TPCR NOFO Partner 7-10-2019.2pdf.pdf

DHS-19-ST-061-TPCR-Partner

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

DHS Science and Technology Directorate (S&T) Terrorism Prevention and Counterterrorism Research (TPCR) Center of

Excellence (COE) – Center Partner

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, subsection, Content and Form of Application Submission.

Table of Contents

A. Notice of Funding Opportunity (NOFO) Description

Program Overview, Objectives, and Priorities I. Program Overview II. Priorities and Expectations for a COE III. Objectives & Overarching Vision of the TPCR COE IV. Application Project Narrative V. Research and Workforce Development Themes, Topics, and Questions VI. Performance Metrics

B. Federal Award Information

Award Amounts, Important Dates, and Extensions Funding Instrument

C. Eligibility Information

Eligible Applicants Eligibility Criteria Cost Share or Match

D. Application and Submission Information

Submission Date and Other Key Dates and Times Other Key Dates Address to Request Application Package Informational Webinar Content and Form of Application Submission Optional Forms Other Submission Requirements Unique Entity Identifier and System for Award Management (SAM) Funding Restrictions Indirect (Facilities & Administrative (F&A)) Costs

E. Application Review Information

Review and Selection Process I. Scientific Quality Review (External Review) II. DHS Relevancy Review (Internal DHS SMEs)

Application Evaluation Criteria I. Research Project Evaluation Criteria II. Workforce Development Project Evaluation Criteria:

III. Supplemental Financial Integrity Review

F. Federal Award Administration Information

Notice of Award Work Plan Development Workshop Administrative and National Policy Requirements Reporting

G. DHS Awarding Agency Contact Information

H. Additional Information

Extensions Disclosure

APPENDIX A: Terms and Conditions

APPENDIX B: Acronyms

APPENDIX C: End-to-End Approach

APPENDIX D: References for Themes, Topics and Questions

APPENDIX E: Checklist for Applicants

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

NOFO Title

DHS S&T Terrorism Prevention and Counterterrorism Research (TPCR) Center of Excellence (COE) - Partner

NOFO Number

DHS-19-ST-061-TPCR

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.

Program Type

New

Program Overview, Objectives, and Priorities

I. 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 a TPCR COE. OUP is also posting a separate NOFO for eligible applicants to submit single project proposals for consideration as a partner to this COE. Please see NOFO

Number DHS-19-ST-061-TPCR-Lead or 97.061 on https://www.grants.gov/ for directions on how to submit single project proposals. 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. Principal Investigators that are already Partners under a Center Lead application may not submit the same application under this Partner NOFO.

The DHS COEs are university consortia that work closely with DHS Components and their partners 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.

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.

II. Priorities and Expectations for a COE

It is critical for university applicants to understand the roles and requirements of being a COE lead institution before submitting an application, 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 have an understanding of 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 are 10-year partners 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, and DHS expects a lot more from them. 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 provide support for research for general public purposes, yet 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), U.S. Customs and Border Protection (CBP), Federal Emergency Management Agency (FEMA), Immigration and Customs Enforcement (ICE), U.S. Coast Guard (USCG), and the U.S. Secret Service (USSS)] 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.

III. Objectives & Overarching Vision of the TPCR COE

Protecting the American public from terrorism remains the highest mission priority of DHS. To fulfill this mission, DHS must develop and employ approaches to detect, deter, prevent and counter terrorism. DHS must also develop and hone key skillsets such as intelligence collection, analysis, and prevention programs. The TPCR COE will conduct a range of activities including basic and applied research, and education and training initiatives to support and enhance DHS analytic efforts. DHS seeks research that explores the nature of countering terrorism operations from multiple perspectives including the adversaries’ (threat) and that of Homeland security stakeholders (federal, SLTT government and private sector).

Terrorism, both at home and abroad, has great potential to degrade the security, infrastructure, and stability of the U.S. The diverse nature of the terrorist threat continues to evolve with rapid geopolitical, demographic and technological changes.

The proliferation of social media and easy access to encrypted technology has created unforeseen opportunities for violent extremist groups and sympathizers that transcend national borders. Former DHS Secretary Kirstjen Nielsen has said, “changes in technology have made it easier for adversaries to plot attacks in general, to inspire and radicalize new followers, and to recruit beyond borders. The problem is compounded by the use of simple, ‘do-it-yourself’ terror tactics.”1 The widespread use of the internet and accessibility of information has allowed for the transfer of both terrorist resources as well as tactics, from cyber-attacks to simple improvised explosive devices (IEDs).

