Order Code RL32036 CRS Report for Congress Received through the CRS Web Homeland Security: Federal Assistance Funding and Business Opportunities Updated November 21, 2003 James R. Riehl, Coordinator Information Research Specialist Information Research Division Congressional Research Service ˜ The Library of Congress Homeland Security: Federal Assistance Funding and Business Opportunities Summary With the creation of the Department of Homeland Security and increased federal spending on homeland security products and services, comes increased interest in doing business with the federal government and obtaining federal funds. Small and large businesses, universities, and research organizations throughout the country want to provide the needed products and services. State and local governments desire federal funds to assist with their homeland security needs. Generally, the larger companies or organizations and state and local governments that have regularly done business with the federal government in the past are familiar with the often complex process of selling to the government or obtaining federal funds through grants. However, smaller companies and government officials who are new to the process may have a difficult time quickly identifying the resources and information needed to pursue grant or contract monies. This report provides a selection of information gateways for businesses, state and local governments, research organizations, and others that wish to pursue homeland security related business opportunities or grants from the federal government. A selection of Web sites is provided for the Department of Homeland Security, the Department of Defense, and other federal departments and agencies. The information will assist interested persons in locating information on available grants, contracts, or research and development opportunities with a homeland security focus. The first section of this report presents an overview of the market for homeland security products and services, lists and defines the various types of federal assistance or opportunities in homeland security, and provides some definitions relevant to the subject. The second section of the report identifies specific federal Web “gateways,” which provide access to detailed information on funding and business opportunities. This report will be updated on a regular basis. Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 What Is “Homeland Security”? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Homeland Security vs. the Department of Homeland Security . . . . . . . . . . . 2 Non-DHS Homeland Security Programs/Initiatives . . . . . . . . . . . . . . . . . . . 2 Homeland Security vs. Antiterrorism Funding . . . . . . . . . . . . . . . . . . . . . . . 2 What Is Not Included in This Report? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The Market for Homeland Security Products and Services . . . . . . . . . . . . . . 3 Service and Product Opportunity Areas . . . . . . . . . . . . . . . . . . . . . . . . . 3 Recent Private Sector/Government Initiatives . . . . . . . . . . . . . . . . . . . . 4 Other Opportunities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Types of Funding and Business Opportunities . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Federal Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Defining a Contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Awards Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Getting Started . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Federal Grants and Other Federal Assistance . . . . . . . . . . . . . . . . . . . . . . . . 7 Types of Federal Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Loans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Nonfinancial Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Pass-Through Funds/Subcontracting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Research and Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Identifying Recipients of Federal Grant/Contract/R&D Funds . . . . . . . . . . 12 Federal Procurement Data Center (FPDC) . . . . . . . . . . . . . . . . . . . . . 12 Federal Assistance Awards Data System (FAADS) . . . . . . . . . . . . . . 12 RaDiUS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Getting Started . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Department of Homeland Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Department of Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Department of Defense Homeland Security R&D . . . . . . . . . . . . . . . . . . . . 17 Other Federal Agency Homeland Security R&D Programs . . . . . . . . . . . . . 18 Other Federal Departments and Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . 20 The Catalog of Federal Domestic Assistance . . . . . . . . . . . . . . . . . . . . . . . 21 Other Relevant CRS Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 List of Tables Table 1. Table 2. Table 3. Table 4. DHS Homeland Security Federal Assistance Programs . . . . . . . . . . . . 13 DHS R&D Opportunities and Resources . . . . . . . . . . . . . . . . . . . . . . . 14 DHS Homeland Security Business Opportunities and Resources . . . . 15 DOD Homeland Security Federal Assistance Programs . . . . . . . . . . . . 16 Table 5. DOD R&D Contracts and Contracting Information . . . . . . . . . . . . . . . 18 Table 6. Other Federal Agency Homeland Security R&D Programs, Opportunities, and Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Table 7. Non-DHS Homeland Security Federal Assistance Programs . . . . . . . . 20 Homeland Security: Federal Assistance Funding and Business Opportunities Introduction With the creation of the Department of Homeland Security (DHS) and increased federal spending on homeland security products and services, comes increased interest in doing business with the federal government and obtaining federal funds. Small and large businesses, universities, and research organizations throughout the country want to provide the needed products and services. State and local governments desire federal funds to assist with their homeland security needs. Generally, the larger companies or organizations and state and local governments that have regularly done business with the federal government in the past are familiar with the often complex process of selling to the government or obtaining federal funds through grants. However, smaller companies and government officials who are new to the process may have a difficult time quickly identifying the resources and information needed to pursue grant or contract monies. This report provides a selection of information gateways for businesses, state and local governments, research organizations, and others that wish to pursue homeland security related business opportunities or grants from the federal government. A selection of Web sites is provided for the Department of Homeland Security, the Department of Defense, and other federal departments and agencies. The information will assist interested persons in locating information on available grants, contracts, and research and development opportunities with a homeland security focus.1 What Is “Homeland Security”? The National Strategy of Homeland Security (the