![](media/image1.jpeg){width="2.685416666666667in"
height="0.7548611111111111in"}

**Science and Technology Directorate**

**Centers of Excellence Program -University Programs**

**Center of Excellence for the Study of Natural Disasters, Coastal
Infrastructure and Emergency Management**

**Funding Opportunity**

**DHS-07-ST-061-004**

**OVERVIEW INFORMATION**

**General Information**

**Applicable Catalog of Federal Domestic Assistance (CFDA) Number:**

**97.061 -- Centers for Homeland Security**

**Program Title:**

**Center of Excellence for the Study of Natural Disasters, Coastal
Infrastructure and Emergency Management**

**Synopsis of Program:**

The Department of Homeland Security (DHS) Science and Technology (S&T)
Directorate is soliciting applications for the establishment of a Center
of Excellence (COE) in Natural Disasters, Coastal Infrastructure and
Emergency Management. This COE will conduct research to enhance the
Nation's technical capabilities to prepare for, prevent, mitigate,
respond to, and recover from natural disasters in coastal areas. The COE
will also develop relevant educational curricula for both matriculated
students and mid-career professionals. The COE will collaborate with the
DHS/S&T Directorate's Infrastructure/Geophysical Division, which manages
a full-spectrum research and development (R&D) program from fundamental
research to advanced technologies. This COE will provide enabling basic
research that will advance the technical tools and information that
S&T's customers will need in the future. This COE will also participate
in S&T's University Network, a consortium of COEs that share resources
and data and collaborate on research projects in order to provide
cost-effective results to support DHS' mission.

**Program Officer:**

**Thomas Kiess, Ph.D., 202-254-6015** <Thomas.Kiess@HQ.DHS.GOV>

**Eligibility Information**

Accredited public and private institutions of higher education in the
United States.

**Award Information**

-   **Anticipated Type of Award:** Grant or Cooperative Agreement

-   **Estimated Number of Awards:** 1

-   **Anticipated Funding Amount:** Up to \$18 million (up to \$3
    million annually for a term of six years, subject to availability of
    funds)

-   **Anticipated Award Date**: November 1, 2007

**Due Dates**

-   **White Paper Deadline (encouraged):** February 28, 2007

-   **Full Proposal Deadline:** April 30, 2007

**FULL PROGRAM DESCRIPTION**

**TABLE OF CONTENTS**

I.  Funding Opportunity Description

II. Award Information

III. Eligibility Information

IV. Application and Submission Information

    A.  Address to Request Application Package

    B.  Content and Form of Application

    C.  Submission Dates and Times

    D.  Intergovernmental Review

    E.  Funding Restrictions

V.  Application Review Information

VI. Award Administration Information

    A.  Notice of Award

    B.  Administrative and National Policy Requirements

    C.  Reporting Requirements

    D.  Government Participation

VII. Department of Homeland Security Contacts

VIII. Other Information

# 

# I. FUNDING OPPORTUNITY DESCRIPTION

#  {#section-1 .Style-Heading-1-+-Not-Italic}

#  {#section-2 .Style-Heading-1-+-Not-Italic}

The Department of Homeland Security (DHS) Science and Technology (S&T)
Directorate is soliciting applications for the establishment of a Center
of Excellence (COE) conduct research on DHS mission-related aspects of
Natural Disasters, Coastal Infrastructure and Emergency Management. This
COE's research will enhance the Nation's technical capabilities to
prepare for, prevent, mitigate, respond to, and recover from
catastrophic natural events challenging people, coastal infrastructure
and critical supply chains. The COE will also develop relevant
educational curricula for both matriculated students and career
professionals in these topical areas. The COE will collaborate with
DHS/S&T Directorate's Infrastructure and Geophysical Division, which
manages a full spectrum research and development (R&D) program from
fundamental research to applied technologies.

DHS expects this COE to become a fully integrated component of a network
of DHS Centers of Excellence and to take advantage of the network's
resources. These university-based Centers are established in accordance
with the Homeland Security Act of 2002 (Public Law 107-296), as amended
by the FY2003 Consolidated Appropriations Resolution (P.L. 108-7). S&T's
University Network is a consortium of COEs that share resources and data
and collaborate on research projects in order to provide cost-effective
results to support DHS's mission. Subject to the availability of funds,
this funding announcement may result in a grant or cooperative agreement
(CA) between DHS and a lead accredited academic institution of higher
learning. The lead academic institution may enter into agreements to
partner, or otherwise work with, other academic institutions, one or
more Federal entities, Federally Funded Research and Development
Center(s) (FFRDCs), or other federal facilities, as well as private
sector partners and non-profit research institutions. Federal agencies
or FFRDCs also may provide necessary end-user and technology transition
perspectives to ensure relevance to end-user missions. For this COE, a
lead institution applicant will propose partnerships to develop and
enhance technical expertise relevant to planning and preparation for,
and protection and recovery from catastrophic natural disasters,
particularly in the Nation's coastal areas.

[Why is DHS interested in this area of research?]{.underline}

[Research:]{.underline} DHS/S&T is responsible for developing scientific
research and technology development programs to protect the Nation from
terrorist threats and the consequences of serious accidents and natural
disasters. The Nation frequently faces threats from catastrophic natural
events in coastal areas, such as hurricanes, floods, catastrophic ice
storms and others. DHS desires basic university-based multidisciplinary
research to provide a foundation for new approaches to improving the
effectiveness of coastal region hazard planning, communications
interoperability, preparedness, response and resilience. In particular,
the Federal Emergency Management Agency and DHS' Preparedness
Directorate have responsibilities to help coastal communities reduce the
damage from natural disasters, prepare for catastrophic events, and
enhance their ability to recover.

[Education]{.underline}: S&T is also responsible for supporting
qualified undergraduate and graduate students in homeland
security-related fields who will use their education and training to
help secure the Nation. This COE will be responsible for establishing
one or more courses of study and training programs to educate both
matriculated students and career professionals in areas related to
natural disasters, coastal infrastructure and emergency management. For
example, this COE could support homeland security related advanced
degree programs at institutions attended by federal, state, or local
government employees by providing electives in their area or field of
specialization. Additionally, this COE may work with a range of homeland
security related interests in appropriate jurisdictions to identify
training and education requirements related to the COE's area of
specialization for critical homeland security-related occupations. This
COE may also sponsor learning opportunities for career employees of
homeland security-related agencies at all levels of government for
internships or courses in the COE's area of specialization.

[What kinds of research and educational programs does DHS
want?]{.underline}

DHS/S&T is interested in supporting the establishment of a new DHS
Center of Excellence (COE) to conduct research leading to profound and
far-reaching improvements in the Nation's preparedness and ability to
respond to, and recover from catastrophic natural events in coastal
areas. DHS anticipates that this COE's discoveries will ultimately save
American lives, property and economic activities, both regionally and
nationally. DHS expects the research to be conducted primarily at
universities that already possess a combination of facilities,
resources, and intellectual capabilities sufficient to significantly
advance coastal hazards-related research. This COE will
[not]{.underline} focus on developing technologies that provide marginal
short-term improvements to existing technologies.

This solicitation is intended to result in a consortium of researchers
led by an accredited U.S. institution of higher education. DHS
encourages partnerships among universities, research institutions,
federal, state, local or tribal government agencies and private sector
actors with experience, facilities or expertise that can contribute to
far-reaching solutions to prevent damage to people, structures or the
economy from catastrophic events, particularly in coastal areas.

[What is the Focus of the Proposed COE?]{.underline}

This COE will conduct basic and transformational research in areas
related to Coastal region issues, including but not limited to the
following topics:

-   Natural hazards of the coastal region (e.g., flooding from
    hurricanes or storm surges);

-   Innovative, comprehensive, regional flood water management, to
    include technical approaches/options to preventing, mitigating, or
    recovering from flooding incidents, and better understanding of
    land-water interactions;

-   Approaches to securing public-sector coastal infrastructure and
    meeting other public-sector needs in crisis incidents; and

-   Coastal region planning, governance, resilience, and unified
    comprehensive risk-based decision support tools, particularly for
    natural disasters warranting emergency measures. This includes
    social, political, economic, and human factor studies on the public
    sector workforce and on new networks, institutions, or associations
    that might be devised as test beds to be effective in the coastal
    region, tailored to the region's socio-economic, governance, and
    geographic features.

[What Specific Technical Research Areas are of Interest to
DHS?]{.underline}

DHS is interested in research in coastal region-related issues
including, but not limited to, the following areas:

1\. [Natural Hazard Resilience]{.underline}:

Advanced understanding of a range of potential materials and methods to
plan, prepare, manage, respond, and recover from a range of natural
hazards, especially storm surges and waves from flooding events, under a
variety of conditions. To support this area of research, the ability to
appropriate insights and late-breaking developments worldwide from other
sources is critical.

2\. [Innovative and Comprehensive Regional Land and Water Resource
Management]{.underline}:

DHS is interested in intellectual leadership to grapple with issues
associated with water and coastal land management, including planning to
deal with hurricanes, episodic flooding and trends caused by activities
in coastal regions that stress or otherwise affect water and land use.
Of particular interest are research topics with outcomes that can garner
scientific consensus for their validity and applicability to coastal
region conditions. To complement the science, another part of this
research program could be technology in the form of technical tools
tailored to coastal Region issues. For example, for low-lying floodplain
regions, what technical tools are effective to deal with long-term water
and land migration patterns, rising rivers and storm surges? In view are
concepts and innovative approaches to be tested and piloted on small
scales, perhaps in student competitions, for coastal zone management,
ocean barriers and flood wall technologies, improvements to levees and
building construction that offer enhanced performance, methods for rapid
growth or restoration of coastal wetland marshes, methods to protect
shoreline regions from rising water levels, etc.

