: March 29, 2012 at 11:59:59 PM EDT

Funding Selection Date: July 1, 2012

Award Date: July 31, 2012 Other Key Dates

Other Key Dates: Program Start Date 09/04/2012 Application Submission Extension

Is an extension to the application submission deadline permitted? Yes No

Intergovernmental Review Is an intergovernmental review required? Yes No

If yes, applicants must contact their State’s Single Point of Contact (SPOC) to find out about and comply with the State’s process under Executive Order 12372. Name and addresses of the SPOCs are maintained at the Office of Management and Budget’s home page at http://www.whitehouse.gov/omb/grants_spoc to ensure currency.

FOA Executive Summary

Program Type Select the applicable program type: New Continuing One-time

Date of origin for Program: 2007

Opportunity Category Select the applicable opportunity category: Discretionary/Competitive Mandatory/Non-competitive Both

If “Both,” please provide justification for DHS decision.

Application Process

DHS uses a two step competitive review process to evaluate submitted proposals. DHS will establish an external review panel to evaluate all of the proposals. Proposals that receive an external review rating of excellent or very good will be further considered during an internal review.

Eligible Applicants The following entities are eligible to apply for this solicitation:

Others (see text field entitled “additional information on eligibility” for clarification)

For additional information, see the Eligibility Criteria section of this FOA.

Type of Funding Instrument

Select the applicable funding instrument: Grant Cooperative Agreement

If a Cooperative Agreement, the substantial involvement of the federal agency is as follows:

Cost Share or Match http://www.whitehouse.gov/omb/grants_spoc�

Select the applicable requirement: Cost Match Cost Share None Required

Maintenance of Effort N/A

Management and Administration N/A

FULL ANNOUNCEMENT

I. Funding Opportunity Description

Program Overview and Priorities The mission of the Department of Homeland Security’s (DHS) Science & Technology (S&T) Directorate is to strengthen America’s security and resiliency by providing knowledge products and innovative technology solutions for the Homeland Security Enterprise (HSE). In order to conduct, catalyze, and survey scientific discoveries and inventions relevant to existing and emerging homeland security challenges, S&T seeks to leverage academia to address Homeland Security needs and nurture the future technical workforce of the HSE.

The DHS Scientific Leadership Awards (SLA) program is one of several administered by the Office of University Programs intended to help achieve the goals of S&T. The SLA program will help develop enduring educational and research capabilities within the MSI communities. Critical elements of a successful SLA program will include the following:

1) Coordinated teaching and DHS relevant research projects or initiatives with significant involvement of an early career faculty

2) Establishment of collaborative relationships with the DHS research COEs, DHS / DOE and other federal labs

3) HS-STEM curriculum development and course content

4) Financial support for undergraduate students in the form of scholarships and other direct student support

5) Student internships and other experiential learning opportunities

6) Best practices for successful student mentoring and career guidance

7) Processes with the potential for highly successful transition of supported students to HS-

STEM related careers, or admission to graduate school

8) Student tracking and reporting methodology

The proposal must contain a subproject that allows collaboration or faculty exchange between the early career faculty and a researcher at one of the COE Research lead universities, a DHS / DOE or other related federal laboratory.

Requirements for an SLA Bachelor Degree program Subject to the availability of funds, DHS plans to provide funding through this opportunity to any eligible Minority Serving Institution (MSI) with an HS-STEM undergraduate program of study for up to six years. Funds will be awarded in two phases. The Phase 1 award will average $500,000 with a maximum of $750,000. The average award for Phase 2 will be $500,000 with a maximum of $750,000.

Phase 1, the initial phase, will provide the opportunity to enhance internal capabilities at the recipient institution. Phase 1 activities may include, but are not limited to, project refinement, extended visits by early career faculty to COE partner institution, equipment purchase, validation and testing; and student recruitment. Phase 2 will begin in no more than two years after phase 1, and will include full research project implementation and student participation. The total award amount of Phase 1 and Phase 2 must include 50% of direct support to students. However, in Phase 1, recipients have the option of using up to 75% for equipment, faculty development, travel, and support. See sample budgets at (hyperlink). Direct student support includes scholarships, tuitions assistances, stipends, traineeships, research, or internship experiences relevant to DHS.

The proposal must include a plan for collaboration, faculty exchange, and/or intermittent residency of the early career faculty within a DHS COE or lab. The faculty exchange component may include intermittent residency at COEs that enables early-career faculty to expand their research and teaching opportunities. Intermittent residencies enable early-career faculty the opportunity to collaborate with colleagues at another campus and to experience teaching at a different institution, but do not necessarily have to be continuous. From an institutional perspective, faculty exchange enables departments to enrich curricular options by drawing on expertise at the other campuses.