Strategy) issued by the White House [http://www.whitehouse.gov/homeland/book/nat_strat_hls.pdf]in July 2002 defined “homeland security” as “a concerted national effort to prevent terrorist attacks within the United Stated, reduce America’s vulnerability to terrorism, and minimize the damage and recover from attacks that do occur.” The Strategy envisions a shared responsibility of federal, state, and local governments, the private sector, and the American people for homeland security. Homeland security involves (1) efforts to prevent terrorist attacks by reducing the nation’s vulnerability to terrorist attacks, (2) efforts to minimize the damage of any terrorist attacks that occur 1 Contributors to this report included Jesús Campos (INF), Linwood Carter (INF), Eric Fischer (DSP), Merete Gerli (INF), Jean Knezo (RSI), Gary Reynolds (INF), James R. Riehl (INF), Carolyn Smith (INF), and Angeles Villarreal (RSI). CRS-2 despite efforts to prevent them, and (3) efforts to recover from any terrorist attacks that may occur. Homeland Security vs. the Department of Homeland Security The Department of Homeland Security has primary responsibility for maintaining homeland security. Section 101(b)(1) of the Homeland Security Act of 2002 (P.L. 107-296) states that the primary mission of the DHS is to “(A) prevent terrorist attacks within the United States; (B) reduce the vulnerability of the United States to terrorism; and (C) minimize the damage, and assist in the recovery, from terrorist attacks that do occur within the United States.” Those wishing to do business with the federal government in areas pertaining to homeland security or seeking federal assistance relating to homeland security should keep in mind that homeland security activities are broader than the activities of DHS because, notwithstanding the lead responsibility of DHS for maintaining homeland security, several other government agencies play important roles in homeland security. Non-DHS Homeland Security Programs/Initiatives Examples of non-DHS homeland security programs include initiatives by the Defense Advanced Research Projects Agency (DARPA), biodefense initiatives by the Department of Health and Human Services (DHHS), and interagency working groups such as the Technical Support Working Group (TSWG). Homeland Security vs. Antiterrorism Funding Homeland security funding is largely an extension of antiterrorism funding, with an important distinction. Unlike antiterrorism funding, which includes monies devoted to agencies that operate on foreign fronts such as the Department of State and Central Intelligence Agency, homeland security funding focuses on those aspects of government spending devoted to the prevention and response to terrorism on American soil. What Is Not Included in This Report? This report is not an exhaustive listing of every possible Web access point for information on federal grant and contract opportunities related to homeland security. Certain opportunities may change due to congressional or regulatory activity. Others may be one-time events that appear for only a single round of funding. Web sites and programs may appear and disappear depending upon a department or agency’s funding or needs, and some contract awards may be awarded directly to qualified companies without a competitive bidding process. In addition, this report makes no effort to list individual grant, contract, or research and development opportunities. Such information must be obtained through one or more of the Web resources provided. CRS-3 The Market for Homeland Security Products and Services DHS spending on homeland security will likely cover a wide range of products and services in such areas as airport security systems, biological and chemical agent detection, and prevention of attacks on information systems. DHS does not have a list of specific products and services that it is looking to acquire, but has made references to the types of products and services that it is interested in. Industries in which companies could potentially benefit include biotechnology, computer and software services, telecommunications, and detection equipment technology. Service and Product Opportunity Areas. Private companies are a key source of new ideas and innovative technologies that would be valuable in combating the threat of terrorism activities. DHS recently announced a partnership with the Technical Support Working Group (TSWG) for engaging the private sector in developing technologies and systems needed for homeland security. TSWG, a State Department/DOD group, identifies, prioritizes, and coordinates interagency and international research and development requirements for combating terrorism; see [http://www.tswg.gov]. The TSWG Web site provides information about technology and commercial opportunities, provides information about product availability for federal, state, and local user communities, and provides project information to technical team members. This information is useful for companies looking for contracting opportunities related to homeland security because it identifies the projects federal agencies are focusing on. Among others, the TSWG currently outlines the following as areas of interest: ! Chemical, biological, radiological, and nuclear countermeasures: products and services may include medication and vaccines to treat outbreaks of diseases such as smallpox, anthrax, or botulism; development of antidotes for possible disease outbreaks; development of new technologies for detecting hazardous biological and chemical agents. ! Explosive detection: products and services may include development or purchase of new detection and diagnostic devices such as handheld detectors, personnel screening portals, checked baggage and parcel screening; developing more effective canine/handler teams through improved training programs and canine selection and breeding; development of new technologies for marking plastic explosives to make them easier to detect. ! Infrastructure protection technology: products and services may include developing technologies and methodologies for detection, response, and alert capabilities to counter cyberterrorism; developing standardized methodology and decision aid tools for vulnerability analysis and enhanced protection of the nation’s critical infrastructure. ! Physical security technology: products and services may include the development of new techniques for building construction that will result in better protection of people and facilities from terrorist bomb CRS-4 attacks; improvement in explosive detection technology; advanced sensor technologies to provide improved perimeter and interior intrusion detection capabilities. ! Personnel protection: products and services may include vehicles with improved safety and performance; improved transparent armor with lower weight and greater reliability against threats; improved protective measures against sniper attacks. Recent Private Sector/Government Initiatives. DHS has emphasized the importance of the role of technology in homeland security and the need to create close partnerships with the private sector to develop and implement technologies. The following two paragraphs describe two initiatives recently mentioned