3\. [Public Sector Preparedness and Coastal infrastructure]{.underline}:

DHS is interested in research that will help assess the current and
potential future interactions between public-sector needs (e.g.,
protection of physical infrastructure, indigent population transport)
and public-sector workforces. This research will describe means to
institute effective connections that enable multi-layer coherence to
emergency response units that may need to be mustered in short
timeframes to deal with urgent, life safety issues. This research will
help ensure the effective and efficient integration between the
institutional frameworks that can be devised (involving the traditional
responder community, the public sector workforce, the general public,
private organizations, plans that are broadly accessible, and technology
aids.

4\. [Regional planning, governance, and resilience]{.underline}.

What regional planning and governance models, tailored to specific
coastal regions' socio-economic and political conditions, can be used as
a test bed to offer multi-layer personnel support in crises? What models
can enable multiple government entities such as Federal agencies, and
multiple state and local jurisdictions, and private-sector institutions
(e.g., the insurance industry, building contractors, professional
associations) to share resources and work together effectively to
respond to a significant regional incident? What policies and incentives
will promote awareness of risks associated with housing, business and
industrial development in flood-prone riverine and coastal areas, and
consideration of options to mitigate those risks. e.g., by city, state
and county elected officials, levee boards, regional businesses and
industries, homeowners, other property owners, employers, facility
managers, and other relevant demographic groups? For example, are there
interactions among regional stakeholder and participant institutions,
informed by technical information and/or tools that promote risk
awareness or identify opportunities for risk reduction?

[References]{.underline}:

(RAND 2006) *From Flood Control to Integrated Water Resource Management:
Lessons for the Gulf Coast from Flooding in Other Places in the Last
Sixty Years*, by Kahan et al, RAND Gulf States Policy Institute, 2006.

(White House, 2006) *The Federal Response to Hurricane Katrina: Lessons
Learned*, The White House, February 2006

# II. AWARD INFORMATION {#ii.-award-information .Style-Heading-1-+-Not-Italic}

#  {#section-3 .Style-Heading-1-+-Not-Italic}

A.  **[Type of Award:]{.underline}** Grant or Cooperative Agreement

B.  **[Authority]{.underline}:** 6 U.S.C. 188(b)(2)

C.  **[Estimated Number of Awards]{.underline}:** 1 award

D.  **[Anticipated Period of Performance]{.underline}:** Subject to the
    availability of funds and the evolution of DHS's research
    priorities, performance during each year of a six-year project
    period which commences on the date of award. DHS anticipates a
    follow-on six-year project for this COE which shall be subject to
    competition and availability of funds. Within sixty days prior to
    the expiration of each budget year in the initial six year project
    period , the recipient must submit an official notice requesting DHS
    support for the next budget year of the initial term. DHS may award
    funds for the next budget year of the initial term, but does not
    guarantee any such award. Additionally, DHS's agreement to extend
    the COE for another budget year in the initial project period may or
    may not include additional funding. DHS will base extension
    approvals on the availability of funds, acceptable performance, and
    the reason(s) for the requested extension

E.  **[Estimated Total Amount of Funding Available]{.underline}**: DHS
    estimates that up to \$3 million will be available to fund
    approximately twelve-months of the program after the date of award.
    However, awards will be made based on proposal evaluation, funds
    availability, and other programmatic considerations and, therefore,
    this estimation should only be used for budgeting purposes only. Any
    funds not obligated by the grant or cooperative agreement will be
    subject to the availability of funds.

#  {#section-4 .Style-Heading-1-+-Not-Italic}

#  {#section-5 .Style-Heading-1-+-Not-Italic}

# III. ELIGIBILITY INFORMATION {#iii.-eligibility-information .Style-Heading-1-+-Not-Italic}

#  {#section-6 .Style-Heading-1-+-Not-Italic}

#  {#section-7 .Style-Heading-1-+-Not-Italic}

A.  **[Eligible Applicants]{.underline}:**

> **Accredited public institutions of higher education and accredited
> private institutions of higher education located in the United
> States.**
>
> Proposals must be submitted by a U.S. institution of higher education
> that, along with its chosen partners, has the ability and capacity to
> conduct the required research. A single academic institution must be
> identified as the official lead for proposal submission and subsequent
> negotiations.
>
> A successful proposal will include a demonstrated partnership between
> the lead institution and higher educational institutions that include
> historically black colleges and universities (HBCUs) and/or other MSIs
> and institutions in states that are part of the Experimental Program
> to Stimulate Competitive Research (EPSCoR). Additional institutions,
> or partners, associated with the lead institution will be funded
> through subawards from the lead institution.
>
> While cost sharing is not an explicit requirement, the ability to
> leverage DHS funds to enhance the research and educational agenda will
> be considered in the review process.
>
> Universities and educational institutions are subject to OMB Circular
> A-21, relocated to 2 CFR Part 220. Profit-making firms may receive
> assistance from DHS under this assistance agreement but only as
> minority partners to the lead institution.
>
> Eligible nonprofit organizations include any organizations that meet
> the definition of nonprofit in OMB Circular A-122, relocated to 2 CFR
> Part 230. However, nonprofit organizations described in Section
> 501(c)(4) of the Internal Revenue Code that engage in lobbying
> activities as defined in Section 3 of the Lobbying Disclosure Act of
> 1995 are not eligible to apply.
>
> National laboratories funded by Federal agencies may not apply. FFRDC
> employees may cooperate or collaborate with eligible applicants within
> the limits imposed by applicable legislation, regulations, and DHS
> policies. They may participate in planning, conducting, and analyzing
> the research directed by the principal investigator, but may not
> direct projects on behalf of the applicant organization or principal
> investigator. The principal investigator\'s institution, organization,
> or governance may provide funds through its assistance agreement with
> DHS to a FFRDC for research personnel, supplies, equipment, and other
> expenses directly related to the research. However, salaries for
> permanent FFRDC employees may not be provided through this agreement.
>
> Federal agencies may not apply. Federal employees are not eligible to
> serve in a principal leadership role on a grant or cooperative
> agreement, and may not receive salaries or in other ways augment their
> agency\'s appropriations through awards made by this program.
> Nonetheless, Federal employees may substantively interact with
> awardees in the form of "cooperation." **Cooperation** involves the
> sharing or comparing of samples, equipment, facilities, data, models
> or other support during the conduct of the research in which the
> interaction is **substantial** and requires the award of a cooperative
> agreement rather than a grant. Substantial involvement occurs when the
> collaboration or cooperation of a Federal employee or facility is
> **necessary** to achieving the overall goals of the research supported
> by a cooperative agreement.
>
> The principal investigator's institution may enter into an agreement
> with a Federal agency to purchase or utilize unique supplies or
> services unavailable in the private sector. Examples are purchase of
> satellite data, census data tapes, chemical reference standards,
> analyses, or use of instrumentation or other facilities not available
> elsewhere. A written justification for Federal involvement must be
> included in the application, along with an assurance from the Federal
> agency involved that commits it to supply the specified service.

B.  **[Cost Sharing:]{.underline}** There will be no cost share or
    matching requirements under this announcement.

### **[Restrictions]{.underline}**. Lead institutions for Centers of Excellence are limited to U.S. institutions of higher education, in accordance with 6 U.S.C. 188(b)(2)(A) which specifies: "The Secretary, acting through the Under Secretary for Science and Technology, shall designate a university-based center or several university-based centers for homeland security." Note: partnerships with foreign institutions and investigators are permitted, but may require special justification and approval from DHS in certain circumstances.

### **[Non-responsiveness.]{.underline}** The criteria used to evaluate applications are listed below separately for white papers and for full proposals. Applications must substantially comply with the application submission instructions and requirements set forth in this announcement or they will be rejected as non-responsive. In addition, where a page limitation is expressed with respect to parts of the application, pages in excess of the page limit will not be reviewed. Without exception, applications must be received by Grants.gov on or before the solicitation closing date and time in this announcement or they will be returned to the sender without further consideration. Also, applications exceeding the funding limits or project period term will be returned without review.

# IV. APPLICATION AND SUBMISSION INFORMATION {#iv.-application-and-submission-information .Style-Heading-1-+-Not-Italic}

#  {#section-8 .Style-Heading-1-+-Not-Italic}

Applications must be submitted through Grants.gov.

#  {#section-9 .Style-Heading-1-+-Not-Italic}

A.  **[Address to Request Application Package.]{.underline}**
    Application forms and instructions are available at Grants.gov. To
    access these materials, go to
    [http://www.grants.gov](http://www.grants.gov/) , select "Apply for
    Grants," and then select "Download Application Package." Enter the
    CFDA and/or the funding opportunity number located on the cover of
    this announcement. Select "Download Application Package," and then
    follow the prompts to download the application package. To download
    the instructions, go to "Download Application Package" and select
    "Instructions." NOTE: You will not be able to download the
    Application Package unless you have installed PureEdge Viewer. The
    application package will be available on Grants.gov and must be
    submitted through that website. We recommend you visit Grants.gov at
    least 30 days prior to filing your application to fully understand
    the process and requirements.  If you encounter difficulties, please
    contact the Grants.gov Help Desk at 1-800-518-4276 to report the
    problem and obtain assistance with the system. To use Grants.gov,
    the applicant, must have a DUNS Number and register in the Central
    Contractor Registry (CCR).  You should allow a minimum of five days
    to complete the CCR registration.