Proposals should be relevant to the interests and goals of DHS S&T. Due to the multidisciplinary nature of homeland security related research, several academic disciplines may be incorporated into a proposed program, but one established academic department or center must integrate these disciplines into a coherent program. This program should promote student interest and the development of HS-STEM relevant careers in research and development.

To help determine the appropriateness of the proposed HS-STEM education program for DHS, and to identify collaborative opportunities, please review the reference section. The proposal must include a letter of support detailing how the institution will work with the COE. Relationships with an existing COE will facilitate mentoring, assure relevant student research experience opportunities, and expand the professional networks of the applicants. Moreover, this will fulfill the DHS primary objective, which is to create enduring capabilities in a specific HS-STEM area of interest. NOTE: Institutions that received SLAs in prior years must only apply in the previously awarded research area.

Potential education activities related to the homeland security research areas could include:

designing innovative HS-STEM courses or curricula; supporting academic enhancement including adapting effective educational materials and practices developed elsewhere; incorporating examples of HS-STEM technology research, development, and application activities into undergraduate courses; and implementing innovative methods for evaluation and assessment of program effectiveness.

International dimensions may be permitted where appropriate (i.e., visits to foreign research facilities, collaborations with foreign educational partners, and development of international educational activities). Additional requirements may apply.

Specific requirements for students supported under the SLA The recipient will be responsible for student recruitment and subsequent award administration which includes: awarding and disbursement of scholarship, stipends and other direct support;

directing students toward successful degree completion; facilitating student progress to the next stage of their career, and post-award completion tracking and evaluation.

Recipients may not make individual scholarship awards greater than full tuition and mandatory nonrefundable fees. Students must also receive the equivalent of at least half of their full tuition.

The stipend may not exceed $1,000 a month for nine months during the academic year for undergraduates. Student must receive a monthly stipend appropriate to the geographic region.

Students should receive the stipend during summer months if paid internships cannot be secured.

Students supported under this award must be U.S. citizens and must have a minimum GPA of 3.3 on a 4.0 scale, which must be maintained to remain eligible.

Recipient institutions must facilitate the placement of students in at least one summer internship.

All students supported by this grant will be required to engage in one year of professional employment within the Homeland Security enterprise after graduation. Venues may include COEs, Federal research facilities, foreign partners, foreign research institutions, and industry. The institution receiving this award will be responsible for facilitating this placement and compliance with this requirement. Salaries for these placements are not part of this award. This requirement will be waived for any student who attends graduate school immediately after receiving their bachelor’s degree. The requirement will be waived for anyone entering active duty in the armed forces, United States Coast Guard, or U.S. Public Health Service.

For the purpose of program evaluation, all students receiving support under this grant agree to share personal information with their academic institutions that would allow their institution to track their progress toward a career in HS-STEM research and development: specifically, their graduation with a bachelor’s degree and their enrollment in, and graduation from, an HS-STEM related graduate degree, and their initial employment.

References DHS S&T Office of University Programs (OUP) http://www.hsuniversityprograms.org

DHS Quadrennial Homeland Security Review (QHSR) http://www.dhs.gov/xlibrary/assets/qhsr_report.pdf http://www.hsuniversityprograms.org/� http://www.dhs.gov/xlibrary/assets/qhsr_report.pdf�

Resource for information regarding the DHS Centers of Excellence (COEs), Education Programs and Minority Serving Institutions (MSIs) http://www.dhs.gov/xabout/structure/editorial_0530.shtm

Accredited U.S. postsecondary institutions that meet the statutory criteria for identification as HBCUs, TCUs, and HSIs http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html

Describe the relationship to the Quadrennial Homeland Security Review (QHSR) missions, goals, and objectives:

(Please refer to http://dhsconnect.dhs.gov/org/comp/plcy/sco/Documents/QHSR.pdf )

QHSR Mission VI: Maturing and Strengthening the Homeland Security Enterprise

Goal: Foster Innovative Approaches and Solutions Through Leading-Edge Science and Technology

Objective 1: Scientifically study threats and vulnerabilities: Pursue a rigorous scientific understanding of current and future threats to homeland security and the possible means to their prevention and mitigation.

Objective 2: Develop innovative approaches and effective solutions: Encourage and enable innovative approaches to critical homeland security challenges, fostering collaborative efforts involving government, academia, and the private sector.

Performance Measurements: 1) Number of awards made to academic institutions 2) Number of science, technology, engineering, and mathematics (STEM) students supported.

II. Funding Information

Award Amounts, Number, Important Dates, and Extensions

Available Funding for the FOA:

$2,850,000 DHS reserves the right to make no awards from this Funding Opportunity Announcement (FOA). The average total anticipated award amount is $1,000,000 per awardee ($500,000 for Phase 1, $500,000 for Phase 2) with a ceiling of $1,500,000 ($750,000 for Phase 1, $750,000 for Phase 2).