by Al Martinez-Fonts, the DHS Special Assistant to the Secretary for the Private Sector, in which the private sector has an important role and could provide potential business opportunities.2 The Container Security Initiative (CSI) overseen by the new Bureau of Customs and Border Protection (CBP) has the goal of protecting containerized shipping from exploitation by terrorists. The initiative involves the use of pioneering nonintrusive container screening technology to label containers entering the country as “high-risk” or “low-risk” at their port of origin. DHS estimates that Customs inspects 3% or less of the 6 million containers, meaning that up to 97% of the containers are not screened. The program was launched in January 2002 and is in various stages of implementation at major ports around the world. A second stage of the initiative will expand CSI to additional ports in Europe and Asia. The eligibility requirements of Phase 2 require that a country have or be in the process of acquiring non-intrusive inspection equipment, or large x-ray-type systems, and radiation detection equipment to conduct security. While the purchase of the x-ray systems and other detection technology will be made by individual countries, the CBP can provide the names of manufacturers for the CSI country to pursue procuring equipment. Another program is the Customs-Trade Partnership Against Terrorism (CTPAT). More than 2,900 companies are participating. C-TPAT is a cooperative effort between the business trade community and the CBP to help ensure effective security processes of cargo entering the United States while improving the flow of trade. Businesses will be required to check physical, procedural, and personnel security, and provide training to key personnel through the C-TPAT validation process. DHS has been working with a number of trade associations to develop industry-wide security standards. For businesses that have useful products or services for this process, there may be benefits in becoming a partner. Other Opportunities. Other agencies or departments at the federal, state, and local levels of government may have opportunities for companies that produce or provide goods or services related to homeland security. For example, local communities may be interested in procuring protective gear and communication 2 Department of Homeland Security, Press Room Speeches and Statements, “Remarks by Al Martinez-Fonts to the Electronic Industries Alliance,” May 6, 2003. CRS-5 devices in the event of an emergency. There may be opportunities for industry groups to partner with federal agencies to develop strategies or new technologies. In 2002, the U.S. Department of the Treasury worked collaboratively with financial services industry groups to develop a sector strategy, called National Strategy for Critical Infrastructure Assurance, that discusses additional efforts necessary to identify, assess, and respond to sector threats. The strategy presents a framework for planning and implementing private sector action. This kind of private sector cooperative effort with the government may lead to future business contracting activities. Some federal agencies that may have contracting opportunities for companies include, but are not limited to, the following: the Department of Defense, the Department of Health and Human Services, the Treasury Department, and the Department of Energy. Business and marketing opportunities with the Department of Defense, however, are determined by DOD’s national security mission and it should be noted that contract processes may not be comparable with those of other federal entities. The Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics recommends the following preparatory advice to companies who want to take advantage of the DOD contracting or acquisition process: ! Identify the product, service, or concept you are attempting to sell to DOD by perusing the Federal Supply Class or Service (FSC/SVC) codes at [http://www.dlis.dla.mil/h2] and North American Industry Classification System (NAICS) Code at [http://www.census.gov/naics]. ! Businesses should obtain a Dun and Bradstreet or DUNS number at [http://www.dnb.com/US/duns_update/index.html]. Also, it is mandatory that any DOD contractor must be registered in the Centralized Contractor Registration (CCR) System, a database designed to collect and maintain relevant procurement and financial transaction information at [http://www.ccr.gov]. Small businesses in particular should register with the Small Business Administration (SBA) Procurement Marketing and Access Net (PRO-Net) system at [http://pro-net.sba.gov/]. ! Become familiar with DOD contracting procedures by examining the Defense Federal Acquisition Supplement (DFARS) at [http://www.acq.osd.mil/dp/dars], and the Federal Acquisitions Regulations (FARS) at [http://www.arnet.gov/far]. CRS-6 Types of Funding and Business Opportunities Federal Contracts Businesses and producers may bid for contracts to supply specific goods and services to the federal government. These may include furnishing the government with actual products such as office supplies or furniture, the construction of federal, buildings, providing services such as staffing and operating cafeterias, and enhancing equipment and training for emergency first-responders. Defining a Contract. The General Services Administration (GSA) defines a “contract” as a mutually binding legal relationship, obligating the seller to furnish the supplies or services and the buyer to pay for them. It includes all types of commitments that obligate the government to an expenditure of appropriated funds. The commitments are written, unless otherwise authorized. Contracts may include, but are not limited to the following instruments: awards, job orders or task letters, letter contracts, orders (such as purchase orders, under which the contract becomes effective by written acceptance or performance), and bilateral contract modifications (FAR 2.101). This definition, along with extensive regulations concerning federal acquisitions of supplies and services, is found in the Federal Acquisition Regulation (FAR), issued by the GSA. The text of the FAR documents is available from the following Web site: [http://www.arnet.gov/far/], or from the Code of Federal Regulations, 48 CFR 2, also available on the Web. Contracts do not include grants and cooperative agreements covered by the U.S. Code, at 31 USC 6301. The GSA provides general information on the process of doing business with the government at its Web site at [http://www.gsa.gov/], under the “Selling to the Government”section. More specific information on assistance to small and disadvantaged businesses can be found at [http://www.gsa.gov/smallbusiness]. This site provides links to information on obtaining a GSA schedule contract and lists of contacts for small business support. Awards Process. Federal contracts may be awarded in many ways, including agency solicitations and acceptance of unsolicited proposals. Also, businesses may register to participate in the GSA Federal Supply Service Multiple Award Schedules program, with m ore i n fo rm at i o n av ai l ab l e fo r vendors at [http://apps.fss.gsa.gov/contractorguide]. Getting Started. The