The terrorist threat globally is becoming more decentralized, and the threat of smaller-scale attacks by Homegrown Violent Extremists (HVEs) are on the rise.

According to the U.S. House Homeland Security Committee, “The United States faces its highest Islamist terror threat environment since 9/11, and much of the threat now stems from individuals who have been radicalized at home.”2 We face varying threats of domestic-based “lone offenders” who are inspired by extremist ideologies, both domestic and internationally rooted, to radicalize to violence and commit acts of terrorism against Americans and the Nation. These threats come in multiple forms and, because of the nature of independent actors, may be hardest to detect. We must remain vigilant in detecting and countering these threats. The Nation must respond with innovative approaches to prevent the radicalization to violence and recruitment to terrorism, specifically here in the Homeland.

DHS seeks to counter terrorism by combining prevention, disengagement, and disruption efforts to break the cycle of recruitment, radicalization, and violence.

These efforts must include partnerships across federal, SLTT governments, local community organizations, and the private sector. DHS must also anticipate emerging terrorist tactics and provide the HSE workforce with the skills and latest technology to identify vulnerabilities and trends.

The TPCR COE should describe how to integrate technologies and concepts into DHS operations to avoid, prevent, or stop a threatened or actual act of terrorism.

Potential approaches include the utilization of innovative technologies (e.g., a new

1 United States Congress Senate. Committee on the Judiciary. Hearing on Oversight of the United States DHS.

January 16, 2018. 115th Cong. 2nd sess. Washington. https://www.dhs.gov/news/2018/01/16/written-testimony-dhs-secretary-kirstjen-nielsen-senate-committee-judiciary-hearing. Accessed on July 24, 2018.

2 “The ISIS Terror Threat in America,” Terror Threat Snapshot December 2016, Homeland Security Committee, https://www.hsdl.org/?view&did=797201.

approach to leverage available technology to identify patterns and indicators of terrorist activity among disparate types of data), optimized operational procedures, and a skilled workforce trained in the latest methods to identify and respond to terrorist threats.

Addressing Homeland Security Priorities

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

The proposed center will support part of DHS’s primary mission defined in Section 101 of the Homeland Security Act of 2002 as “to prevent terrorist attacks within the United States; to reduce the vulnerability of the United States to terrorism.” Key parts of legislation and directives since 2002 develop an increased emphasis on terrorism prevention and information sharing as well as enhanced engagement across all HSE partners.

Congress requires by law DHS review and report on the long term strategy and priorities of the Nation for homeland security every four years in its “quadrennial homeland security review.” The 2014 Quadrennial Homeland Security Review (QHSR), reaffirms the enduring missions of homeland security as:

Prevent Terrorism and Enhance Security: Protecting the American people from terrorist threats is our founding principle and our highest priority.

Secure and Manage Our Borders: DHS secures the nation's air, land, and sea borders to prevent illegal activity while facilitating lawful travel and trade.

Enforce and Administer Our Immigration Laws: The Department is focused on smart and effective enforcement of U.S. immigration laws while streamlining and facilitating the legal immigration process.

Safeguard and Secure Cyberspace: Department works with industry and state, local, tribal and territorial governments to secure critical infrastructure and information systems. Analyzes and reduces threats and distributes warnings.

Strengthen National Preparedness and Resilience: DHS provides the coordinated, comprehensive federal response in the event of a terrorist attack, natural disaster or other large-scale emergency while working with federal, state, local, and private sector partners to ensure a swift and effective recovery effort.3

The TPCR COE will directly align with the first homeland security mission, “Prevent Terrorism and Enhance Security,” and will impact four of the five homeland security missions. The 2014 QHSR emphasizes securing the nation against the evolving terrorism of threat. This priority includes a strategic shift to focus on countering violent

3 DHS. The 2014 QHSR. June 18, 2014. https://www.dhs.gov/sites/default/files/publications/2014-qhsr-final-508.pdf extremism (CVE), an increase in deterrence measures, and enhancing data integration and analysis.