Approximate Number of Awards: Up to five awards. Each award will fund a single program at a single institution.

Projected Award Start Date(s): 09/01/2012

Projected Award End Date(s): 09/01/2014 http://www.dhs.gov/xabout/structure/editorial_0530.shtm� http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html� http://dhsconnect.dhs.gov/org/comp/plcy/sco/Documents/QHSR.pdf�

Period of Performance:

2 years (Phase 1) Phase 2 award contingent upon availability of funds and satisfactory performance of Phase 1

Period of Performance Is an extension to the period of performance permitted? Yes No

Extensions to the Period of Performance can only be authorized in writing by the DHS Grants Officer. The extension request shall be submitted to the DHS Grants Officer sixty (60) days prior to the expiration date of the performance period. Requests for time extensions to the Period of Performance will be considered, but will not be granted automatically, and must be supported by adequate justification to be processed. The justification is a written explanation of the reason or reasons for the delay; an outline of remaining resources/funds available to support the extended Period of Performance; and a description of performance measures necessary to complete the project. Without performance and financial status reports current and justification submitted, extension requests shall not be processed. DHS has no obligation to provide additional resources/funding as a result of an extension.

Additional Funding Information N/A

III. Eligibility Information

Eligibility Criteria The successful applicant will be a Historically Black College and University (HBCU), Hispanic Serving Institution (HSI), or Tribal College and University (TCU) that possess the capabilities to develop an enduring program of undergraduate education and relevant Homeland Security-related Science, Technology, Engineering, and Mathematics (HS-STEM) research and development, and collaborate with our existing research Centers of Excellence (COEs), who are currently performing work related in areas critical to homeland security.

Proposals may be submitted by only accredited academic HBCU, HSI, or TCU institutions in the U.S., its territories or possessions, and the Commonwealth of Puerto Rico, that award bachelor degrees in science (including social science), technology, engineering and/or mathematics (STEM) fields. Most accredited U.S. postsecondary institutions that meet the statutory criteria for these categories are listed at: http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.htm. DHS is only accepting and funding one application per eligible institution.

Early-career Faculty member http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.htm�

Funds from this grant announcement must be awarded by the recipient institution to support early-career faculty with interest in HS-STEM. This grant will provide funding for them to develop courses, curricula, or other significant education programs. In addition, this grant will provide the opportunity for them to collaborate with our research COEs and federal laboratories involved in the development of technologies, research and other scientific contributions related to the homeland security mission.

Early-career faculty (also referred to as young investigators or junior faculty) should have received their PhD or Masters Degree within seven years as of the application deadline, and should be no more than five years in their current position. They must be in a tenured (or equivalent) position, or accepting a position at an institution that essentially meets the criteria (see also Section III. A).

Supported early-career faculty must commit to the grant recipient institution for the duration of the award. Institutions that do not have qualified early-career faculty, but plan to attract them must have them under contract by the time of award and submit the required letter of departmental support. Other faculty may be included in the proposal as well. However, the early career faculty must have a significant role in the proposal.

IV. Restrictions on Use of Award Funds

Restrictions on Use of Award Funds Funding Restrictions: DHS grant or cooperative agreement funds may only be used for the purpose set forth in the agreement, and must be consistent with the statutory authority for the award. Grant or cooperative agreement funds may not be used for matching funds for other Federal grants, lobbying, or intervention in Federal regulatory or adjudicatory proceedings, or for support allocation for other Federal awards. In addition, Federal funds may not be used to sue the Federal government or any other government entity.

1. Student Education. Note the recipient must use at least 50% of the total phase 1 and phase 2 grant funds for the direct support of students. However, the total proposed budget does allow for up to 75% of the phase 1 funds to be spent on equipment and faculty development. DHS defines direct support of students to include scholarships, stipends, traineeships, research, or internship experiences relevant to DHS. DHS defines the use of other costs to include early-career faculty, curriculum development, faculty exchanges within DHS COEs or other institutional support.

2. Equipment.

All equipment or laboratory supplies requested must be proposed in phase 1 of the grant funding period. All requests will be subject to intense scrutiny and must be accompanied by a compelling justification stating that the expense is explicitly required for the proposed project and related curriculum. This equipment cannot be used for other research and training. In the event that equipment is approved, the following must be adhered to:

a. Prior to the purchase of equipment in the amount of $5,000 or more per unit cost, the Recipient must obtain the written approval from DHS.

b. For equipment purchased with grant funds having a $5,000 or more per unit cost, the Recipient shall submit an inventory on an annual basis which will include a brief description of the item, serial number and amount of purchase.

c. Maintenance and insurance will be the responsibility of the Recipient.

d. Title of equipment will remain with the Recipient until closeout when disposition will be provided in writing by DHS within 120 days of submission of final reports.