Federal Business Opportunities Web site [http://www.fedbizopps.gov] provides a single site for federal procurement opportunities over $25,000. Via this Internet portal, government buyers can post business opportunities and commercial vendors seeking federal markets for their products and services can search, monitor, and retrieve opportunities solicited by the entire federal contracting community. CRS-7 Federal Grants and Other Federal Assistance Hundreds of grants, loans, and other domestic assistance programs for various purposes are available from federal departments and agencies, including new programs and federal funding to enhance homeland security. In November 2003, the Department of Homeland Security (DHS) initiated on its Web site a subpage for Homeland Security Grants and Training [http://www.dhs.gov/dhspublic/interapp/editorial/editorial_0355.xml]. This site provides information on homeland security and public safety grant opportunities offered by agencies across the federal government. It is intended to simplify access to these grants by placing information in a single easily accessible site. It includes grants offered by the DHS as well as other federal departments and agencies. Critical state and local missions supported through these grants include the preparedness of first responders and citizens, public health, infrastructure security, and other public safety activities. These programs vary considerably in their size and scope and are intended to contribute to securing the United States against the threat of terrorism, as well as other natural and man-made hazards. DHS grants listed at this site include those administered by the Office of Domestic Preparedness (ODP), the Federal Emergency Management Agency (FEMA), and the Transportation Security Administration (TSA). Other Federal agency programs include the Department of Health and Human Services public health preparedness grants, Department of Justice grants for counter-terrorism and general-purpose law enforcement activities, and Environmental Protection Agency grants for enhancing the security of our Nation's water supplies. Many of the grants listed are based on FY2003 programs whose application deadlines have passed, but the programs are expected to continue. The FY2004 grant programs are being developed at this time, and the DHS page will be updated with information on FY2004 application availability and deadlines as it becomes available. The DHS page is intended to provide an overview of relevant programs for potential applicants. When available, links are provided for the individual grant programs, which will lead to more information on their specific requirements and procedures. Other Web sites for grants information are available at [http://www.FedGrants.gov] and [http://www.Grants.gov]. Federal grants as well as loan and nonfinancial assistance programs are also described in the Catalog of Federal Domestic Assistance (CFDA) at its Web site: [http://www.cfda.gov]. Types of Federal Assistance Grants. Grants are generally considered desirable by applicants since they are an outright award of funds. Federal grants fall under the following categories: ! Formula Grants: allocations of money to states or their subdivisions for activities of a continuing nature not confined to a specific project. They include block grants to states and local governments. CRS-8 ! Project Grants: funding, for fixed or known periods, of specific projects or the delivery of specific services or products, including fellowships, scholarships, research grants, training grants, traineeships, experimental and demonstration grants, evaluation grants, planning grants, technical assistance grants, survey grants, construction grants, and unsolicited contractual agreements. They can also be referred to as discretionary or categorical grants or funding. ! Direct Payments for Specified Use: financial assistance provided directly to individuals, private firms, and other private institutions to encourage or subsidize a particular activity. ! Direct Payments with Unrestricted Use: financial assistance provided directly to beneficiaries who satisfy federal eligibility requirements with no restrictions as to how the money is spent. Loans. Since loans must be repaid, they are often viewed by applicants as less desirable than grants. However, with the reduction of federal funds available for grants and the increasing level of competition for such funds, loans are often the only form of assistance available. Federal loans consist of two types: ! Direct Loans: lending of federal funds for a specific period of times, with a reasonable expectation of repayment; may or may not require the payment of interest. ! Guaranteed/Insured Loans: programs in which the federal government makes an arrangement to indemnify a lender against part or all of any defaults by those responsible for repayment of loans. Insurance. Some federal programs provide financial assistance to assure reimbursement for losses sustained under specified conditions. Coverage may be provided directly by the federal government or through private carriers and may or may not require the payment of premiums. Nonfinancial Assistance. Several types of federal programs offer assistance to qualifying entities that does not involve the transfer of funds. These programs fall into the following categories: ! Sale, Exchange, or Donation of Property and Goods: programs which provide for the sale, exchange, or donation of federal real property, personal property, commodities, and other goods including land, buildings, equipment, food, and drugs. ! Use of Property, Facilities, and Equipment: programs which provide for the loan of, use of, or access to federal facilities or property wherein the federally-owned facilities or property do not remain in the possession of the recipient of the assistance. CRS-9 ! Provision of Specialized Services: programs which provide federal personnel to directly perform certain tasks for the benefit of communities or individuals. ! Advisory Services and Counseling: programs which provide federal specialists to consult, advise, or counsel communities or individuals, to include conferences, workshops, or personal contacts. ! Dissemination of Technical Information: programs which provide for the publication and distribution of information or data of a specialized technical nature frequently through clearinghouses or libraries. ! Training: programs which provide instructional activities conducted directly by a federal agency for individuals not employed by the federal government. ! Investigation of Complaints: federal administrative agency activities that are initiated in response to requests, either formal or informal, to examine or investigate claims of violations of federal statutes, policy, or procedure. ! Federal Employment: programs which reflect the government-wide responsibilities of the Office of Personnel Management in the recruitment and hiring of federal civilian agency personnel. Pass-Through Funds/Subcontracting In many cases, a grant or contract is not awarded directly to the final recipient of the funds. The money may be “passed through” from the primary recipient of the funds to the entity that actually provides