> **DHS may request that you provide original signatures on forms at a
> later date**.

B.  **[Content and Form of Application Submitted through
    Grants.gov.]{.underline}** You must complete the mandatory forms for
    this announcement which include the SF-424 (R&R) (Application for
    Federal Assistance), R&R Budget Section, R&R Senior/Key Person
    Profile, R&R Other Project Information, R&R Performance Site
    Locations, and Attachments in accordance with the application
    instructions on Grants.gov and additional instructions below. If
    submitting any information that deemed proprietary, please denote
    the beginning and ending of such information with asterisks
    (\*\*\*).

> **Mandatory Files**:

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

> Applicants must complete an SF 424 (R&R) application form. This form
> may be completed while on the Grants.gov Web site or it can be
> completed offline in its entirety. **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 PureEdge Viewer 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 424 R&R -- Budget Information**

> SF 424 R&R - Applicants must complete a budget for each budget year
> and a cumulative budget for the total project period. Applicants must
> provide budgets both by object class (salaries, fringe, travel,
> indirect, etc.) for the Center as a whole and by project. 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 Article IV.E.).

3.  **R&R Senior/Key Person Profile**

> Applicants must complete a profile for the COE Director and Principal
> Investigators as well as other Senior Key Personnel identified for the
> project.

4.  **R&R Other Project Information**

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

5.  **R&R Project/Performance Site Locations**

> Applicants must complete Project/Performance Site Locations.

6.  **Attachments**

> The following files must be completed and attached to the
> "Attachments" form which is part of the Grants.gov application
> package.

  ----------------------------------------- -----------------------------
  **ATTACHMENT NAME**                       **FILENAME**

  Attachment 1 -- Project Summary/ Abstract PROJECT SUMMARY.doc

  Attachment 2 - Project Narrative          PROJECT NARRATIVE.doc

  Attachment 3 -- Budget Justification      BUDGET JUSTIFICATION.doc

  Attachment 4 - Certifications/ Assurances CERTIFICATIONS.doc
  ----------------------------------------- -----------------------------

> **Attachment 1 -- Project Summary/Abstract.** Include the title of the
> project and provide a summary description that accurately and
> concisely reflects the project. It should describe the objectives of
> the project, the approach to be used, and the results or benefits
> expected. The summary description is limited to one single-spaced page
> with 12-point font and one-inch margins.
>
> **Attachment 2 -- Project Narrative.** This section describes the
> applicant's proposal in response to the funding opportunity (refer to
> Article I). Applicants should organize their narrative in this
> sequence: 1) Description of overall COE objectives and the need for
> assistance from DHS; 2) Descriptions of major COE research areas 3)
> Descriptions of planned projects within each research area, including
> analytical approach, data collection, and measurable goals and
> timelines; 4) Description of proposed organizational structure,
> management plan and partner institutions, 5) Description of plans to
> develop enduring educational curricula in relevant homeland security
> related fields of study for both students and professionals. 6)
> Description of plans to involve Minority Serving Institutions (MSIs)
> in both research and education programs. Page limit: The project
> narrative, not including abstract, budget and investigators'
> credentials, shall not exceed 40 pages with one-inch margins using
> single-spaced 12-point font.
>
> **Attachment 3 -- Budget Justification File(s).** *\[Note: Based on
> DHS' experience with existing COEs, applicants are advised to account
> for the realities of establishing complex multi-institutional,
> multidisciplinary COEs in preparing their budgets.  Because annual
> budgets vary according to the needs for each year, DHS recommends that
> applicants adjust their first year budgets downwards, compared to
> later years, to account for a period of ramping up and for delays in
> implementing projects. It is important that grant or cooperative
> agreement recipients stay on the schedule they establish to make
> reasonable progress towards achieving research objectives.\]*
>
> Summary budget tables (spreadsheets) and supporting budget
> justification detail are required for:

a.  [PERSONNEL]{.underline}. Description: Costs of employee salaries and
    wages.

> [Justification]{.underline}: Identify the COE director and principal
> investigators. 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 sub-contractors.
> Separate budgets for subcontractors are required, see below. The
> institution, when applying for support under this program, is
> certifying that it is in compliance with applicable Federal laws
> governing foreign student participation in research programs (e.g.,
> compliance with applicable visa requirements, deemed export control
> laws, and other applicable export control laws).

b.  [FRINGE BENEFITS.]{.underline} Description: Costs of employee fringe
    benefits unless treated as part of an approved indirect cost rate.

> [Justification]{.underline}: 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.

c.  [Travel]{.underline}. Description: Travel is limited to COE
    personnel and students receiving support under this project. Provide
    the costs of project-related travel. Travel cost shall not include
    costs of sub-contractor travel.

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

-   A research and education summit for all COEs once per year with COE
    researchers and educators, DHS scientists, stakeholders and other
    awardees reporting on research activities and discussing issues of
    mutual interest

-   An annual disciplinary area workshop involving all related DHS and
    other federally supported researchers working in a specific topical
    area

-   Semi-annual COE Directors' meetings to discuss collaborations and
    issues of mutual interest, and

-   Communication several times a year with DHS and other Federal
    scientists on specific issues, and should be prepared to support one
    or more COE representatives full or part time in Washington, DC.

-   Meetings with DHS representatives to develop and or deliver training
    courses for DHS staff in the COE's field of study.

> [Justification]{.underline}: 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. Note: trips to
> academic conferences other than those noted above or demonstrably
> contributing to the objectives of the Center will not be funded
> through this assistance agreement. Any travel not authorized in the
> award must be approved in writing by DHS in advance of the travel.
>
> 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 not permitted
> provided that, under special circumstances, DHS may approve the use of
> funds obtained under this award for foreign travel. Foreign travel
> must be approved by DHS in advance and in writing.

d.  [EQUIPMENT]{.underline}. Description: \"Equipment\" means an article
    of nonexpendable, tangible property having a useful life of more
    than one year and an acquisition cost which equals or exceeds the
    lesser of (a) the capitalization level established by the
    organization for the financial statement purposes, or (b) \$5,000.
    (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 in-transit insurance, freight, and
    installation shall be included in or excluded from acquisition cost
    in accordance with the organization\'s regular written accounting
    practices.)

> [Justification]{.underline}: 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.

e.  [SUPPLIES]{.underline}. Description: Costs of all tangible personal
    property other than that included under the Equipment category.

> [Justification]{.underline}: Specify general categories of supplies
> and their costs. Show computations and provide other information which
> supports the amount requested.

f.  [CONTRACTUAL]{.underline}. Description: Costs of all contracts for
    services and goods except for those that belong under other
    categories such as equipment, supplies, construction, etc. Include
    third party evaluation contracts (if applicable) and contracts with
    secondary recipient organizations.

> [Justification]{.underline}: Demonstrate that all procurement
> transactions will be conducted in a manner to provide, to the maximum
> extent practical, open and free competition. Identify proposed
> subaward/sub-contractor work and the cost of each
> subaward/sub-contractor. Provide a detailed budget for each subawardee
> that is expected to perform work estimated to be \$100,000 or more.
> The subawardee budget should provide the same level of detail as that
> of the applicant (i.e., by Object Class Category/Cost Classification).
> In addition, the following information must be provided:
>
> [Subcontracts]{.underline} - Identify each planned subcontractor and
> its total proposed budget. Each subcontractor\'s budget and supporting
> detail should be included as part of the applicant\'s budget
> narrative. In addition, the applicant shall provide the following
> information for each planned subcontract: a brief description of the
> work to be subcontracted; the number of quotes solicited and received,
> if applicable; the cost or price analysis performed by the applicant;
> names and addresses of the subcontractors tentatively selected and the
> basis for their selection; e.g., unique capabilities (for sole source
> subcontracts), low bidder, delivery schedule, technical competence;
> type of contract and estimated cost and fee or profit; and,
> affiliation with the applicant, if any.
>
> 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.
>
> [Subawardees]{.underline} -- Identify each planned subawardee and its
> total proposed budget. Each subawardee's budget and supporting detail
> should be separate from the applicant's budget narrative.
>
> All required flow down provisions in the award must be included in any
> subcontract or subaward.

g.  [OTHER DIRECT COSTS]{.underline}. Provide an itemized list with
    costs for any other item proposed as a direct cost and state the
    basis for each proposed item.

h.  [INDIRECT COSTS]{.underline}. If claiming indirect costs, provide a
    copy of the latest rate agreement approved by a cognizant Federal
    government agency. If the applicant organization is in the process
    of initially developing or renegotiating a rate, upon notification
    that an award will be made, it should immediately develop a
    tentative indirect cost rate proposal based on its most recently
    completed fiscal year, 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 grant or
    cooperative agreement. Also, if the applicant is requesting a rate
    which 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.

i.  [Project Budgets]{.underline}: Budgets must be provided for each
    separate research and education project and group of projects in a
    major topical area. The total of all projects plus management and
    indirect must equal the total for all object classes by year and
    cumulatively.