In response to the 9/11 Commission, Congress outlined several actions to strengthen terrorism prevention. The Implementing Recommendations of the 9/11 Commission Act of 2007created the DHS Office of Intelligence and Analysis (I&A) in its current state and attempts to enhance information sharing across the federal government and with SLTT governments. The focus on strengthening efforts at the state and local level contributed to the development of fusion centers and establishment of grants to assist SLTT governments in terrorism prevention efforts.4

In 2011, the Federal Government enacted Presidential Policy Directive Eight (PPD-8):

National Preparedness. Leveraging the importance of protecting critical infrastructure from terrorism, this directive was aimed at strengthening the security and resilience of the United States through systematic preparation for the threats that pose the greatest risk to the security of the Nation, including acts of terrorism, cyber-attacks, pandemics, and catastrophic natural disasters.5

DHS S&T supports components in their efforts to identify threats, manage risks, and prevent terrorism on multiple levels, including identifying the appropriate resources that can contribute to the mission. In addition to law, DHS’s mission is outlined by constantly evolving strategies across DHS and the federal government. Universities provide a unique perspective to terrorism prevention that can buttress the federal government’s efforts.

In 2018, the White House issued the National Strategy for Counterterrorism of the United States of America that “prioritizes a broader range of non-military capabilities, such as our ability to prevent and intervene in terrorist recruitment, minimize the appeal of terrorist propaganda online, and build on societal resilience to terrorism.”6 Previous national strategies issued by the White House related to terrorism include the National Strategy for Counterterrorism issued in June 20117 and the National Strategy for Combating Terrorism issued in September 20068. Both documents include a “whole-of-government” approach to counterterrorism and stress the importance of information sharing. Federal spending on CVE programs and policy, especially engaging at the local level, has become a focal point in the U.S. counterterrorism strategy.

4 Implementing Recommendations of the 9/11 Commission Act of 2007.

https://www.congress.gov/110/plaws/publ53/PLAW-110publ53.pdf.

5 Presidential Policy Directive 8, National Preparedness (2011). https://www.dhs.gov/presidential-policy-directive- 8-national-preparedness.

6 The White House, National Strategy for Counterterrorism of the United States of America, October 2018, https://www.whitehouse.gov/wp-content/uploads/2018/10/NSCT.pdf.

7 The White House, National Strategy for Counterterrorism, June 2011.

https://obamawhitehouse.archives.gov/sites/default/files/counterterrorism_strategy.pdf 8 The White House. National Strategy for Combating Terrorism. https://georgewbush-whitehouse.archives.gov/nsc/nsct/2006/

Supporting the HSE

DHS has a central role in the Nation’s security. An integrated DHS Intelligence Enterprise (IE) provides a decisive information advantage to the National leadership, DHS components, and our federal, SLTT government, private sector, and international stakeholders. CBP, TSA, I&A, U.S. Citizenship and Immigration Services (USCIS), FEMA, Cybersecurity and Infrastructure Security Agency (CISA) and ICE all have Component Intelligence Programs (CIP) that together form the DHS IE.9 I&A provides DHS IE with timely intelligence and analysis, delivers intelligence from our SLTT partners to the DHS IE, and provides intelligence to DHS partners across the federal, SLTT governments, public and private sectors, as well as abroad.

DHS seeks R&D to equip DHS IE with intelligence capabilities and information it needs to detect threats and prevent terrorism. These organizations continue to adjust to the ever-changing nature of threats to the Homeland, including but not limited to adversarial communications and social media, threats to cyber infrastructure and identity, increased competencies among terrorists with the evolution of technology, as well as the use of low-tech tactics. DHS also focuses on a strategy of prevention, pursuing efforts to prevent radicalization and to identify vulnerabilities within DHS as well as information and communication approaches needed among DHS, federal government, SLTT and international bodies, and public and private sectors.

DHS and the Nation as a whole depend more and more on SLTT to counter terrorism. For terrorism strategy to work, the intelligence community (IC) must have valuable intelligence products, meaningful community engagement, and effective information sharing. Much of this activity lies in the fusion centers. The TPCR COE will research and develop technologies, protocols and capabilities to support DHS operational components as well as DHS’s SLTT and private sector partners. DHS I&A places field personnel throughout the National Network of Fusion Centers. This network of more than 70 centers houses members from across federal agencies and SLTT governments.10 I&A engages at the center level to gather intelligence as well as to support operations locally to assess, prevent, and/or respond to terrorism. The collaboration across fusion centers will support the DHS IE, IC, SLTT government, and the HSE at large to improve its operational capabilities and contribute to the Nation’s layered defense.

DHS’s Approach to COEs

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:

9 DHS Directive 264-01, DHS IE, June 28, 2013.

10 https://www.dhs.gov/state-and-major-urban-area-fusion-centers

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

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

3. 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

4. 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.