3. Construction Costs. Construction costs are not allowable under this funding opportunity.

4. Pre-award. Pre-award costs are allowable only with the written consent of DHS and included in the award agreement.

5. Profit/Fee. Profit or fee is not allowable except when subcontracting for routine goods and services with commercial organizations.

V. Application Review Information and Selection Process

Application Review Information DHS is fully committed to free and transparent competition among eligible entities. Ensuring an objective application rating system is crucial to this commitment as well as ensuring that any the Awarding Office and/or Program check any reviewer for potential conflicts of interest prior to being invited to review applications.

1. DHS Requires an objective review process, which includes a panel of technical/programmatic expertise within and external to DHS.

2. DHS requires a conflict of interest check to be documented for all external reviewers.

3. DHS does not require in-person panel reviews.

4. All reviews will be documented and submitted to the DHS panel convenor.

5. DHS makes all final funding decisions.

Application Selection Process

External Review The primary purpose of the External Review is to evaluate the proposals based on scientific merit.

DHS will establish an external review panel to evaluate all of the proposals submitted. A qualified subpanel of reviewers may also evaluate each application. Proposal selection and award decisions are solely the responsibility of DHS Federal personnel. To determine possible conflicts of interest, potential reviewers will be required to complete and sign conflicts of interest and nondisclosure forms.

Proposals that receive a high rating are given priority consideration for funding. Proposals that receive a lower rating are considered as funds are available, with consideration of the goals of the program and DHS.

Technical and cost proposals submitted under this funding opportunity will be protected from unauthorized disclosure in accordance with applicable laws and regulations. DHS will keep the names of submitting institutions and individuals, as well as the substance of the proposals confidential except to reviewers, and will destroy any declined proposals.

DHS discourages, and will not consider any materials submitted by or on behalf of the applicant other than those materials requested in this funding opportunity announcement.

DHS will evaluate the proposals based on the following criteria and weighting:

1. Proposed research has technical merit and the potential for significant contribution to the homeland security enterprise. (15%)

2. Proposed program will establish significant courses or content relevant to role of science, technology, engineering and mathematics in Homeland Security (15%)

3. Proposed program incorporates academic rigor and qualified personnel who can enrich and teach HS-STEM disciplinary courses and incorporate examples of relevant homeland security science and technology issues and areas of research (15%)

4. Proposed program includes relationships with the DHS Centers of Excellence, and potential relationships with DHS laboratories, related government agency research laboratories (e.g. Department of Energy), and DHS operational offices (United States Coast Guard, Customs Border Protection, Immigration and Customs Enforcement, Citizenship and Immigration Services, Federal Emergency Management Agency, U.S.

Secret Service, Transportation Security Agency) to develop student understanding of homeland security careers and the role of technology in defending the nation (15%)

5. Proposed program incorporates student development best practices and a plan for a successful transition of students from the undergraduate level to graduate school, or to relevant homeland security employment. Students will have access to appropriate mentors and other institutional support (15%)

6. Proposed program demonstrates a sound plan for management of financial resources with effective and appropriate financial controls, and can manage the student scholarships and stipends selection and distribution processes that will be associated with this award (15%)

7. Proposed program includes a sound approach for evaluating and reporting on program and student performance and success (10%)

Internal Review The primary purpose of the Internal Review is to evaluate the selected proposals based on the DHS mission. The Program Manager (PM) convenes an Internal Review Panel of S&T Subject Matter Experts (SMEs) and senior staff, including the Education thrust program manager, to further review the proposals that received acceptable mean or median ratings in the external review. These proposals will represent the group of “finalists.” The Internal Review Panel will consider all of the evaluation criteria and will focus on the mission-related significance of the proposal and its fit with the stated needs of DHS. All members of this panel will confirm they also have no conflicts of interest with respect to the finalists. Sufficiently high Internal Review Panel ratings carry the presumption that the applicant institutions have the capabilities required to execute a successful DHS Scientific Leadership Award. One or more institutions may receive acceptable scores as a result of this process.