> **Attachment 4 -- Certification/Assurances**
>
> Applicants must complete: SF-424B, Assurances -- Non-construction
> Programs; SF-LLL, Disclosure of Lobbying Activities -- as revised in
> 1996.
>
> By signing and/or submitting this application, the Recipient 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).

C.  **[Submission Dates and Times]{.underline}**.

> White Paper Closing Date: February 28, 2007
>
> Full Proposal Closing Date: April 30, 2007

D.  **[Intergovernmental Review:]{.underline}**

> This program is not subject to Executive Order 12372,
> "Intergovernmental Review of Federal Programs."

E.  **[Funding Restrictions]{.underline}.** 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. In addition,
    Federal funds may not be used to sue the Federal government or any
    other government entity.

```{=html}
<!-- -->
```
1.  **[Equipment.]{.underline}**

```{=html}
<!-- -->
```
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.

```{=html}
<!-- -->
```
a.  For equipment purchased with grant/cooperative agreement funds
    having a \$5,000 or more per unit cost, the Recipient shall maintain
    an annual inventory which will include a brief description which
    will include a brief description of the item, serial number and
    amount of purchase.

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

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

```{=html}
<!-- -->
```
1.  **[Construction Costs.]{.underline}** Construction costs are not
    allowable under this funding opportunity.

2.  **[Pre-award.]{.underline}** Pre-award costs are allowable only with
    the written consent of DHS and included in the award agreement.

3.  **[Profit/Fee.]{.underline}** Profit or fee is not allowable except
    when subcontracting for routine goods and services with commercial
    organizations.

# V. APPLICATION REVIEW INFORMATION {#v.-application-review-information .Style-Heading-1-+-Not-Italic}

#  {#section-10 .Style-Heading-1-+-Not-Italic}

###  {#section-11 .unnumbered}

### **Review Process and Criteria: White Papers**

### DHS initially seeks responses in the form of white papers from accredited U.S. institutions of higher education that propose to become the lead institution of this COE. The white papers should be limited to five pages and include brief descriptions of the following components. These elements will also be review criteria, and will enable DHS to determine whether the applicants will be invited to submit a full proposal. Applicants that submit satisfactory white papers will be invited to submit full proposals. {#dhs-initially-seeks-responses-in-the-form-of-white-papers-from-accredited-u.s.-institutions-of-higher-education-that-propose-to-become-the-lead-institution-of-this-coe.-the-white-papers-should-be-limited-to-five-pages-and-include-brief-descriptions-of-the-following-components.-these-elements-will-also-be-review-criteria-and-will-enable-dhs-to-determine-whether-the-applicants-will-be-invited-to-submit-a-full-proposal.-applicants-that-submit-satisfactory-white-papers-will-be-invited-to-submit-full-proposals. .unnumbered}

###  {#section-12 .unnumbered}

### [Review Process]{.underline}

### DHS will acknowledge receipt of all white papers. A panel of subject matter experts from inside and outside of the Federal Government will be assembled by DHS to review the white papers received. This panel will evaluate the concepts and qualifications expressed in the white papers according to the criteria listed below. Following this review, an email will be sent to the proposing institution inviting or declining to invite a full proposal. Applicant institutions receiving a negative response will receive a brief explanation of the reason for the negative response. An institution receiving a negative response is not precluded from submitting a full proposal. Additionally, institutions that have not submitted white papers are not precluded from submitting a full proposal. DHS will destroy all white papers receiving declinations. {#dhs-will-acknowledge-receipt-of-all-white-papers.-a-panel-of-subject-matter-experts-from-inside-and-outside-of-the-federal-government-will-be-assembled-by-dhs-to-review-the-white-papers-received.-this-panel-will-evaluate-the-concepts-and-qualifications-expressed-in-the-white-papers-according-to-the-criteria-listed-below.-following-this-review-an-email-will-be-sent-to-the-proposing-institution-inviting-or-declining-to-invite-a-full-proposal.-applicant-institutions-receiving-a-negative-response-will-receive-a-brief-explanation-of-the-reason-for-the-negative-response.-an-institution-receiving-a-negative-response-is-not-precluded-from-submitting-a-full-proposal.-additionally-institutions-that-have-not-submitted-white-papers-are-not-precluded-from-submitting-a-full-proposal.-dhs-will-destroy-all-white-papers-receiving-declinations. .unnumbered}

1.  [Evaluation Criteria]{.underline}

> The criteria listed below are of equal importance and each must be
> addressed in submitted white papers. White papers should contain:

### An affirmative statement of interest in being the lead institution in a multi-disciplinary, multi-institutional collaborative research center.

### A description of the institution's capabilities to (a) perform as an advanced research institution in this COE's specialized research area and (b) manage a large multi-institutional research partnership providing results for a mission agency.

###  {#section-13 .unnumbered}

### A description of the institution's or proposed partners' abilities to provide both student and continuing education in this field of study.

###  {#section-14 .unnumbered}

### A description of partnerships with other universities, public and private institutions, or agencies and facilities that would provide necessary and complementary components of an effective homeland security COE. Detailed descriptions of specific institutional members of such partnerships and their qualifications will be required at the full proposal stage. 

### A description of the managerial arrangements the lead institution will enact to ensure the success of the COE's mission. 

### The major disciplines that will be included in a COE partnership, and the lead institution's strategy to access top-rate researchers in each relevant discipline, wherever they may be.

###  {#section-15 .unnumbered}

### Qualifications of the principal faculty and administrators who would lead the COE. 

A.  **Review Process and Criteria: Full Proposals**

```{=html}
<!-- -->
```
1.  [Review Process]{.underline}:

> As noted above, DHS will invite applicants who have submitted
> satisfactory white papers to submit a full proposal. Any potential
> applicant may submit a full proposal by the due date whether or not
> such a submission is invited.
>
> DHS will assemble a panel of subject matter experts from inside and
> outside of the Federal government to review and rate the white papers,
> make recommendations regarding which applicants DHS should invite to
> submit a full proposal and subsequently review and rate the full
> proposals. Panels of professional peers review the submitted proposals
> either in person, by mail or electronically.
>
> Generally, DHS requests each review panel member to formally review a
> subset of the proposals. At a minimum, two subject matter experts
> review each proposal and provide summary comments and overall ratings
> based on the criteria below. Copies of all proposals are available for
> inspection by all of the members of the review panel upon request. DHS
> officials will select a subset of one or more finalists from the full
> proposals reviewed for which DHS will conduct site visits or such
> finalist(s) may be invited to make presentations to DHS.
>
> DHS's designated Selection Authority (SA) will make final funding
> decisions based upon the results of the evaluation. In making the
> final funding decisions, the SA may also consider program balance,
> availability of funds, Congressional mandates, and criteria including
> geographic distribution and the requirements of the Experimental
> Program to Stimulate Competitive Research (EPSCOR). The applicant
> selected for funding will be required to provide additional
> information listed below under "Notice of Award." Following the
> initial selection, and prior to award, DHS will negotiate budgets and
> research and education substance with the selected applicant. DHS
> reserves the right to select partners from other qualified COE
> proposals to team with the selected lead academic institution to
> ensure DHS priority research areas are addressed.
>
> [Confidentiality and Conflict of Interest]{.underline} Technical and
> cost proposals submitted under this funding opportunity will be
> protected from unauthorized disclosure in accordance with applicable
> laws, and regulations. DHS may utilize one or more support contractors
> as subject matter experts or to evaluate cost proposals. However,
> proposal selection and award decisions are solely the responsibility
> of DHS personnel.
>
> DHS screens all panelists for potential conflicts of interest. To
> determine possible conflicts of interest, DHS requires potential
> reviewers to complete and sign conflicts of interest and nondisclosure
> forms. 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.]{.underline}

2.  [Evaluation Criteria]{.underline}

> DHS will use the following criteria to evaluate full proposal
> submissions. The first six criteria (a -- f) are critical elements of
> the proposal and of equal significance. Proposals that do not provide
> satisfactory responses to all of these essential criteria will be
> declined. The remaining criteria (g -- l) also are important to
> meeting DHS' overall objectives. While they are listed in approximate
> descending order of importance, each should be fully addressed by
> applicants.

a.  [Technical Merit and Quality]{.underline}: the degree to which the
    proposed research focus will achieve excellence (to offer results
    capable of commanding the respect of active researchers and of
    probing a frontier area well). The originality and creativity of the
    proposed research questions and the appropriateness and adequacy of
    the proposed research methods. For example, the following questions
    may be considered during the evaluation: Is the research approach
    practical and technically defensible, and can the projects be
    performed within the proposed time period? Will the research
    contribute to scientific knowledge in the topic area? Will the
    results be disseminated broadly to enhance scientific and
    technological understanding? What are potential benefits of the
    proposed research to society? Is the proposal well-prepared with
    supportive information that is self-explanatory or understandable?

b.  [Mission-Related Significance:]{.underline} the degree to which the
    proposed research focus can yield results that overcome existing and
    difficult technical limitations, or that offer the scientific basis
    to enable major technological advances in the foreseeable future.
    The responsiveness of the proposal to the research needs identified
    in this announcement and the willingness and ability of the
    applicants to consult with Federal, state, local and private
    stakeholders to refine research questions and design to make results
    applicable to homeland security issues or policy. For example, the
    following questions may be considered during the evaluation: Does
    the proposal adequately address the objectives specified by DHS for
    this topic area? Can the applicants communicate their results in
    formats accessible to and understandable by Federal, state and local
    end users?