5. 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.

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

Research-based solutions generated by this Center must be innovative and well positioned to be transitioned into use by DHS customers. TPCR’s research will be based on the HSE needs expressed by HSE practitioners in this NOFO. 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. DHS-sponsored researchers will produce new capabilities, and work with partners and stakeholders at all levels to test these capabilities in operational settings, and then take steps to make these solutions available and useful to agencies at all levels.

DHS funds research so that DHS can use the technology or knowledge to accomplish its mission. It is critical for researchers to understand how the Federal government does business. 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. This emphasizes the intellectual property, sustainability of technologies, security, and other legal requirements that Federal agencies must follow.

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.

In order to avoid duplication of existing work, 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.

Technology Transfer and Transition

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.11 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.

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

Research Development

Design & Launch

Testing & Validation

Proof of Concept

Planning & Concept

Refinement

Exploration & Customer Discovery

Business Case ‐ perform economic analysis, benchmark competitive products and services, and assess regulatory or cost considerations that may affect market acceptance

Figure 1: Stage-Gate Process

The Center’s strategy, and each project that is awarded as part of the Center, 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, each performing institution under the COE should be able to characterize the proposed research as a function of its technical maturity and market readiness at any given time.

Center Partner Applicants are required to submit a detailed proposal addressing the overall purpose of the project, an assessment of the state of the art, a description of the current operational environment, the scientific hypothesis and methodology for the study, data acquisition methods, advanced test and evaluation future needs, intellectual property management approach, and customer involvement in the project.

Not all projects will result in commercializable outputs; 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. Efforts to define the market and identify and assess market drivers that will affect the transfer or adoption of the project outputs should be initiated.

Example stages of development are:

a) Proof of Concept: the stage of development where key technical challenges are initially addressed. Activities may include verifying product requirements and implementing and testing (typically in controlled contexts) approaches to those capability requirements. A technology transfer plan is typically developed that outlines efforts to understand commercialization needs.

b) Testing and Validation: the stage of development where a fully-integrated and working prototype is tested. Activities may include iteratively refining the prototype, testing in operational environments, and verifying that all technical requirements are met. A technology transfer plan is typically ongoing in collaboration with the transfer partner(s). Stage results depict that a product embodiment is realizable.

c) Final Design and Launch: the stage of development where the product or service is finalized and made available for customer utilization. This likely requires the development of the corresponding business services that customers will use to buy, license, or otherwise acquire the product or service.

The DHS COEs must form teams of qualified professionals with the complementary skills necessary to transition research results from the research laboratory into the hands of homeland security customers. This includes understanding customer relations, conducting market assessments, managing intellectual property rights, considering commercialization, and assessing life cycle costs and needs (operations and maintenance and training).

The Center Lead Applicants are encouraged to develop proposals that include administrative support for facilitating transition, such as a staff member dedicated to assisting project leads with developing transition plans and the partnerships needed for successful transition, including with customers or the private sector. COEs are encouraged to leverage capabilities and resources offered through their university technology transfer offices in order to protect intellectual property by filing invention disclosures, patents, and licensing agreements. In addition, COEs are expected to participate in workshops, technology demonstrations, conferences, and other events hosted by OUP that may facilitate research and technology transition to customers.

COEs also should have specific objectives for transitioning their education efforts, which should include but are not limited to (1) capacity-building in disciplines relevant to homeland security, including at MSIs, (2) development and training of homeland security professionals for the current and future workforce through executive education programs, and (3) engagement of COE-supported students in research projects in applied or operational settings.

Historically, COEs that have effectively engaged stakeholders early in their activities have had great success. Examples of such engagement include:

Inviting customers, such as DHS Component representatives or first responders, to work with principal investigators as they develop and implement their research and transition plans

Conducting projects in coordination with DHS S&T technical divisions Inviting customers/stakeholders to participate in program/project reviews Holding workshops that bring researchers and homeland security practitioners together Partnering with private industry or business to co-develop technologies Embedding researchers or students in an operational environment Hosting an operational expert to participate in COE activities

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 sensitive 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.

IV. Application Project Narrative

This section outlines requirements for the Project Narrative portion of the application package.

S&T expects any Partner institution awarded under this NOFO to become a fully integrated component of the COE. Partner applicants must select and clearly identify if their proposed project aligns with the Research Program or the Workforce Development Program. Applicants may only propose 1 project per proposal; however they may submit more than 1 proposal.