DHS will evaluate the proposals based on the following criteria and weighting:

1. Proposed program addresses the critical agency area of need and has the potential to fulfill a need within the homeland security enterprise (30%)

2. Institution and/or PI has no negative past performance history with DHS S&T OUP (30%)

3. Institution and proposed personnel presented a sound plan for management of financial resources with effective and appropriate financial controls including those attributed to indirect costs. Institution and personnel can effectively manage direct student support that will be associated with this award (20%)

4. Proposed budget is reasonable and equipment requested is appropriate (10%)

5. Proposal adequately addresses safety issues and has appropriate safety measures in place.

Proposed program has adequate safety measures in place. The application includes a summary of any relevant institutional laboratory and research safety requirements, as well as any other university resources available to promote research safety (10%)

Phase 2 Evaluation Criteria DHS reserves the right to conduct a site visit if deemed necessary.

a. Is the Program demonstrating an ability to establish an enduring and comprehensive program of study in scientific and engineering fields needed for a future homeland security enterprise work force?

b. Is the Program demonstrating the ability to nurture the development of a new generation of scientists and professionals working in homeland security fields?

c. Is the Program demonstrating continuing support for innovative ways to stimulate interest in STEM education?

d. Has the PI demonstrated that students are benefiting from the Program activities?

e. Has the Institution demonstrated commitment to establish meaningful partnerships with

COEs to develop a quality MSI research and training program?

f. Have key leadership and management personnel demonstrated a significant time commitment to the success of the Program and have projects been conducted within a reasonable time period?

VI. Post-Selection and Pre-Award Guidelines

Award Notices DHS issues formal award notification documents following fulfillment of DHS Congressional notifications. All DHS grants and cooperative agreements are subject to the standard DHS award Terms and conditions, which are attached to this FOA package. Program specific terms and conditions include:

A grant award will be executed by a DHS Grants Officer authorized to obligate DHS funding.

Unsuccessful applicants will be contacted as well and will be encouraged to apply for future grant award programs. Announcements for future programs will be listed at http://www.grants.gov.

Administrative and Financial Requirements Student Reports. The recipient institution shall submit a report on each supported student within 90 days of that student completing his/her tenure as a scholarship/fellowship recipient or graduating or leaving the program for an reason. The report should be no more than 5 pages, single-spaced, and should summarize each student’s experience under the funding received. The report should include:

• Degree received and date

• A summary of research accomplishments and contributions

• Post-award activity and post-graduation placement

• Any new skills and/or knowledge acquired

• Relevant conferences, seminars and/or lectures attended

• Publications, presentations, poster sessions, and/or accomplishment of project

Milestones, if any

• Internship placement and experience

g. Has the Program’s leadership developed and implemented a meaningful long-range strategic plan, including communication and outreach goals based on best practices?

h. Has the PI leadership established appropriate metrics to evaluate the performance and progress of the Center’s research and education activities?

i. Number/type of research projects / sub projects. Change from original proposal?

j. Number/type of faculty involved. Change from original proposal?

k. Number / type of grant outputs/outcomes/impacts. Examples: Publications;

curricula/courses/certifications developed; external customers attracted; funds leveraged or attracted

l. Number / terminal degree type of students supported with grant funds, i.e. students that receive at least the equivalent of 50% of the tuition from this grant. Change in original proposal?

m. Supported student recruitment and selection process

n. Outlets and potential career paths for supported students

Programmatic Reporting Requirements

1. Annual Financial Reports

a. The Recipient shall submit an Annual Federal Financial Report (SF 425) to DHS.

b. Final Financial Status Report. The Recipient shall submit the Final Financial Status Report (SF 425) to DHS no later than 90 days after the Project Period end date.

c. Federal Financial Reports (Cash Transaction). DHS requires that the Recipient submit the FFR (SF 425) Federal Cash Transaction Report to the Department of Health and Human Services, Payment Management System.

2. Annual Performance Reports

a. Performance Reports will be submitted to the Grants Officer, listed under Section VII, Department of Homeland Security Contacts.

b. The Recipient shall submit Annual Performance Reports to the Grants Officer no later than 90 days following the one-year anniversary date of the performance period start date. All subsequent annual reports will be due on the anniversary of the first annual report.

c. Annual Performance Reports shall describe accomplishments in terms of the approved project objectives, students supported and their progress, explanations of any changes from the initial work plan contained in the final approved proposal, and unanticipated problems.

d. The Final Performance Report shall consist of a comprehensive report with an executive summary and final summary abstract for each project, task, or initiative identified in the work plan. The Final Performance Report is due 90 days after the expiration date of the Performance Period. The final report should include the following information on all students supported under this award:

i. HS-STEM Major and Minor

ii. Research Experience within HS-STEM research areas

iii. Degree received and date

iv. A summary of research accomplishments and contributions

v. Any new skills or knowledge acquired

vi. Relevant conferences, seminars or lectures attended

vii. Publications, presentations, poster sessions, or accomplishment of project milestones, if any

viii. Internship placement and experience

ix. Post-award activity, post-graduation placement and venue for the HS-STEM professional employment requirement

VII. DHS Contact Information

Contact and Resource Information DHS Program Manager:

Stephanie Willett Department of Homeland Security Science and Technology Directorate Washington DC 20528 Phone: 202-254-6679 E-mail: stephanie.willett@dhs.gov

DHS Grants Specialist:

Patty Mayo Department of Homeland Security Attn: Office of Procurement Operations/Grants and Financial Assistance Division, Mail Stop 0115, Room 3069 245 Murray Lane, SW Washington, DC 20528-0115 Phone: 202-447- 0266 e-mail: patty.mayo@dhs.gov

Programmatic: Stephanie Willett; Administrative: Patty Mayo

• Component web address: “For additional opportunities, please visit:”

Information on existing Centers of Excellence may be obtained at:

http://www.dhs.gov/xres/programs/editorial_0498.shtm

VIII. Other Critical Information.

Additional Information

IX. How to Apply

Application Instructions A. Address to Request Application Package.