c.  [Geographical distribution of all Centers of Excellence and major
    partners]{.underline}. The Centers of Excellence program's
    authorizing legislation states: "... the Under Secretary for Science
    and Technology, shall operate extramural research, development,
    demonstration, testing and evaluation programs so as to ensure that
    colleges, universities, private research institutes and companies
    from as many regions of the United States as practicable
    participate." Geographical location of the lead institution and its
    major partners will be a factor in evaluating proposals submitted in
    response to this COE.

d.  [Qualifications of Investigators:]{.underline} The qualifications of
    the principal investigator(s) and other key personnel, including
    training, demonstrated knowledge of pertinent literature,
    experience, and publication records, and the extent to which key
    personnel will make a significant time commitment to the project.

e.  [Facilities and Equipment:]{.underline} The availability and/or
    adequacy of the facilities and equipment proposed for the project.
    For example, the following questions may be considered during the
    evaluation: Are there any deficiencies that may interfere with the
    successful completion of the research?

f.  [Management:]{.underline} The ability of the lead institution to
    manage a complex Center of Excellence in terms of achieving research
    results when due, managing large and complex budgets and
    communicating research outcomes, and the adequacy of the proposed
    management plan to ensure quality research and education programs
    from researchers at both primary and partner institutions. Note:
    Applicants are advised to designate a qualified, full-time Center
    Director with the ability to manage a large results-oriented
    research program.

g.  [Knowledge of Current Research]{.underline}: Evidence that the
    applicant is familiar with the research and resources of existing
    DHS COEs, other DHS S&T, federal agency or National Laboratory
    research and development programs, and other relevant university
    programs and can demonstrate its ability to take advantage of these
    resources. Information about the existing COEs is available at
    [www.sciencetosecurity.org](../www.sciencetosecurity.org). S&T
    programs are described in general terms at
    <http://www.dhs.gov/xres/programs/>.

h.  [Education:]{.underline} The adequacy of education plans and
    supporting materials demonstrating the proposed COE's ability to
    establish an enduring and comprehensive program of study in
    disciplines related to the specific research areas cited in this
    announcement. This plan should demonstrate how it will contribute to
    the development of new generation of scientists and professionals
    working in homeland security fields, as well as developing
    continuing education for current professionals.

i.  [Minority Serving Institution Partnerships:]{.underline} The
    demonstrated ability and commitment to establish meaningful
    partnerships with MSIs to develop a quality MSI research and
    training program, and the quality of the proposed program. The
    application should demonstrate the proposed COE's ability to create
    a high-quality and enduring education and research program
    capabilities at minority-serving institutions in disciplinary areas
    important to homeland security. \[NOTE: Lead institutions seeking
    MSI partners and MSI researchers wanting to participate in this COE
    should register their respective needs and qualifications at:
    [www.sciencetosecurity.org](../www.sciencetosecurity.org).\]

j.  [Results Transition:]{.underline} The effectiveness and soundness of
    a strategy to transition research results to end users and
    mechanisms to accomplish this transition, and demonstration of a
    clear and effective plan for transitioning research results for each
    project or research area ultimately to homeland security mission
    agencies.

k.  [Budget]{.underline}: Although budget information does not reflect
    on the application's scientific merit, the evaluation will include
    the appropriateness and/or adequacy of the proposed budget and its
    implications for the potential success of the proposed research.
    Input on requested equipment is of particular interest.

l.  [Page limit:]{.underline} The proposal, not including abstract,
    budget and investigators' credentials, shall not exceed 40 pages
    with one-inch margins using single-spaced 12 point font.

# VI. AWARD ADMINISTRATION INFORMATION {#vi.-award-administration-information .Style-Heading-1-+-Not-Italic}

#  {#section-16 .Style-Heading-1-+-Not-Italic}

#  {#section-17 .Style-Heading-1-+-Not-Italic}

### **[Notice of Award]{.underline}**. 

###  {#section-18 .unnumbered}

### Customarily, applicants are notified about evaluation decisions within six months of the application closing date. A summary statement of the scientific review by the peer panel will be provided to each applicant with an award or declination letter.

### Applicants to be recommended for funding will be required to submit an electronic version of a revised project abstract. DHS also requires successful applicants to provide responses to comments or suggestions offered by the peer reviewers and revise and resubmit their proposal accordingly. They must also submit a revised budget. DHS will contact Principal Investigators to obtain these materials. Before or after an award, applicants may be required to provide additional quality assurance documentation.

### A cooperative agreement award will be executed by a DHS Grants Officer authorized to obligate DHS funding.

A.  **[Administrative and National Policy Requirements]{.underline}.**

> The award is subject to the following administrative and national
> policy requirements.

1.  **Administrative and Cost Principles.** The following Administrative
    and Cost Principles, as applicable, apply to the award:

```{=html}
<!-- -->
```
a.  OMB Circular A-110, relocated to 2 CFR Part 215. "Uniform
    Administrative Requirements for Grants and Agreements with
    Institutions of Higher Education, Hospitals, and Other Non-profit
    Organizations."

b.  OMB Circular A-21, relocated to 2 CFR Part 220. "Cost Principles for
    Educational Institutions."

c.  OMB Circular A-133. "Audits of States, Local Governments, and
    Non-Profit Organizations."

> These publications may be viewed at:
> <http://www.whitehouse.gov/omb/grants/grants_circulars.html>

2.  **Human Subjects:** Recipient of a cooperative agreement or grant
    must agree to meet all DHS and HHS requirements for studies using
    human subjects prior to implementing any work with these subjects.
    These requirements are given in 45 Code of Federal Regulations (CFR)
    Part 46, Subparts A-D. Subpart A of 45 CFR Part 46 is HHS's
    codification of the Federal Policy for the Protection of Human
    Subjects (also known as The Common Rule) which represents the basic
    foundation for the protection of human subjects in most research
    conducted or support by U.S. Federal departments and agencies. No
    actual work involving human subjects, including recruiting, may be
    initiated before DHS has received a copy of the applicant's
    Institutional Review Board's (IRB) approval of the project or
    determination that it is exempt from human subjects requirements,
    and DHS has provided approval, although development of tools (e.g.,
    survey instruments), protocols and data gathering approaches may
    proceed. Where human subjects are involved in the research, the
    recipient must provide evidence of subsequent IRB reviews, including
    amendments or minor changes of protocol, as part of annual reports.

3.  **Animal Welfare:** A cooperative agreement or grant recipient must
    agree to comply with the Animal Welfare Act of 1966 (P.L. 89-544),
    as amended, 7 U.S.C. 2131-2156. The recipient must also agree to
    abide by the \"U.S. Government Principles for the Utilization and
    Care of Vertebrate Animals used in Testing, Research, and Training\"
    (50 Federal Register 20864-20865. May 20, 1985).

4.  **Information and Data Quality:** Congress, through OMB, has
    instructed each Federal agency to implement Information Quality
    Guidelines designed to \"provide policy and procedural
    guidance\...for ensuring and maximizing the quality, objectivity,
    utility, and integrity of information, including statistical
    information, disseminated by Federal agencies.\" Information quality
    procedures may apply to data generated by grant or cooperative
    agreement recipients if those data are disseminated as described in
    the Guidelines. The Office of Management and Budget (OMB) Circular
    A-110 has been revised to provide public access to research data
    through the Freedom of Information Act (FOIA) under some
    circumstances. Data that is (1) first produced in a project that is
    supported in whole or in part with Federal funds and (2) cited
    publicly and officially by a Federal agency in support of an action
    that has the force and effect of law (i.e., a regulation) may be
    accessed through FOIA. If such data are requested by the public, DHS
    must ask for it, and the awardee must submit it, in accordance with
    A-110 and applicable regulations at 40 C.F.R. 30.36.

5.  **Reporting:** Recipient must agree to provide summary annual
    reports on the Center as a whole and on each funded Center project,
    along with explanations of any changes from the initial workplan
    contained in the final proposal, budget expenditures and changes,
    and unanticipated problems. All changes in the scope of the workplan
    or budget must be approved in advance by the University Programs
    program manager. Centers must also submit a comprehensive final
    report with an executive summary and final summary abstract for each
    project. The annual and final reports and summaries will be posted
    on the Center's website for public access.

> Recipient must agree to provide copies of any peer reviewed journal
> article(s) resulting from the research during the project period. In
> addition, the recipient should notify DHS program manager of any
> papers published after completion of the grant or cooperative
> agreement that were based on research supported by the agreement.
>
> **Acknowledgement of DHS Support:** DHS's full or partial support must
> be acknowledged in journal articles, oral or poster presentations,
> news releases, interviews with reporters and other communications. Any
> documents developed under this agreement that are intended for
> distribution to the public or inclusion in a scientific, technical, or
> other journal shall include the following statement:
>
> This publication \[article\] was developed under DHS Science and
> Technology Assistance Agreement No. \_\_\_\_\_\_\_\_\_\_ awarded by
> the U.S. Department of Homeland Security. It has not been formally
> reviewed by DHS. The views and conclusions contained in this document
> are those of the authors and should not be interpreted as necessarily
> representing the official policies, either expressed or implied, of
> the U.S. Department of Homeland Security. The Department of Homeland
> Security does not endorse any products or commercial services
> mentioned in this publication.