Applicants may propose projects lasting up to 2 years, with total budgets up to $500,000. However, Center projects are funded in 1-year increments. Subsequent to the first year, Center and project funding is dependent on successful performance in prior years, the relevance of project outcomes to current homeland security research priorities, and availability of funds. Multi-year project proposals should provide a summary of their long-term vision, timeframe, research and education outcomes, technology transfer or transition pathway, and potential real-world applications.

Applicants must also summarize a results communication and transition plan that outlines how the Partner will implement its project(s) and how they will be transitioned to user groups. Elements of the plan may include: project milestones;

career development programs for research staff and students; identification of potential user groups; and a description of how the research results will be transitioned to DHS and other federal and state agencies.

Note: While not all Center projects will result in a final product that transitions to actual use by an end user, even earlier phase or exploratory research should still include a plan for disseminating results to end users/stakeholders in a form that enables end users/stakeholders to understand the potential applicability of the work and leverage outcomes to the maximum extent possible.

The following two sections outline requirements for 1) a Research project or 2) and Workforce and Professional Development project. Please select and clearly identify one area to propose a project.

1. Research Project (5 pages)

Applicants should identify multidisciplinary, comprehensive approaches to address one of the research themes and topics outlined below in Section V “Research and Workforce Development Themes, Topics, and Questions”.

Applicants should explain why they selected these topics or questions, and describe a proposed method, metrics and outcomes to answer the relevant questions.

Applicants should consider the maturity and state-of-the-art of the respective theories, technologies, and applications of the proposed areas of study when formulating their research portfolios.

Applicants must include the following elements for each project:

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 Data access plans should data be needed to execute the project Technical technology performance metrics being tested (e.g. specificity, sensitivity, cost, etc.)

A year-by-year description of key milestones for the project for the first two years Expected outputs and outcomes and how those outputs would be used 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 effect.

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

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

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

Relevant Citations

2. Workforce and Professional Development Project (5 pages)

The TPCR workforce and professional development 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 CBP, I&A, TSA, FEMA, 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 project to align with “Research Theme Areas.” 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.

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 “Technology Transfer and Transition” pages 12 - 16 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-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)

V. Research and Workforce Development Themes, Topics, and Questions

DHS expects this Center to focus on efforts to prevent terror attacks before they begin, including but not limited to radicalization and mobilization to violence. The National Prevention Framework, 2nd Edition issued by DHS in 2016 defines prevention’s role in the National Preparedness System as, “The capabilities necessary to avoid, prevent, or stop a threatened or actual act of terrorism.”12 These capabilities require both an understanding of counterterrorism operations as well as terrorism prevention strategies. DHS’s National Prevention Framework applies to all levels of government, the private and nonprofit sectors, as well as individuals, and although the COE will engage directly with DHS components, projects may involve stakeholders at any of these levels as all play a role in preventing terrorism.

12 DHS. National Prevention Framework, 2nd Ed. June 2016. https://www.fema.gov/media-library-data/1466017209279-83b72d5959787995794c0874095500b1/National_Prevention_Framework2nd.pdf

Figure 1: DHS Missions

TPCR shall aim to inculcate analytic rigor throughout the Department to support decision-making (see Figure 2, Prevent Terrorism and Enhance Security, Secure and Manage our Borders, and Safeguard and Secure Cyberspace). DHS also expects that the research outcomes will result in analytic methods, and changes in operations that are derived from statistically significant empirical evidence.

DHS seeks Center projects that include four broad themes within its research portfolio. The matrix below lists the theme areas and associated topics. DHS seeks a portfolio of projects addressing these theme/topic areas. The Center’s proposal may include proposed projects focusing on one or more topic areas. These projects are deep dive exploratory research in an academic discipline and shall strive for breakthrough technological advances. The Center proposal shall also include projects that exhibit a combination of themes and topics. DHS encourages this multifaceted approach with a portfolio of projects for TPCR given the complex environment and range of issues included in the DHS mission set.

TPCR COE Themes & Topics Themes Topics

(1) Nature of

Counterterrorism Operations

1A. Terrorist Tactics, Techniques, and Procedures

1B. Cyber and Tech Ops

1C. Data Solutions (Including Big Data)

(2) Nationwide Suspicious Activity Reporting Initiative

3A. General Research to Practice

(3) Terrorism Prevention

3B. Evaluations of Existing Programs

(4) Workforce Development

Table 1: TPCR COE Themes & Topics

After the Center identifies the DHS gap or challenge, the team should develop initial…