Use Grants.gov to obtain application forms and instructions. Go to http://www.grants.gov, click “Apply for Grants,” and then click “Download a Grant Application Package and Instructions.”

Enter the CFDA or the funding opportunity number (see the beginning of this announcement), and click the “Download Application Package” button. Click the “download” link for this opportunity and then follow the prompts to download the application package and the instructions package (if applicable).

If you are unable to download the grant application package, contact the Grants Officer/Specialist listed in the Synopsis or Section VII.B (DHS Contacts) of this funding opportunity announcement.

B. How to Submit an Application

*IMPORTANT! To avoid submission errors you must ONLY CREATE, SAVE, & SUBMIT application in an Adobe Reader version compatible with Grants.gov documents in applications packages should be prepared using the same version of Adobe Reader.

1. Applications must be submitted electronically through Grants.gov.

2. To submit an application through Grants.gov, applicants must use Adobe Reader. You must use a compatible version of Adobe Reader. Adobe Reader is available from Grants.gov at no charge.

3. The applicant must have a DUNS number to submit an application through Grants.gov. See the Grants.gov website for information on how to obtain a DUNS number. In addition, the applicant must be registered with the Central Contractor Registry (CCR) to submit an application through Grants.gov. See the Grants.gov website for information on how to register with the CCR.

The applicant must be registered, credentialed and authorized at Grants.gov to submit an application through Grants.gov. See the Grants.gov website for information on how to register, obtain a credential and become authorized.

DHS strongly encourages applicants to obtain or update all registrations, credentials and authorizations related to Grants.gov well in advance of the deadline.

If the applicant encounters difficulties, please contact the Grants.gov Help Desk at 1-800- 518-4726 to report the problem and obtain assistance with the system.

4. We may request that you provide original signatures on forms at a later date.

C. Content and Form of Application

You must complete the mandatory forms for this announcement including the SF-424 (R&R Application for Federal Assistance), SF-424A (Research & Related Budget), Research & Related Senior/Key Person Profile, Research & Related Other Project Information, Research & Related Performance Site Locations, and other forms in accordance with the application instructions on Grants.gov and additional instructions below. If submitting any information that is deemed proprietary, please denote the beginning and ending of such information with asterisks (***).

All applications must be self-contained within specified page limitations. Internet web site addresses (URLs) may not be used to provide information necessary to the review because reviewers are under no obligation to view the Internet sites.

D. Mandatory Files

1. SF 424 (R&R) - Application for Federal Assistance

Applicants must complete an SF 424 (R&R) application form. NOTE: Applications submitted through Grants.gov must use the SF 424 (R&R) provided by Grants.gov. The SF 424 (R&R) application form can only be viewed and downloaded once Adobe Reader has been installed. The SF-424 (R&R) application form on Grants.gov is formatted so applicants are only required to complete fields which are indicated with an asterisk (*) and color coded. Once the application is complete, close the document (you will then be prompted to save changes or not).

2. SF-424A (R&R) Budget Form:

Applicants must complete a budget for each year. Applicants must provide budgets by object class (salaries, fringe, travel, indirect, etc.). Funds may be requested as long as the item and amount are necessary to perform the proposed work and are not precluded by the cost principles or program funding restrictions (see Section IV.F). Attach your budget justification (see below) at Item K on this form.

3. Budget Justification File(s)

a. Budget detail is required at the Recipient level (see item b.) for the entire proposed project period (phases 1 and 2). In addition to the following cost category justifications, please provide the basis for your calculation for the required 50% for direct support of students (refer to Section IV. F.1). Recipients may not make individual scholarship awards greater than full tuition and mandatory nonrefundable fees. Students must also receive the equivalent of at least half of their full tuition. The stipend may not exceed $1,000 a month for nine months during the academic year for undergraduates. Students should receive the stipend during summer months if paid internships cannot be secured.

Student must receive a monthly stipend appropriate to the geographic region.

b. Budget detail is required for:

i. PERSONNEL: Costs of employee salaries and wages.