the product or service or administers the program. For instance, a federal grant may be awarded to a state government, which then spends the money, within the parameters of the particular program, by distributing the funds to other levels of governments (county, city, township, etc.) in the state. Block grants are federal funds that are provided to states, and then passed through to local agencies, for a wide variety of purposes, such as community development or law enforcement. Recipients have discretion in identifying problems in the functional area and in using federal funds to address those problems. For most block grants, Congress prescribes formulas in the authorizing legislation for distributing the funds. For a few grants, Congress gives authority for the method for distribution of funds to federal executive agencies, such as with the discretionary portion of the Byrne law enforcement grant program. Through formula or block grants, the federal government allocates funds to states or their subdivisions, which are competitively awarded and administered by them for projects and needs in local jurisdictions. To obtain these funds, local grantseekers must become familiar with state and local agencies that receive such federal awards, and learn how to apply for them. The Catalog of Federal Domestic Assistance program descriptions under “Information CRS-10 Contacts” indicate whether state and regional contacts for the program are available. These appear in a CFDA Appendix available via the CFDA Web site at [http://www.cfda.gov/public/cat-app4-index.htm]. CFDA also lists state contacts for many states under the State Single Point of Contact (SPOCs) section available at [http://www.whitehouse.gov/omb/grants/spoc.html]. A similar situation exists with contracts. A federal homeland security contract may be so large that a smaller business would have great difficulty in providing the products or services required to meet the terms of the contract. However, the larger company that received the contract may be using subcontractors to provide some of the products and services that it needs to fulfill the contract. In these cases, the primary contractor must be contacted to determine the availability of subcontracting opportunities. There is no centralized federal system that tracks the availability of subcontracting opportunities. However, notices of business opportunities and of contract awards are posted on the Federal Business Opportunities Web site, at [http://www.fedbizopps.gov]. A businessperson can search for opportunities by agency name, such as Department of Homeland Security. The results of a search yield postings of solicitations or contracts, with summary and contact information. In the vendors’ section, businesspersons may register at this Web site to receive automatic notices of business opportunities with federal agencies. Research and Development Federal government funding for research supports “systematic study directed toward fuller scientific knowledge or understanding of the subject studied.”3 This work may be basic research, which is intended to produce “knowledge or understanding ... of fundamental aspects of phenomena and of observable facts without specific applications ... in mind.” Applied research is intended to produce “knowledge or understanding necessary to determine means by which a recognized and specific need may be met.” Funding for development supports systematic use of the knowledge gained from research to produce “useful materials, devices, systems, or methods, including design and development of prototypes and processes.” Test and Evaluation (T&E) may be supported as part of development. Federally-funded demonstration is “intended to prove or to test whether a technology or method does in fact work” and may include validation, engineering and manufacturing development, management and support, and operational system development. Federally-funded research and development (R&D) funding excludes quality control, routine product testing, and production; collection of general-purpose statistics, mapping; experimental production, routine monitoring and evaluation of an operational program, and training of personnel. 3 Definitions in this paragraph are based on National Science Foundation, Federal Funds for Research and Development: Fiscal Years 2000, 2001, and 2002, NSF 02-321, Definitions section. NSF’s definitions are derived from OMB Circular A-11. The latest version is from 2002. See section 84 – 8. CRS-11 Funding. R&D may be conducted intramurally (by federal government personnel and agencies) or extramurally (by nonfederal personnel at industrial firms, universities and colleges, other nonprofit institutions, or in federally funded R&D centers) with funds awarded by grant, cooperative agreement, or contract. Grants are used to fund R&D when ! federal resources are transferred to a performer [typically, a state or local government, academic institution, or other nonprofit performer] to conduct work that serves a “public purpose of support or stimulation authorized by law” [including production of knowledge], instead of providing direct benefit, in terms of property and knowledge, only for the U.S. government; and ! substantial involvement is not expected between the federal agency and the recipient when carrying out the activity contemplated in the grant agreement.4 Cooperative agreements are like grants except that substantial involvement is expected between the federal agency and the recipient when carrying out the contemplated activity (31 U.S.C. 6305). A Cooperative Research and Development Agreement (CRADA) is an agreement between one or more federal laboratories and one or more nonfederal entities (including for profit), when the federal laboratory intends to provide personnel, services, facilities, equipment, intellectual property, or other resources with or without reimbursement (but not funds) to nonfederal entities, and the nonfederal entities provide funds, personnel, services, facilities, equipment, intellectual property, or other resources toward the conduct of specified R&D efforts which are consistent with the missions of the laboratory. The agreement does not involve a procurement contract or cooperative agreement as those terms are used in sections 6303, 6304, and 6305 of Title 31 (15 U.S.C. 3710a). A contract is used if ! the funding agency seeks to fund R&D [that is, to purchase a specific R&D-related item, property or service] for the direct benefit or use of a U.S. government agency, or ! the agency decides that using a procurement contract is appropriate for the project.5 Federal specifications may be rigorous and detailed, and the contractor may need to satisfy specific agency specifications and requirements. Universities and colleges are the single largest performer of federally funded research, which is supported largely by grants, and about 52% of federally funded basic research is conducted in universities and colleges. Seventy percent of federally funded 4 Based on 31 U.S.C. 6304. 