6.  **Use of DHS Seal and Non-Endorsement.** Recipient shall require
    DHS's approval prior to using the DHS seal. DHS's funding of
    projects under an award does not equate to DHS's endorsement of such
    projects.

7.  **Disposal of Toxic or Other Waste**. Recipient shall be responsible
    for the removal from Government property of any and all toxic or
    other material used, provided, or generated in the course of
    performing this assistance agreement. Recipient shall obtain at its
    own expense all necessary permits and licenses as required by local,
    State, and Federal law and shall conduct such removal in a lawful
    and environmentally responsible manner.

8.  **Nondiscrimination.** The award is subject to the following:

```{=html}
<!-- -->
```
a.  Title VI of the Civil Rights Act of 1964. As amended, provides that
    no person in the United States shall, on the grounds of race, color,
    or national origin, be excluded from participation in, be denied the
    benefits of, or be subject to discrimination under any program or
    activity receiving Federal financial assistance. Title VI also
    extends protection to persons with limited English proficiency. (42
    U.S.C. 2000d et seq.)

```{=html}
<!-- -->
```
a.  Title IX of the Education Amendments of 1972. Provides that no
    person in the United States shall, on the basis of sex, be excluded
    from participation in, be denied benefits of, or be subject to
    discrimination under any education program or activity receiving
    Federal financial assistance. (20 U.S.C. 1681 et seq.)

b.  The Age Discrimination Act of 1975. Provides that no person in the
    United States shall, on the basis of age, be excluded from
    participation in, be denied benefits of, or be subject to
    discrimination under any program or activity receiving Federal
    financial assistance. (42 U.S.C. 6101 et seq.)

c.  Section 504 of the Rehabilitation Act of 1973. Provides that no
    otherwise qualified individual with a disability in the United
    States, shall, solely by reason of his/her disability, be excluded
    from participation in, be denied benefits of, or be subject to
    discrimination under any program or activity receiving Federal
    financial assistance. (29 U.S.C. 794)

d.  The Americans with Disabilities Act of 1990 (\"ADA\"). Prohibits
    discrimination on the basis of disability in employment (Title I),
    state and local government services (Title II), places of public
    accommodation and commercial facilities (Title III). (42 U.S.C.
    12101-12213)

```{=html}
<!-- -->
```
9.  **Certifications and Assurances.** Certifications and assurances
    regarding the following apply:

```{=html}
<!-- -->
```
a.  Lobbying**.** Section 319 of Public Law 101-121 prohibits the use of
    funds in lobbying members and employees of Congress, as well as
    employees of Federal agencies, with respect to the award or
    amendment of any Federal grant, cooperative agreement, contract, or
    loan. DHS has codified restrictions upon lobbying at 6 CFR Part 9.
    (31 U.S.C. 1352)

```{=html}
<!-- -->
```
a.  Drug-Free Workplace Act. Requires the recipient to publish a
    statement about its drug-free workplace program and give a copy of
    the statement to each employee (including consultants and temporary
    personnel) who will be involved in award-supported activities at any
    site where these activities will be carried out. Also, place(s)
    where work is being performed under the award (i.e., street address,
    city, state and zip code) must be maintained on file. The recipient
    must notify the Grants Officer of any employee convicted of a
    violation of a criminal drug statute that occurs in the workplace.
    (41 U.S.C. 701 et seq.)

b.  Debarment and Suspension**.** Executive Orders (E.O.) 12549 and
    12689 provide protection from fraud, waste, and abuse by debarring
    or suspending those persons that deal in an irresponsible manner
    with the Federal government. The recipient must certify that they
    are not debarred or suspended from receiving Federal assistance.

c.  Federal Debt Status. The recipient may not be delinquent in the
    repayment of any Federal debt. Examples of relevant debt include
    delinquent payroll or other taxes, audit disallowances, and benefit
    overpayments. (OMB Circular A-129)

```{=html}
<!-- -->
```
10. **Security Requirements**: If it is determined that SBU information
    is either provided to the Recipient during the course of this
    agreement, or if SBU information is generated as a result of this
    agreement, the following security requirements will apply.

```{=html}
<!-- -->
```
a.  The work performed and information resulting from the work completed
    under this agreement shall be protected through recipient's (and
    sub-recipients of this award) security procedures, which must comply
    with relevant DHS policies provided to recipient, unless otherwise
    specified in writing by DHS. 

b.  The recipient and sub-recipients of the award shall use their own
    security procedures and protections to protect information
    developed, generated or received from this award.  A copy of the
    security procedures, to include a Non-Disclosure Agreement, shall be
    submitted to DHS within 2 weeks after the date of the award for
    DHS's review, comment, and approval.

c.  The recipient and sub-recipients shall ensure that sensitive
    information be protected in such a manner that it is safeguarded
    from public disclosure in accordance with applicable state or
    Federal laws and recipient's and sub-recipients' DHS-approved
    security policies.

d.  DHS provided information designated as Sensitive But Unclassified
    (SBU) or For Official Use Only (FOUO) transmitted to the awardee
    will be safeguarded in accordance with DHS policies provided to
    recipient.  

e.  Transmission of information developed, generated or received by the
    award designated as SBU or FOUO shall be transported via secure
    security methods.  

f.  In order to facilitate intra-program collaboration and technology
    transfer, DHS will attempt to enable recipient to work at the
    unclassified level to the maximum extent possible. If access to
    classified material will be required at any point during
    performance, the recipient must clearly identify such need
    prominently in its application.

g.  Prior to releasing any information developed using funding awarded
    under a grant or cooperative agreement issued pursuant to this
    announcement, recipient and sub-recipients shall review and screen
    such information, including but not limited to articles,
    presentations, videos, speeches at conferences, pamphlets, and other
    forms of printed media, to ensure that such information's release
    does not violate recipients and sub-recipients DHS-approved security
    policies and procedures.

h.  Potential recipients under this announcement are reminded of the
    Export Administration Regulations, the International Traffic in Arms
    Regulations, and other Federal regulations restricting the release
    of critical technologies, including technical data, to foreign
    nationals.

```{=html}
<!-- -->
```
11. **Non-Disclosure Agreements**: If it is determined that SBU
    information is either provided to the recipient during the course of
    this agreement, or if SBU information is generated as a result of
    this agreement, the following security requirements will apply: The
    awardee shall require all employees and sub-recipients having access
    to information or materials pertaining to the assistance agreement
    award to sign a Non-Disclosure Agreement (NDA) to protect against
    the misuses of information. In the event that information is
    divulged in violation of the terms of the NDA, the awardee will
    immediately notify DHS of the violation and take appropriate legal
    action.

12. **Government Property/Furnished Equipment (GFE) and Facilities**:
    Each applicant must provide a very specific description of any
    equipment/hardware that it needs to acquire to perform the work.
    This description should indicate whether or not each particular
    piece of equipment/hardware will be included as part of a
    deliverable item under the resulting award. Also, this description
    should identify the component, nomenclature, and configuration of
    the equipment/hardware that it proposes to purchase for this effort.
    The purchase on a direct re-imbursement basis of special test
    equipment or other equipment will be evaluated for allowability on a
    case-by-case basis. Maximum use of Government integration, test, and
    experiment facilities is encouraged. Government research facilities
    and operational military units are available and should be
    considered as potential government furnished equipment/facilities.
    These facilities and resources are of high value and some are in
    constant demand by multiple programs.

```{=html}
<!-- -->
```
C.  **[Reporting Requirements]{.underline}.**

    1.  **Financial Reports**.

```{=html}
<!-- -->
```
a.  The Recipient shall submit annual financial reports (SF 269,
    Financial Status Report) along with the annual performance report in
    the University Programs format to the Grants Officer no later than
    30 days following the end of the budget period. The initial budget
    period will end one year from the award date with the initial annual
    report due 30 days later. All subsequent annual reports will be due
    on the anniversary of the first annual report.

b.  The Recipient is required to submit a Cash Transaction Report
    (SF 272) to the Department of Health and Human Services Division of
    Payment Management with a copy of the SF 272 to the Grants Officer.

c.  The Recipient is required to submit a Final Financial Status Report
    (SF 269) to the Grants Officer within 90 days after the expiration
    date of the Performance Period.

    1.  **Performance Reports.**

```{=html}
<!-- -->
```
a.  Performance Reports will be submitted to the Grants Officer.

b.  The Recipient shall submit annual Performance Reports as a condition
    for receiving further annual funding increments. As with the
    financial status reports, the initial performance period will end
    one year from the award date with the annual report due 30 days
    later. All subsequent annual reports will be due on the anniversary
    of the first annual report.

c.  Performance Reports shall describe accomplishments in terms of the
    approved project objectives in the required University Programs
    format (provided to awardee upon award).

d.  Performance reports shall also include budget information
    categorized by both object class and project and/or research area..

e.  Final Performance Reports shall be submitted in the required
    University Programs format 90 days after the expiration date of the
    Performance Period.

```{=html}
<!-- -->
```
C.  **[Government Participation]{.underline}**

```{=html}
<!-- -->
```
1.  If a cooperative agreement is selected as a funding mechanism, DHS
    S&T will provide technical guidance and direction in the form of
    email, teleconferences, and site visits. Guidance and direction will
    include updating the Recipient on developments in related research
    funded by DHS, but not available to the general public, and will
    share DHS-funded research progress reports, data and results as
    security requirements permit. The Recipient will be required to sign
    non-disclosure agreements for all SBU-related information. Please
    see Article VI.B. 10 and 12 of this announcement.