Justification: Identify the project director or principal investigator, if known. For each staff person, provide the title, time commitment to the project (in months), time commitment to the project (as a percentage or full-time equivalent), annual salary, grant salary, wage rates, etc. Do not include the costs of consultants in this category.

ii. FRINGE BENEFITS: Costs of employee fringe benefits unless treated as part of an approved indirect cost rate. Provide the calculation method for fringe rates and amounts. If a fringe rate agreement has been negotiated with a cognizant Federal agency, provide it. If no agreement exists, provide the amounts and percentages of all items that comprise the fringe rate, and the basis for allocation.

Justification: Provide the method used to calculate the proposed rate amount. If a fringe benefit has been negotiated with, or approved by, a Federal government cognizant agency, provide a copy of the agreement. If no rate agreement exists, provide a breakdown of the amounts and percentages that comprise fringe benefit costs such as health insurance, FICA, retirement insurance, taxes, etc. Identify the base for allocating these fringe benefit expenses.

iii. TRAVEL: Travel is limited to program personnel and students receiving support under this project. Provide the costs of project-related travel. Travel costs shall not include costs of subcontractor travel.

Principal Investigators will be expected to budget for and participate in the following meetings:

• An annual meeting of all participants in the DHS Summit, or an equivalent all PI meeting.

• Meetings with COE research collaborators, laboratory personnel and other Homeland

Security agency representatives who may be helpful in to developing student internships, etc.

Students must make one trip to Washington, DC, during their tenure. The first will be to attend a DHS orientation conference. Travel to other conferences is allowed.

Justification: For each proposed trip, provide the purpose, number of travelers, travel origin and destination, number of days, and a breakdown of costs for airfare, lodging, meals, car rental, and incidentals. The basis for the airfare, lodging, meals, car rental, and incidentals must be provided, such as past trips, current quotations, Federal Travel Regulations, etc.

Travel required in the performance of the duties approved in the award must comply with the applicable Office of Management & Budget (OMB) Cost Principles Circular.

Foreign travel using funds obtained under this award is generally not permitted, but may be allowed under special circumstances. Prior approval is required. Foreign travel must be approved by DHS in advance and in writing.

iv. EQUIPMENT: If equipment or instrumentation is necessary to complete the proposed research, it must be budgeted in the first 24 month period. Any article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost which equals or exceeds the capitalization level established by the organization financial statement purposes. (Note: acquisition cost means the net invoice unit price of an item of equipment, including the cost of any modifications, attachments, accessories, or auxiliary apparatus necessary to make it usable for the purpose for which it is acquired. Ancillary charges, such as taxes, duty, protective intransit insurance, freight, and installation shall be included in or excluded from acquisition cost in accordance with the organization's regular written accounting practices.)

Justification: For each type of equipment requested, provide a description of the equipment, the cost per unit, the number of units, the total cost, and a plan for use on the project, as well as use or disposal of the equipment after the project ends. An applicant organization that uses its own definition for equipment should provide a copy of its policy or section of its policy, which includes the equipment definition.

Furthermore, provide a rationale for each item of equipment/instrumentation requested in the budget. Describe how each item will contribute to achieving the goals of the proposal and enhancing the educational and/or research capabilities of the institution. Describe how the proposed equipment/ instrumentation will interface with existing facilities or upgrade other equipment currently available. As applicable, also indicate (1) any special circumstances regarding the installation of the equipment (For example, will installation require plumbing or electrical upgrades? If so, this should be budgeted); (2) the estimated useful life of the equipment and the plan to service and maintain it, including source(s) of funds and (3) if faculty members will require training for optimum use of the equipment (if so, this should be budgeted).

Note: All funds requested for equipment (including computers) or laboratory supplies will be subject to intense scrutiny and must be accompanied by a compelling justification stating that the expense is explicitly required for the proposed project(s) and related curriculum and cannot be used for other education and training. Equipment requests must be appropriate and reasonable.

v. SUPPLIES: Costs of all tangible personal property other than that included under the Equipment category.

Justification: Specify general categories of supplies and their costs. Show computations and provide other information that supports the amount requested.

vi. CONTRACTUAL: Costs of all contracts for services and goods except for those that belong under other categories such as equipment, supplies, construction, etc.

Justification: Demonstrate that all procurement transactions will be conducted in a manner to provide, to the maximum extent practical, open and free competition

Recipient may be required to make pre-award review and procurement documents available to DHS, including request for proposals or invitations for bids, independent cost estimates, etc.

This may include procurements expected to exceed the simplified acquisition threshold fixed at 41 USC 403(11) (currently set at $100,000) and expected to be awarded without competition or only one bid or offer is received in response to a solicitation.