5 Based on 31 U.S.C. 6303. CRS-12 development is conducted by industry and is funded largely by contracts and other funding instruments (NSF 02-321). Identifying Recipients of Federal Grant/Contract/R&D Funds Those seeking federal funds via grant, contract, or research and development opportunities may have some interest in identifying recipients of previously awarded actions. While local media sources may report information on companies that have been awarded a particular federal contract or a state/local government entity that received a large federal grant, such reporting is usually limited. Some federal systems exist that can assist with identifying the recipient(s) of federal grant, contract, and research and development funds. While none of these resources provides information on an up-to-the-minute basis, they may be useful in providing a picture of the types of recipients that received funding in the past. Some departments and agencies provide information on the recipients of grant funds at their Web sites. Federal Procurement Data Center (FPDC). The Federal Procurement Data System (FPDS) was established by the Office of Federal Procurement Policy Act (P.L. 93-400). It is an automated system operated by the General Services Administration that contains detailed information on federal procurement activity. Collection of data began on October 1, 1978. FPDS is required to collect and compile data only on individual contracts exceeding $25,000. FPDS searching can be done by several different data elements, including agency, date, contractor name and address, city, state, county, kind of contract action, method of solicitation, type of business, etc. Searching by congressional district is not available, and the system does not include any information on subcontracting actions. Searches can be tailored to specific fields and are available to the public for a fee. The FPDS has established a Web site [http://www.fpdc.gov] at which some procurement data is available. FPDS publishes an annual summary report titled the FPDS Federal Procurement Report. Copies are available via the FPDS’s Web site at [http://www.fpdc.gov/fpdc/fpr02.htm]. The FY2000 edition was the first one available in full text via the Web. This Report presents overviews of the procurement activity of the federal government as a whole, federal procurement activity in each state, and procurement activity of each federal department and agency for a particular fiscal year. The FPDS also offers a DVD (digital video disc) product that contains data for multiple fiscal years. Information on electronic products may be found at [http://www.fpdc.gov/fpdc/otherprod.htm]. Federal Assistance Awards Data System (FAADS). The Federal Assistance Awards Data System (FAADS) is an automated system established by the Federal Program Information Act (P.L. 95-220) and is administered by the Bureau of the Census. It contains detailed information on federal monies awarded through the domestic assistance programs listed in the Catalog of Federal Domestic Assistance, a listing of federal programs which provide financial and nonfinancial assistance or benefits to the public. The FAADS system records contain agency name, CFDA program number, fiscal year, state, county, city or town, zip code, CRS-13 program recipient, etc. Data are available starting with FY1981. Data by congressional district, with limitations, is available through the FAADS system. However, FAADS is not a searchable database that can be directly queried. Although large amounts of data may be downloaded to a computer from the Census Web site, a search of the contents may not be conducted at the site. While some data is viewable at the Web site, the data files must be downloaded, and users must make use of their own software to manipulate or search the files. The Bureau of the Census has developed a Web page at [http://www.census.gov/govs/www/faads.html] for distribution of FAADS data via the Internet, starting with FY1996. RaDiUS. RaDiUS (Research and Development in the United States) is a comprehensive database on R&D activities and resources of the federal government. The database was developed by the Rand Corporation in cooperation with the National Science Foundation (NSF). The system does not include classified information. Licenses (some of which involve a fee) to use the database are available to employees and contractors of the federal government, employees and students at U.S. educational institutions, and other eligible members of the general public. Background information on the RaDiUS system may be obtained at Rand’s Web site at [http://www.rand.org/scitech/radius]. Information on obtaining licenses to use the system may be found at [https://radius.rand.org/radius/getting_started.html]. Getting Started Department of Homeland Security DHS agencies administer several federal assistance programs. These programs include block grants to state administering agencies, discretionary grant programs administered by DHS agencies, and funding programs established by legislative action. Table 1 lists several of these programs and Web addresses for program information from the pertinent DHS agencies. The current availability of funding for each of these programs varies, so those interested should contact the respective DHS agency for details. For additional information on DHS federal funding see the section below entitled “Other Relevant CRS Products.” Table 1. DHS Homeland Security Federal Assistance Programs Agency Program Program Information on the Web Office of Domestic Preparedness (ODP) State Homeland Security Grant Program [http://www.ojp.usdoj.gov/fundopps.htm] Office of Domestic Preparedness (ODP) Urban Areas Security Initiative [http://www.ojp.usdoj.gov/fundopps.htm] CRS-14 Agency Program Program Information on the Web United States Fire Administration Assistance to Firefighters (FIRE Act) Grant Program [http://www.usfa.fema.gov/fire-service/ grants/grants.shtm] Federal Emergency Management Agency Community Emergency Response Teams [http://training.fema.gov/EMIWeb/CERT] Transportation Security Administration (TSA) Port Security Grants [https://www.portsecuritygrants.dottsa.net/] In addition, DHS administers a number of research and development opportunities and resources. Table 2 presents a selection of Web sites that will provide information on these opportunities and resources. For additional information on DHS R&D opportunities, see CRS Report RS21617, Homeland Security Extramural R&D Funding Opportunities in Federal Agencies. Table 2. DHS R&D Opportunities and Resources Agency/Organization Program Program Information on the Web Homeland Security Advanced Research Projects Agency (HSARPA) HSARPA will be the primary source of extramural R&D funding in the Science and Technology Directorate. [http://www.dhs.gov/dhspublic/di splay?theme=27&content=47] Office of University Programs Homeland Security Centers of Excellence. DHS plans to establish several university centers by the end of 2004 through a competitive process. [http://www.dhs.gov/dhspublic/in terapp/press_release/press_release _0220.xml] Technical Support Working Group (TSWG) Broad Agency Announcements. DHS is using TSWG to assist in identifying technologies for rapid prototyping under periodic broad area announcements (BAA). [http://www.tswg.gov/tswg/home/ home.htm] CRS-15 Agency/Organization Program Information on the Web Program Science and Technology Directorate