2.  DHS will facilitate interaction between the Recipient and DHS
    agencies and other federal agency end-users, and will develop
    criteria for a biennial review based on the Center's progress,
    organize this biennial review and select reviewers from academia and
    government agencies for the review, and will cooperate in the
    preparation of reports and papers as needed.

# VII. DEPARTMENT OF HOMELAND SECURITY CONTACTS

#  {#section-19 .Style-Heading-1-+-Not-Italic}

DHS Program Manager --

Dr. Thomas Kiess

Department of Homeland Security

Science and Technology Directorate

Washington DC 20528

Phone: 202-254-6015

e-mail: Thomas.Kiess@HQ.DHS.GOV

DHS Grants Officer --

Rosemary Springer

Department of Homeland Security

Attn: Office of the Chief Procurement Officer/Office of Procurement
Operations/Grants and Financial Assistance Division

Washington, DC 20528

Phone: 202-447-5608

e-mail: rosemary.springer@dhs.gov

# VIII. OTHER INFORMATION

#  {#section-20 .Style-Heading-1-+-Not-Italic}

*Information on existing Centers of Excellence may be obtained at:*
[*http://www.sciencetosecurity.org/*](http://www.sciencetosecurity.org/)

#  {#section-21 .Style-Heading-1-+-Not-Italic}

A.  **Copyright and Data Rights:**

## Copyright: The Recipient may publish, or otherwise exercise copyright in, any work first produced under this Agreement unless the work includes information that is otherwise controlled by the government (e.g. classified information or other information subject to national security or export control laws or regulations). For scientific, technical, or other copyrighted work based on or containing data first produced under this Agreement, including those works published in academic, technical or professional journals, symposia proceedings, or similar works, the Recipient grants the government a royalty‑free, nonexclusive and irrevocable license to reproduce, display, distribute copies, perform, disseminate, or prepare derivative works, and to authorize others to do so, for government purposes in all such copyrighted works. The Recipient shall affix the applicable copyright notices of 17 U.S.C. 401 or 402, and an acknowledgment of government sponsorship (including award number) to any work first produced under this Agreement. 

## Data Rights:

### [General Requirements]{.underline}. The Recipient grants the Government a royalty‑free, nonexclusive and irrevocable license to reproduce, display, distribute copies, perform, disseminate, or prepare derivative works, and to authorize others to do so, for Government purposes in: {#general-requirements.-the-recipient-grants-the-government-a-royaltyfree-nonexclusive-and-irrevocable-license-to-reproduce-display-distribute-copies-perform-disseminate-or-prepare-derivative-works-and-to-authorize-others-to-do-so-for-government-purposes-in .unnumbered}

### Any data that is first produced under this Agreement and provided to the Government; or

### Any data owned by third parties that is incorporated in data provided to the Government under this Agreement.

> \"Data\" means recorded information, regardless of form or the media
> on which it may be recorded.
>
> Requirements for subawards. The Recipient agrees to include in any
> subaward made under this Agreement the requirements of the *Copyright*
> and *Data Rights* paragraphs of this article and of 37 C.F.R. 401.14.

B.  **Technology Transfer:**

> Recipient agrees to work with the technology transfer component of
> recipient's institution to engage in technology transfer and
> commercialization activities associated with recipient's research
> using the funding received under an assistance agreement issued
> pursuant to this announcement.

**Attachment A**

**CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS**

This certification is required by the regulations implementing Sections
5151-5160 of the Drug-Free Workplace Act of 1988 (P.L. 100-690, Title V,
Subtitle D; 41 U.S.C. 701 *et seq.*).

1.  By signing and/or submitting this application or grant agreement,
    the Recipient is providing the certification set out below.

2.  The certification set out below is a material representation of fact
    upon which reliance is placed when the agency awards the grant. If
    it is later determined that the grantee knowingly rendered a false
    certification, or otherwise violates the requirements of the
    Drug-Free Workplace Act, the agency, in addition to any other
    remedies available to the Federal Government, may take action
    authorized under the Drug-Free Workplace Act.

3.  For grantees other than individuals, Alternate I applies.

4.  For grantees who are individuals, Alternate II applies.

5.  Workplaces under grants, for grantees other than individuals, need
    not be identified on the certification. If known, they may be
    identified in the grant application. If the grantee does not
    identify the workplaces at the time of application, or upon award,
    if there is no application, the grantee must keep the identity of
    the workplace(s) on file in its office and make the information
    available for Federal inspection. Failure to identify all known
    workplaces constitutes a violation of the grantee\'s drug-free
    workplace requirements.

6.  Workplace identifications must include the actual address of
    buildings (or parts of buildings) or other sites where work under
    the grant takes place. Categorical descriptions may be used (e.g.,
    all vehicles of a mass transit authority or State highway department
    while in operation, State employees in each local unemployment
    office, performers in concert halls or radio studios).

7.  If the workplace identified to the agency changes during the
    performance of the grant, the grantee shall inform the agency of the
    change(s), if it previously identified the workplaces in question
    (see paragraph five).

8.  Definitions of terms in the Nonprocurement Suspension and Debarment
    common rule and Drug-Free Workplace common rule apply to this
    certification. Grantees\' attention is called, in particular, to the
    following definitions from these rules:

> *Controlled substance* means a controlled substance in Schedules I
> through V of the Controlled Substances Act (21 U.S.C. 812) and as
> further defined by regulation (21 CFR 1308.11 through 1308.15);
>
> *Conviction* means a finding of guilt (including a plea of nolo
> contendere) or imposition of sentence, or both, by any judicial body
> charged with the responsibility to determine violations of the Federal
> or State criminal drug statutes;
>
> *Criminal drug statute* means a Federal or non-Federal criminal
> statute involving the manufacture, distribution, dispensing, use, or
> possession of any controlled substance;
>
> *Employee* means the employee of a grantee directly engaged in the
> performance of work under a grant, including: (i) All direct charge
> employees; (ii) All indirect charge employees unless their impact or
> involvement is insignificant to the performance of the grant; and,
> (iii) Temporary personnel and consultants who are directly engaged in
> the performance of work under the grant and who are on the grantee\'s
> payroll. This definition does not include workers not on the payroll
> of the grantee (e.g., volunteers, even if used to meet a matching
> requirement; consultants or independent contractors not on the
> grantee\'s payroll; or employees of subrecipients or subcontractors in
> covered workplaces).

**Certification Regarding Drug-Free Workplace Requirements**

[Alternate I. (Grantees Other Than Individuals)]{.underline}

A.  The grantee certifies that it will or will continue to provide a
    drug-free workplace by:

```{=html}
<!-- -->
```
1.  Publishing a statement notifying employees that the unlawful
    manufacture, distribution, dispensing, possession, or use of a
    controlled substance is prohibited in the grantee\'s workplace and
    specifying the actions that will be taken against employees for
    violation of such prohibition;

2.  Establishing an ongoing drug-free awareness program to inform
    employees about --

    a.  The dangers of drug abuse in the workplace;

    b.  The grantee\'s policy of maintaining a drug-free workplace;

    c.  Any available drug counseling, rehabilitation, and employee
        assistance programs; and

    d.  The penalties that may be imposed upon employees for drug abuse
        violations occurring in the workplace;

3.  Making it a requirement that each employee to be engaged in the
    performance of the grant be given a copy of the statement required
    by paragraph 1;

4.  Notifying the employee in the statement required by paragraph 1
    that, as a condition of employment under the grant, the employee
    will --

```{=html}
<!-- -->
```
a.  Abide by the terms of the statement; and

b.  Notify the employer in writing of his or her conviction for a
    violation of a criminal drug statute occurring in the workplace no
    later than five calendar days after such conviction;

```{=html}
<!-- -->
```
5.  Notifying the agency in writing, within ten calendar days after
    receiving notice under paragraph 4.b from an employee or otherwise
    receiving actual notice of such conviction. Employers of convicted
    employees must provide notice, including position title, to every
    grant officer or other designee on whose grant activity the
    convicted employee was working, unless the Federal agency has
    designated a central point for the receipt of such notices. Notice
    shall include the identification number(s) of each affected grant;

6.  Taking one of the following actions, within 30 calendar days of
    receiving notice under paragraph 4.b, with respect to any employee
    who is so convicted --

```{=html}
<!-- -->
```
a.  Taking appropriate personnel action against such an employee, up to
    and including termination, consistent with the requirements of the
    Rehabilitation Act of 1973, as amended; or

b.  Requiring such employee to participate satisfactorily in a drug
    abuse assistance or rehabilitation program approved for such
    purposes by a Federal, State, or local health, law enforcement, or
    other appropriate agency;

```{=html}
<!-- -->
```
7.  Making a good faith effort to continue to maintain a drug-free
    workplace through implementation of paragraphs 1, 2, 3, 4, 5, and 6.

```{=html}
<!-- -->
```
B.  The grantee may insert in the space provided below the site(s) for
    the performance of work done in connection with the specific grant:

> Place of Performance (Street address, city, county, state, zip code)
>
> [\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}
>
> [\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}
>
> \_\_\_\_Check if there are workplaces on file that are not identified
> here.