All required flow down provisions in the award must be included in any subcontract or sub award.

vii. OTHER DIRECT COSTS: For any other items proposed as direct costs, provide an itemized list with costs, and state the basis for each proposed item.

viii. INDIRECT COSTS: Provide a copy of the latest rate agreement negotiated with a cognizant

Federal agency. If the applicant organization is in the process of initially developing a rate, it should immediately develop a tentative indirect cost rate proposal based on its most recently completed fiscal year. Otherwise, use the existing rate until replaced. This should be in accordance with the cognizant agency's guidelines for establishing indirect cost rates, and submit it to the cognizant agency. Applicants awaiting approval of their indirect cost proposals may also request indirect costs. When an indirect cost rate is requested, those costs included in the indirect cost pool should not also be charged as direct costs to the award. Also, if the applicant is requesting a rate that is less than what is allowed under the program, the authorized representative of the applicant organization must submit a signed acknowledgement that the applicant is accepting a lower rate than allowed.

4. Certifications/Assurances

a. Applicants must submit:

i. SF 424B – Assurances – Non-Construction Programs, and

ii. Certification Regarding Lobbying Form, Attachment C. If paragraph two of the certification applies then complete and submit the SF-LLL Disclosure of Lobbying which is provided as an optional form in the application package.

b. By signing or submitting an application under this announcement, the applicant is providing: Certification Regarding Debarment, Suspension, and Other Responsibility Matters – Primary Covered Transactions (see Attachment A);

Certification Regarding Drug-Free Workplace Requirements (see Attachment B);

and Certification that the applicant is not delinquent on any Federal debt.

5. Senior/Key Person Profile Form

Applicants must complete a profile for the Principal Investigator(s), the Program Director(s), the early-career faculty as well as other Senior Key Personnel identified for the project. The Biographical Sketch(es) for each these persons should include education activities and accomplishments and each individual’s role in the proposed project. The Biographical Sketch should also include a list of publications for each person. The listing of publications should include up to five publications most closely related to the proposed program and up to five other significant publications, whether or not they are related to the proposed program. Each Biographical Sketch may not exceed two, single-spaced pages using size twelve Times New Roman font. Attach biographical sketch(es) to the Research & Related Senior/Key Person Profile.

6. Other Project Information

a. Applicants must complete the Other Project Information form, which includes information regarding use of human subjects, use of animal subjects, and proprietary information, among other things.

b. The Project Summary/Abstract. Provide a summary description of the projects, including its undergraduate key education and training features, in a manner that will be informative to a general technical audience. The Project Summary should include: the title of the project, the name of the PI, and the lead institution.

Page Limit: The Project Summary description is limited to one single-spaced page with 12-point font and one-inch margins. This Abstract must not include any proprietary/confidential information.

Attach the summary/abstract to Item 6 on the Other Project Information form.

c. The Project Description/Narrative. The Project Description section should contain a well-argued and specific proposal for activities that will, over a period of up to six years, build enduring capabilities for years of contributions to integrated HS-STEM research and educational activities. The Project Description should be developed in consultation with the intended recipient of the early-career award and the relevant department head or equivalent organizational official.

The Project Description may not exceed 25 pages. This 25-page limit applies to items (1) through (6) noted below, which must be included in the Project Description portion of your application. The Project description/narrative should use this order and these subtitles. An application that does not include each required element listed in this section using the headers provided and/or is in excess of 25 pages will be deemed non-responsive and will not be considered.

(1)Objectives:

Proposals should clearly articulate program objectives, planned outcomes with respect to faculty development and research goals; student recruitment, retention, degree conferral, and career placement of trainees; program monitoring guidelines;

and how outcomes will be measured. Discuss the objectives of the proposed program. Describe the conceptual basis and unifying aspects of the interdisciplinary research and educational activities to be offered. Include a discussion of what is currently missing from undergraduate education and training in the HS-STEM area of interest, , what could be more effective, and how the proposed program addresses these issues.

(2)Education and Training:

Describe the curriculum or coursework to be developed, the number of bachelor’s degree students to be supported and how the new, focus, program, module, concentration, etc. is to be integrated within the existing coursework at the institution (i.e., prerequisites required, relationship of HS-STEM program to specific majors). Describe education and training mechanisms that are central to the program, and relevant individual and institutional experience. Describe strategies for developing a community of HS-STEM students. Discuss plans for providing career development opportunities including post-graduate level placements as applicable, developing professional and personal skills, encouraging work in diverse teams, integrating instruction in ethics and conducting responsible research, and fostering a global perspective. Planned student training should include research experience opportunities, fieldwork, or other opportunities. Identify potential placements and discuss how the opportunity strengthens both a student’s education and the research program. Describe the early-career faculty exchange or collaboration with details addressing the length of time, partnerships, and other details as appropriate. .

(3)Organization, Management, and Institutional Commitment:

Describe plans and procedures for the organization and management of the program.

Discuss the institutional or departmental obstacles…