Unsolicited R&D Proposals. These proposals are handled by TSWG. See link for specific information. [http://www.dhs.gov/interweb/ass etlibrary/dhs_website_unsolprop. doc] U.S. Coast Guard Research and Development Center Various RDT&E activities in support of Coast Guard homeland security and other missions. [http://www.rdc.uscg.gov/] Transportation Security Administration R&D activities to improve current security technologies. [http://www.tsa.gov/public/index. jsp] The DHS Web site provides information for businesses wishing to get involved with the department in several different ways, including general information on acquisition policy and regulations, and rules for unsolicited proposals. The Web site states that some of the procedures of doing business with DHS agencies are still being developed. Table 3. DHS Homeland Security Business Opportunities and Resources Agency Business Information Web Site or E-mail Address Department of Homeland Security (DHS) Provides link to “Business” information, DHS acquisition offices, federal policies and regulations. [http://www.dhs.gov/dhspubl ic/display?theme=37] Federal Business Opportunities, GSA Serves as the single point of entry for federal procurement opportunities over $25,000. [http://www.fedbizopps.gov] Office of Small and Disadvantaged Business Utilization (OSDBU), in DHS Promotes the use of small and disadvantaged businesses in compliance with federal laws and regulations. Kevin Boshears Simplified Acquisition Contacts, DHS Provides information on procurements up to $100,000. Valerie Veatch Kevin.Boshears@dhs.gov (202) 772-9792 valerie.veatch@dhs.gov CRS-16 Agency Business Information Pro-Net (Procurement Marketing and Access Network), Small Business Administration Provides information on procurement opportunities matching individual company profiles that are registered. Web Site or E-mail Address [http://www.pro-net.sba.gov] Department of Defense The vast majority of DOD contracts are awarded by DOD field organizations, or specific mission-oriented agencies within the department. Businesses seeking homeland security contracts should be aware that the DOD contracting process is very tightly controlled and regimented, often requiring prospective contractors to be precertified or obligated to apply for security clearances with the Defense Security Service (DSS), National Industrial Security Program (NISP) at [http://www.dss.mil/isec/index.htm]. Because the limited number of available DOD homeland security contracts may initially be awarded to large or traditional prime contractors, small businesses may expand their access by investigating potential procurement opportunities available within the secondary market of subcontracting with DOD prime contractors. A list of all major DOD prime contractors arranged by state and including a point of contact for the Small Business Liaison Officer in each company is located at [http://www.acq.osd.mil/sadbu/publications/subdir/index.html]. Specific agencies or organizations within the DOD that may be able to assist businesses seeking homeland security contracts are listed in Table 3. Table 4. DOD Homeland Security Federal Assistance Programs Program Information on the Web Agency Program Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics USD(AT&L) DODBusOpps.com was developed to help vendors find business in the Department of Defense by accessing an electronic portal serving as a single point of entry for the different agency sites. [http://DODbusopps.com] Technical Support Working Group (TSWG) The TSWG uses the Broad Agency Announcement Information delivery system (B.I.D.S.) as a tool for dissemination and receipt of data related to active contract solicitations. [http://www.tswg.gov/] [https://www.bids.tswg.go v/tswg/bids.nsf/Main?Ope nFrameset&5RVGUK] CRS-17 Agency Program Program Information on the Web Office of Small and Disadvantaged Business Utilization (SADBU) The SADBU operates programs and creates and disseminates information that will provide small and disadvantaged or minority businesses with opportunities to compete for DOD contracts. [http://www.acq.osd.mil/sa dbu/] Deputy Under Secretary of Defense for Advanced Systems & Concepts DUSD (AS&C) Advanced Concept Technology Demonstration (ACTD). DOD created the ACTD program in 1994 to assist the acquisition process by expediting the transition of maturing technologies from private sector developers to potential military customers. [http://www.acq.osd.mil/ac td/] Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics USD(AT&L) Defense Electronic Business Program Office facilitates the acquisition process by expediting electronic business-to-business transactions using established commercial standards and best practices. [http://www.defenselink.m il/acq/ebusiness/] Defense Logistics Agency (DLA) Procurement Technical Assistance Centers Program (PTAP) are located in most states as a local resource available to provide assistance to small business firms in marketing products to the DOD. [http://www.dla.mil/db/pro curem.htm] Department of Defense Homeland Security R&D At this juncture the vast majority of research and development money for homeland security will be coming from the Department of Homeland Security (DHS), and only a small amount of funding for homeland defense will be coming from the Department of Defense (DOD). Potential contractors need to know that contracting with DOD requires knowledge of and adherence to a number of complex procedures, forms, and standards, as mentioned above. CRS-18 As yet there is no one place where homeland security/defense R&D contracting opportunities are listed centrally. Potential contractors have to search for homeland security/defense oriented R&D opportunities by going to more general R&D sites and scanning the listings. Places to look for potential DOD R&D contracts and contracting information on the Internet are given in Table 5. Table 5. DOD R&D Contracts and Contracting Information Agency/Organization Program Program Information on the Web Office of the Secretary of Defense Handbook on Selling to the Military [http://www.acq.osd.mil/sadbu/publica tions/selling/main.htm] Defense Advanced Research Projects Agency (DARPA) High technology R&D projects [http://www.darpa.mil/body/dobdar.ht ml] DOD Small Business Innovation Research (SBIR) program Focus on small businesses [http://www.sbccom.apgea.army.mil/b usops/sbir.htm] Defense Electronic Business Program Office Searchable Web site focusing on E-Commerce and E-Business within DOD [http://DODbusopps.com/default.asp] Center for Commercialization of Advanced Technology (CCAT) Public-private R&D partnership funded by DOD, which had been soliciting innovative technologies related to defense and homeland security [http://www.ccatsandiego.org] Other Federal Agency Homeland Security R&D Programs Homeland security-related research and development programs are conducted and supported by federal agencies other than the Department of Homeland Security. Some of these programs are managed by offices dedicated specifically to supporting homeland security R&D. Others are funded through regular R&D support procedures. The programs listed in Table 6 support R&D funding for governmental, academic, and