[Alternate II. (Grantees Who Are Individuals)]{.underline}

A.  The grantee certifies that, as a condition of the grant, he or she
    will not engage in the unlawful manufacture, distribution,
    dispensing, possession, or use of a controlled substance in
    conducting any activity with the grant;

B.  If convicted of a criminal drug offense resulting from a violation
    occurring during the conduct of any grant activity, he or she will
    report the conviction, in writing, within 10 calendar days of the
    conviction, to every grant officer or other designee, unless the
    Federal agency designates a central point for the receipt of such
    notices. When notice is made to such a central point, it shall
    include the identification number(s) of each affected grant.

#### Attachment B {#attachment-b .unnumbered}

#### CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS {#certification-regarding-debarment-suspension-and-other-responsibility-matters .unnumbered}

This certification is required by the Department of Homeland Security
implementing Executive Orders 12549 and 12689, Debarment and Suspension.

[Instructions for Certification]{.underline}

1.  By signing and submitting this proposal, the prospective primary
    participant is providing the certification set out below.

2.  The inability of a person to provide the certification required
    below will not necessarily result in denial of participation in this
    covered transaction. The prospective participant shall submit an
    explanation of why it cannot provide the certification set out
    below. The certification or explanation will be considered in
    connection with the department or agency\'s determination whether to
    enter into this transaction. However, failure of the prospective
    primary participant to furnish a certification or an explanation
    shall disqualify such person from participation in this transaction.

3.  The certification in this clause is a material representation of
    fact upon which reliance was placed when the department or agency
    determined to enter into this transaction. If it is later determined
    that the prospective primary participant knowingly rendered an
    erroneous certification, in addition to other remedies available to
    the Federal Government, the department or agency may terminate this
    transaction for cause or default.

4.  The prospective primary participant shall provide immediate written
    notice to the department or agency to which this proposal is
    submitted if at any time the prospective primary participant learns
    that its certification was erroneous when submitted or has become
    erroneous by reason of changed circumstances.

5.  The terms covered transaction, debarred, suspended, ineligible,
    lower tier covered transaction, participant, person, primary covered
    transaction, principal, proposal, and voluntarily excluded, as used
    in this clause, have the meanings set out in the Definitions and
    Coverage sections of the rules implementing Executive Order 12549.
    You may contact the department or agency to which this proposal is
    being submitted for assistance in obtaining a copy of those
    regulations.

6.  The prospective primary participant agrees by submitting this
    proposal that, should the proposed covered transaction be entered
    into, it shall not knowingly enter into any lower tier covered
    transaction with a person who is proposed for debarment under 48 CFR
    part 9, subpart 9.4, debarred, suspended, declared ineligible, or
    voluntarily excluded from participation in this covered transaction,
    unless authorized by the department or agency entering into this
    transaction.

7.  The prospective primary participant further agrees by submitting
    this proposal that it will include the clause titled
    \`\`Certification Regarding Debarment, Suspension, Ineligibility and
    Voluntary Exclusion-Lower Tier Covered Transaction,\'\' provided by
    the department or agency entering into this covered transaction,
    without modification, in all lower tier covered transactions and in
    all solicitations for lower tier covered transactions.

8.  A participant in a covered transaction may rely upon a certification
    of a prospective participant in a lower tier covered transaction
    that it is not proposed for debarment under 48 CFR part 9, subpart
    9.4, debarred, suspended, ineligible, or voluntarily excluded from
    the covered transaction, unless it knows that the certification is
    erroneous. A participant may decide the method and frequency by
    which it determines the eligibility of its principals. Each
    participant may, but is not required to, check the List of Parties
    Excluded from Federal Procurement and Nonprocurement Programs.

9.  Nothing contained in the foregoing shall be construed to require
    establishment of a system of records in order to render in good
    faith the certification required by this clause. The knowledge and
    information of a participant is not required to exceed that which is
    normally possessed by a prudent person in the ordinary course of
    business dealings.

10. Except for transactions authorized under paragraph 6 of these
    instructions, if a participant in a covered transaction knowingly
    enters into a lower tier covered transaction with a person who is
    proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
    debarred, ineligible, or voluntarily excluded from participation in
    this transaction, in addition to other remedies available to the
    Federal Government, the department or agency may terminate this
    transaction for cause or default.

\*\*\*\*\*\*\*\*\*\*\*\*

**[Certification Regarding Debarment, Suspension, and Other
Responsibility Matters\--Primary Covered Transactions]{.underline}**

(1) The prospective primary participant certifies to the best of its
    knowledge and belief, that it and its principals:

```{=html}
<!-- -->
```
A.  Are not presently debarred, suspended, proposed for debarment,
    declared ineligible, or voluntarily excluded by any Federal
    department or agency;

B.  Have not within a three-year period preceding this proposal been
    convicted of or had a civil judgment rendered against them for
    commission of fraud or a criminal offense in connection with
    obtaining, attempting to obtain, or performing a public (Federal,
    State or local) transaction or contract under a public transaction;
    violation of Federal or State antitrust statutes or commission of
    embezzlement, theft, forgery, bribery, falsification or destruction
    of records, making false statements, or receiving stolen property;

C.  Are not presently indicted for or otherwise criminally or civilly
    charged by a governmental entity (Federal, State or local) with
    commission of any of the offenses enumerated in paragraph (1)(b) of
    this certification; and

D.  Have not within a three-year period preceding this
    application/proposal had one or more public transactions (Federal,
    State or local) terminated for cause or default.

```{=html}
<!-- -->
```
(2) Where the prospective primary participant is unable to certify to
    any of the statements in this certification, such prospective
    participant shall attach an explanation to this proposal.

\*\*\*\*\*\*\*\*\*\*\*\*

**Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion\--Lower Tier Covered Transactions**

[Instructions for Certification]{.underline}

1.  By signing and submitting this proposal, the prospective lower tier
    participant is providing the certification set out below.

2.  The certification in this clause is a material representation of
    fact upon which reliance was placed when this transaction was
    entered into. If it is later determined that the prospective lower
    tier participant knowingly rendered an erroneous certification, in
    addition to other remedies available to the Federal Government the
    department or agency with which this transaction originated may
    pursue available remedies, including suspension and/or debarment.

3.  The prospective lower tier participant shall provide immediate
    written notice to the person to which this proposal is submitted if
    at any time the prospective lower tier participant learns that its
    certification was erroneous when submitted or had become erroneous
    by reason of changed circumstances.

4.  The terms covered transaction, debarred, suspended, ineligible,
    lower tier covered transaction, participant, person, primary covered
    transaction, principal, proposal, and voluntarily excluded, as used
    in this clause, have the meaning set out in the Definitions and
    Coverage sections of rules implementing Executive Order 12549. You
    may contact the person to which this proposal is submitted for
    assistance in obtaining a copy of those regulations.

5.  The prospective lower tier participant agrees by submitting this
    proposal that, \[\[Page 33043\]\] should the proposed covered
    transaction be entered into, it shall not knowingly enter into any
    lower tier covered transaction with a person who is proposed for
    debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
    declared ineligible, or voluntarily excluded from participation in
    this covered transaction, unless authorized by the department or
    agency with which this transaction originated.

6.  The prospective lower tier participant further agrees by submitting
    this proposal that it will include this clause titled
    \`\`Certification Regarding Debarment, Suspension, Ineligibility and
    Voluntary Exclusion-Lower Tier Covered Transaction,\'\' without
    modification, in all lower tier covered transactions and in all
    solicitations for lower tier covered transactions.

7.  A participant in a covered transaction may rely upon a certification
    of a prospective participant in a lower tier covered transaction
    that it is not proposed for debarment under 48 CFR part 9, subpart
    9.4, debarred, suspended, ineligible, or voluntarily excluded from
    covered transactions, unless it knows that the certification is
    erroneous. A participant may decide the method and frequency by
    which it determines the eligibility of its principals. Each
    participant may, but is not required to, check the List of Parties
    Excluded from Federal Procurement and Nonprocurement Programs.

8.  Nothing contained in the foregoing shall be construed to require
    establishment of a system of records in order to render in good
    faith the certification required by this clause. The knowledge and
    information of a participant is not required to exceed that which is
    normally possessed by a prudent person in the ordinary course of
    business dealings.

9.  Except for transactions authorized under paragraph 5 of these
    instructions, if a participant in a covered transaction knowingly
    enters into a lower tier covered transaction with a person who is
    proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
    debarred, ineligible, or voluntarily excluded from participation in
    this transaction, in addition to other remedies available to the
    Federal Government, the department or agency with which this
    transaction originated may pursue available remedies, including
    suspension and/or debarment.

\*\*\*\*\*\*\*\*\*\*\*\*

**[Certification Regarding Debarment, Suspension, Ineligibility an
Voluntary Exclusion\--Lower Tier Covered Transactions\
]{.underline}**

1.  The prospective lower tier participant certifies, by submission of
    this proposal, that neither it nor its principals is presently
    debarred, suspended, proposed for debarment, declared ineligible, or
    voluntarily excluded from participation in this transaction by any
    Federal department or agency.

2.  Where the prospective lower tier participant is unable to certify to
    any of the statements in this certification, such prospective
    participant shall attach an explanation to this proposal.