industrial performers and use contracts or grants, as appropriate. Several agencies have more than one relevant program. For additional information on other R&D opportunities at federal agencies, see CRS Report RS21617, Homeland Security Extramural R&D Funding Opportunities in Federal Agencies. CRS-19 Table 6. Other Federal Agency Homeland Security R&D Programs, Opportunities, and Resources Agency U.S. Dept. of Agriculture (USDA) Program The Homeland Security Council’s R&D focuses on food supply and agricultural production Program Information on the Web [http://www.usda.gov/ho melandsecurity/homeland. html] [http://www.ars.usda.gov/ Business/Business.htm] Department of Commerce, National Institute of Standards and Technology (NIST) Fire safety standards, materials, cybersecurity, threat detection and protection, tools for law enforcement, and emergency response [http://www.nist.gov/publi c_affairs/factsheet/homela nd.htm#tools] Dept. of Energy, Office of Science Various programs dealing with counter terrorism. See separate laboratories’ Web sites for their opportunities [http://www.sc.doe.gov/gr ants/grants.html] Dept. of Health and Human Services (DHHS), National Institutes of Health (NIH) Biodefense Research at the National Institute of Allergy and Infectious Diseases (NIAID) on agents of bioterrorism and basic biology, immunology, vaccines, drugs, and diagnostics [http://www.niaid.nih.gov /biodefense/about/niaids_r ole.htm] Dept. of Justice, National Institute of Justice (NIJ) Technology Program Public safety improvement programs include homeland security [http://www.ojp.gov/nij/sc iencetech/highlights.htm] Dept. of Transportation (DOT) Research and Special Programs agency R&D on pipeline safety and homeland security For NIST grants programs, Joyce Brigham, (301) 975-6329 [http://www.niaid.nih.gov /biodefense/research/defa ult.htm] [http://www.ojp.usdoj.gov /nij/sciencetech/projects.h tm] Procurement information for the Volpe Center Additional security-related R&D procurement information [http://www.rspa.dot.gov/ contracts.html] [http://www.volpe.dot.gov /procure/current.html#rfp] [http://www.dot.gov/DOT agencies.htm] [http://www/dot.gov/Perf Plan2004/homelandperf.ht ml] CRS-20 Agency Environmental Protection Agency (EPA), Homeland Security Research Center National Science Foundation (NSF) Homeland Security Page Program Information on the Web Program Buildings, water, and rapid risk assessment in partnership with other EPA and other government laboratories, and other performers [http://www.epa.gov/ordn hsrc/] Data mining, national hazards, ecology of infectious diseases, microbial genome sequencing, critical infrastructure, computer security, programs with the intelligence community, and small business innovation [http://www.nsf.gov/od/lp a/news/media/01/nsf_resp onse.htm#grants] avel.andy@epa.gov Schultz.Patricia@epa.gov [http://www.nsf.gov/pubs/ 2003/nsf03569/nsf03569. htm] [http://www.eng.nsf.gov/s bir/homeland.htm] Other Federal Departments and Agencies Federal assistance for homeland security is also available through federal government agencies other than DHS and DOD. The table below lists agencies other than DHS that provide federal assistance which can be used to fund homeland security activities, the relevant programs they administer, and Web addresses for program information from the pertinent agencies. The current availability of funding for each of these programs varies, so those interested should contact the respective agency for details. Table 7. Non-DHS Homeland Security Federal Assistance Programs Agency Program Program Information on the Web Department of Commerce, Fire Research Division Extramural Fire Research Grants Program [http://www.bfrl.nist.gov/866/e xtramuralprogram.htm] Department of Justice, Bureau of Justice Assistance Edward Byrne Memorial State and Local Law Enforcement Assistance (Byrne Formula Grant Program) [http://www.ojp.usdoj.gov/BJA /grant/index.html] Department of Justice, Bureau of Justice Assistance Local Law Enforcement Block Grant (LLEBG) [http://www.ojp.usdoj.gov/BJA /grant/index.html] CRS-21 Agency Program Program Information on the Web Department of Justice, Office for Victims of Crime Antiterrorism and Emergency Assistance Program for Terrorism and Mass Violence Crimes [http://www.ojp.usdoj.gov/fund opps.htm] Environmental Protection Agency Clean Water State Revolving Fund (CWSRF) [http://www.epa.gov/owm/cwfi nance/index.htm] Department of Health and Human Services, Centers for Disease Control and Prevention (CDC) Smallpox Vaccination Program [http://www.cdc.gov/od/oc/med ia/pressrel/r030122b.htm] National Science Foundation (NSF) Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Programs [http://www.eng.nsf.gov/sbirsp ecs/Program/program.htm ] The Catalog of Federal Domestic Assistance The Catalog of Federal Domestic Assistance, which describes some 1,500 grants, loans, and nonfinancial assistance programs of the federal government, lists most homeland security programs under the Department of Homeland Security [http://www.cfda.gov/public/browse_agy.asp?agy_id=97&st=1]. For information on additional federal first-responder and terrorism preparedness programs still administered by other federal departments and agencies, the CFDA Web page Assistance Programs Relating to Recovery [http://www.cfda.gov/911.htm] may help. Other Relevant CRS Products CRS Report RS21617. Homeland Security Extramural R&D Funding Opportunities in Federal Agencies, by Genevieve J. Knezo. CRS Report RL31227. Terrorism Preparedness: Catalog of Selected Federal Assistance Programs, coordinated by Ben Canada. CRS Report RL31475. First Responder Initiative: Policy Issues and Options, by Ben Canada. CRS Report RS21302. Assistance to Fire Fighters Program, by Lennard G. Kruger. CRS Report RL31465. Protecting Critical Infrastructure from Terrorist Attack: A Catalog of Selected Federal Assistance Programs, by John Moteff. CRS-22 CRS Report RL31615. Homeland Security: The Department of Defense’s Role, by Steve Bowman. CRS Report RL31802. Appropriations for FY2004: Department of Homeland Security, coordinated by Paul M. Irwin and Dennis W. Snook. CRS Report RL32117. Department of Homeland Security First Responder Grants: A Summary, by Shawn Reese. CRS Report RL31791. Emergency Management Funding for the Department of Homeland Security: Information and Issues for FY2004, by Keith Bea (coordinator). CRS Report RS21650. FY2004 Appropriations for First Responder Preparedness: Fact Sheet, by Shawn Reese. Conclusion The process of identifying and pursuing a federal grant, contract, or research and development opportunity in the area of homeland security can be very difficult. Although no single resource will necessarily get every business, university, research organization, or state or local government interested in pursuing homeland security funds to exactly the information or program listing that they require, the gateways provided in this report provide the starting points for their search. Once the gateways are entered, the process has only just begun. Program listings must be pursued, grant applications must be prepared, contract proposals must be written, certain requirements must be met, all before any funding is available.